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Resolution No. 2015-011 (3)
TRANSMITTAL COMMUNICATION r OFFICE OF THE CITY CLERK 4305 Santa Fe Avenue, Vernon, California 90058 Telephone (323) 583-8811 March 23, 2015 Kristina Gannon Office of the Mayor Homeland Security and Public Safety 200 N. Spring Street, Room 303 Los Angeles, CA 90012 Re: Agreement — 2014 Urban Areas Security Initiative Grant Program Dear Ms. Gannon: Transmitted herewith are two partially executed original agreements with the City seal, as referenced above, approved by City Council on March 3, 2015, through Resolution No. 2015-11. Please return one fully executed original agreement to the undersigned. If you have any questions regarding this matter, please call Michael Wilson at (323) 583-8811 Ext. 287. Very truly yours, J S Deborah R. Juarez Records Management Assistant Enclosures c: William Fox Daniel Calleros David Lazar Michael Wilson Resolution No. 2015-11 Agreement File No. 15-013 E.)Cclusively hidusthaf CONTRACT/AMENDMENT SIGNATURE ROUTING FORM CONTRACTOR: The City of Los CONTRACT PURPOSE: FY 14 Urban Area Security Initiative (UASI) Grant Program CONTRACT IS: 0 FEDERAL ❑ PREVAILING WAGE ❑ COMPETIVE SELECTION & NOTICED RFP ❑ COMPETITIVE BID & NOTICED INVITATION TO BID ❑ EXEMPT FROM COMPETITIVE PROCESS (APPROVAL ATTACHED) ❑ SERVICES 0 MATERIALS 0 BUDGETED Y NOT BUDGETED TOTAL CONTRACT VALUE: $ 898,507.00 Charge Acct. No(s) Fire Dept.: $828,507.00/ Police Dept.: $70,000.00 Amendment Value $ ❑ Contract is an Amendment to Contract No. if Applicable) RESPONSIBLE DEPARTMENT PERSON: Michael A. Wilson PHONE: X 287 AUTHORIZATION: IN Approved by Council on 3/3/15 (Check One) Resolution No. 2015-11(if applicable) ❑ Approved by City Administrator on Note: Attach supporting documentation ❑Amendment Approved by ROUTING SEQUENCE: (Please Follow In Order — Do not use N/A) (if applicable) Initials Date (1) Responsible Department Person Checks substance of contract and assembles two (2) copies of Contract, insurance & bond documents, certifies compliance With Competitive Bidding and Purchasing Ordinance 3�s dais (2) Liability and Claims 6 Approves insurance and sureties, if bonds required � % �I (3) Finance (Purchasing) / Checks compliance with Competitive Biddin$ & Living�Wage Ordi�nl�cy And reflected in current budget 1i11 l % L /�1�I/ u (4) City Attorney Approves contract as to form, verifies bonds and insurance included (5) City Signatory Signs all copies on behalf of City (6) City Clerk Attests signatures, numbers, files contract, insurance and bonds, and transmits duplicate original to contractor 3IR Rev. 425/13 PARTIALLY EXECUTED AGREEMENT SUBRECIPIENT AGREEMENT Jurisdiction: City of Vernon Title: FY 2014 Urban Area Security Initiative (UASI) Grant Program City Contract Number TABLE OF CONTENTS Section Section Title Page Number Number I. INTRODUCTION 3 101. Parties to the Agreement.....................................................................................3 102. Representatives of the Parties and Service of Notices........................................3 §103• Independent Part v...............................................................................................4 104. Conditions Precedent to Execution of This Agreement.......................................4 II. TERM AND SERVICES TO BE PROVIDED 5 201. Time of Performance...........................................................................................5 §202. Use of Grant Funds.............................................................................................5 III. PAYMENT 13 301. Payment of Grant Funds and Method of Payment.............................................13 IV. STANDARD PROVISIONS 16 §401. Construction of Provisions and Titles Herein.....................................................16 &402. Applicable Law. Interpretation and Enforcement...............................................16 403. Integrated Agreement........................................................................................16 404. Excusable Delays..............................................................................................16 405. Breach...............................................................................................................17 406. Prohibition Against Assignment or Delegation...................................................17 6407. Permits..............................................................................................................17 64p8. Nondiscrimination and Affirmative Action..........................................................17 409. Bonds................................................................................................................17 410. Indemnification..................................................................................................18 §411 • Conflict of Interest..............................................................................................18 412. Restriction on Disclosures.................................................................................20 413. Minority, Women, and Other Business Enterprise Outreach Program ...............20 $414. Publications and Use of Grantor Markings........................................................20 415. Compliance with State and Federal Statutes and Regulations ..........................21 416. Inventions. Patents and Copyrights...................................................................35 V. DEFAULTS, AMENDMENTS, AND AGREEMENT 37 501. Defaults.............................................................................................................37 5502. Amendments.....................................................................................................37 &503. Complete Agreement.........................................................................................37 SignaturePage..............................................................................................37 UASI 14 Subrecipient Agreement EXHIBITS Exhibit A Insurance (Not applicable to this Agreement) Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions Exhibit C Certification Regarding Lobbying Exhibit D Certification Regarding Drug Free Requirements Exhibit E Grant Assurances Exhibit F Grant Guidance Materials Exhibit G Workbook Ledgers Exhibit H Modification Request Form Exhibit I Sole Source Request Form Exhibit J Reimbursement Request Form Exhibit K CaIOES Approved Forms Exhibit L Technology Standards UASI 14 Subrecipient Agreement ii 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/LBUX) through the Fiscal Year (FY) 2014 Urban Areas Security Initiative Grant Program ("UASI 14" or the "Grant"), Catalog of Federal Domestic Assistance ("CFDA") 97.067 in the amount of Fifty Six Million Twenty Five Thousand Dollars, $56,025,000 ("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 25, 2014 (C.F. #14- 0820); 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 14 Grant Funds allocated to the Subrecipient as a participating jurisdiction in the LA/LBUA in accordance with this Agreement; and UASI 14 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.# 14-0820, dated November 25, 2014). NOW, THEREFORE, in consideration of the mutual covenants set forth herein and the mutual benefits to be derived therefrom, the City and the Subrecipient (each a "Party" and collectively, the "Parties") agree as follows: [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 2 §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: 1. The representative of the City of Los Angeles shall be, unless otherwise stated in this Agreement: Eileen Decker, Deputy Mayor Office of the Mayor, Homeland Security and Public Safety 200 N. Spring Street, Room 303 Los Angeles, California 90012 Phone: (213) 978-0687 Fax: (213) 978-0718 Eileen. Decker@lacity.org 2. The representative of the City of Vernon shall be: Michael Wilson, Fire Chief Vernon Fire Department 4305 S. Santa Fe Avenue Vernon, California 90058 Phone: (323) 583-8811, Ext. 287 Email: 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 Email: dlazar@ci.vemon.ca.us 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 UASI 14 Subrecipient Agreement shall be given, in accordance with this section, within five (5) business days of said change. §103. Independent Partv Subrecipient is acting hereunder as an independent party, and not as an agent or 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. D. Certification Regarding Drug Free Workplace Requirements in accordance with § 415.A.13 of this Agreement and attached hereto as Exhibit D and made a part hereof. Subrecipient hereby certifies that said Certification so executed is true and correct as of the date of execution of this Agreement. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 4 II. TERM AND SERVICES TO BE PROVIDED §201. Time of Performance The term of this Agreement shall be from September 1, 2014 and end May 31, 2016 (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) Department of Homeland Security FY 2014 Homeland Security Grant Program Funding Opportunity Announcement ("DHS 14 Guidance"), (2) Grantor Information Bulletins, (3) CalOES 2014 Recipient Handbook ("CalOES 14 Handbook"), (4) CalOES FY 14 Homeland Security Grant Program California Supplement to the Federal Funding Opportunity Announcement and Application Kit ("CalOES 14 Supplement"), (5) CalOES Grant Management Memos ("GMM"), (6) the current editions of the Office of Justice Programs ("OJP") Financial and Administrative Guide for Grants 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 14 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.dhs.gov/xlibrary/assets/cfo-financial- management-policy-manual.pdf ("DHS Terms and Conditions") and (10) this Agreement. Subrecipient shall use the Grant Funds allocated to it to support the goals and objectives included in the State and/or Urban Area Homeland Security Strategies as well as the investments and projects identified in the Investment Justifications, which were submitted as part of the California FY 2014 Homeland Security Grant Program application. Further, use of the Grant Funds is limited to those investments and projects included in the California FY14 Investment Justifications submitted to DHS/FEMA/CaIOES and evaluated through the peer review process. Grant funds not spend on those projects must be returned and will be redistributed at the discretion of the Grant Administrator. Subrecipient shall comply with any cost sharing commitments included in such FY14 Investment Justifications, where applicable. Subrecipient agrees that Grant Funds will be used to supplement existing funds for UASI 14 Subrecipient Agreement 5 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 use its allocation of Grant Funds in a manner consistent with the components of the National Preparedness System and Goal as set forth by the Grantor. B. 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, 225 Appendix A, paragraph (C)(3)(c), 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) as amended by the Improper Payments Elimination and Information Act of 2010. 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 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 contemplated by this Agreement. Subrecipient shall not be delinquent in the repayment of any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. Additional information and guidance may be found in OMB Circular A-129, form SF-42413, item number 17. Subrecipient shall comply with the requirement of 31 U.S.C. Section 3729, which sets forth that no subgrantee, recipient or subrecipient of federal 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. UASI 14 Subrecipient Agreement 6 Section 3801-3812, addressing false claims and statements made. C. 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 those specific items. 1. 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 CalOES/Grantor. 3. Final modification requests must be submitted to the City no later than 90 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. D. Subrecipient shall complete a UASI 14 Project Timeline ("Project Timeline") provided by the City to manage its allocation of the Grant Funds. Subrecipient shall provide a completed Project Timeline and any reports requested by the City regarding performance of this Agreement by a date specified by the City. Plans and reports shall be provided in a timely manner. The completion of each milestone and deliverable referenced in the Project Timeline is subject to the prior review and written approval of the City. Subject to prior City approval, Subrecipient shall update the Project Timeline quarterly, if necessary, and provide such updates to the City in order to monitor and evaluate Subrecipient's performance. Failure to meet any milestones or deadlines as set forth in Subrecipient's Project Timeline may result in the City reducing Grant Funds allocated to the Subrecipient, as more fully set forth in §301 of this UASI 14 Subrecipient Agreement 7 Agreement. E. [Intentionally Omitted] F. Any equipment acquired pursuant to this Agreement shall be authorized, subject to, and in compliance with the CalOES 14 Handbook, CalOES 14 Supplement, GMMs, UASI Authorized Equipment List (https://www.rkb.us), Grantor Information Bulletins, DHS Terms and Conditions and DHS 14 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/disallowed and/or not promptly repaid as required by applicable Grant regulations. Any equipment acquired or obtained with Grant Funds: 1. 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. G. For the purposes of this subsection, "Equipment" is defined as nonexpendable property that is not consumed or does not lose its identity by being incorporated into another item of equipment, which costs $5,000 or more per unit, or is expected to have a useful life of one (1) year or more. Items costing less than $5,000, but falling into the following categories are also considered Equipment: (1) electronics communications equipment for stationary or vehicular use, including cellular telephones acquired by lease or purchase, and (2) electronic office equipment, including facsimile machines, copiers, electric typewriters, personal computers (monitors and CPU's), terminals and printers. 1. Equipment shall be used by Subrecipient in the program or project for which it was acquired as long as needed, whether or not the UASI 14 Subrecipient Agreement 8 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 hftp://www.rkb.mipt.org d. The AEL title e. The invoice number f. The vendor g. Total cost (prime vendor) h. Total cost (general) i. Cash request # j. Acquired date k. ID Tag # I. 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 UASI 14 Subrecipient Agreement 9 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. 8. Requests to establish or enhance Emergency Operation Centers (EOCs) must be made in writing and accompanied by a completed Establish/Enhance EOC Request form, attached hereto as Exhibit 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 March 15, 2015. Purchases may not be made nor may the project commence until Request forms are submitted to and approved by the City. The City will notify the Subrecipient in writing if Request forms are inaccurate and/or incomplete. Inaccurate 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. H. Any training, planning, or organizational activities paid or any exercise undertaken pursuant to this Agreement shall be authorized, subject to, UASI 14 Subrecipient Agreement 10 and in compliance with the CalOES 14 Handbook, CalOES 14 Supplement, GMMs, Grantor Information Bulletins, DHS Terms and Conditions and DHS 14 Guidance. A catalogue of Grantor approved and sponsored training courses is available at http://www.firstresi)ondertrainina.gov/odp webforms. Subrecipient must have a City approved, tangible deliverable for all planning projects. Plans and reports for all organizational activities shall be in the form requested by the City, and shall be provided in a timely manner. Detailed Homeland Security Exercise and Evaluation Program Guidance is available at http://hseep.dhs.aov. Reference materials and additional details are available at http://www.oes.ca.gov. Because a hold is in place on Fusion Center activities, Subrecipient is prohibited from obligating, expending, or drawing down Grant Funds in support of any fusion center activities. The City will notify the Subrecipient in writing when Grantor has lifted the hold. If and when the hold is lifted, 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: Reimbursement Checklist 2. Reimbursement Request Form 3. Equipment Ledger 4. Training Roster 5. Exercise Roster 6. Planning Roster K. 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 CalOES in their sole discretion. L. 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. CalOES shall have the right to place a lien on any such improved real property for any amounts owed in connection with such deobligation/disallowment. UASI 14 Subrecipient Agreement 11 M. 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. N. When using Grant Funds to support the purchase of emergency communication equipment or activities related to the provision of emergency communications equipment, Subrecipient shall comply with the FY 2014 SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 12 III. PAYMENT §301. Payment of Grant Funds and Method of Payment A. The City of Los Angeles shall disburse to Subrecipient its allocated Grant amount of Eight Hundred Ninety -Eight Thousand Five Hundred Seven Dollars ($ 898,507) 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 14 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. 1. 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. To that end, the City has been UASI 14 Subrecipient Agreement 13 charged with working with all subrecipients to develop regional projects and to discourage projects that only benefit one local jurisdiction. For regional project reimbursements, Subrecipient must include approval from the lead agency for all submitted invoices. 2. 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 60 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. F. The City reserves the right at any time to modify the amount of Grant Funds allocated to the Subrecipient in this Agreement in the event that the Subrecipient does not meet milestone spending deadlines or other project milestones for their contemplated projects as set forth in Subrecipient's Project Timeline. The Subrecipient will be notified in writing of such modifications made to its allocation of Grant Funds for failure to meet milestones or deadlines set forth in its Project Timeline. Such modifications include, but are not limited to, suspension, termination or reduction of Grant Funds allocated to the Subrecipient. In addition, Subrecipient shall promptly repay to City any unapproved expenditures relating to such modifications. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 14 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. §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 UASI 14 Subrecipient Agreement 15 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. §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 UASI 14 Subrecipient Agreement 16 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. 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 UASI 14 Subrecipient Agreement 17 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; The subcontractor is someone with whom such person has or is negotiating any prospective employment; or 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. 2. The term "financial or other interest" includes but is not limited to: Any direct or indirect financial interest in the specific contract, including a commission or fee, a share of the proceeds, prospect of a promotion or of future employment, a profit, or any other form of financial reward. Any of the following interests in the subcontractor ownership: partnership interest or other beneficial interest of five percent or more; ownership of five percent or more of the stock; employment in a managerial capacity; or membership on the board of directors or governing body. C. The Subrecipient further covenants that no officer, director, employee, or agent shall solicit or accept gratuities, favors, anything of monetary value from any actual or potential subcontractor, supplier, a party to a sub agreement, (or persons who are otherwise in a position to benefit from the actions of any officer, employee, or agent). D. The Subrecipient shall not subcontract with a former director, officer, or employee within a one year period following the termination of the relationship between said person and the Subrecipient. E. Prior to obtaining the City's approval of any subcontract, the Subrecipient shall disclose to the City any relationship, financial or otherwise, direct or indirect, of the Subrecipient or any of its officers, directors or employees or their immediate family with the proposed subcontractor and its officers, directors or employees. UASI 14 Subrecipient Agreement 18 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. I. The Subrecipient shall incorporate the foregoing subsections of this Section into every agreement that it enters into in connection with this project and shall substitute the term "subcontractor" for the term "Contractor" and "sub subcontractor" for "Subcontractor". §412. Restriction on Disclosures Any reports, analysis, studies, drawings, information, or data generated as a result of this Agreement are to be governed by the California Public Records Act (California Government Code §6250 et seq.). §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, UASI 14 Subrecipient Agreement 19 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 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: 1. Office of Management and Budget (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 (Uniform Administrative Requirements for 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. 2. Single Audit Act If Federal funds are used in the performance of this Agreement, Subrecipient shall adhere to applicable rules and regulations of the Single Audit Act, 31 USC §7501 et sea.; 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. UASI 14 Subrecipient Agreement 20 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. 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, to support the enactment, defeat, repeal, modification or adoption of any law, regulation, pending legislation, pending regulation, or policy (pending or otherwise), at any level of government. None of the funds provided pursuant to this Agreement shall be used for any sectarian purpose or to support or benefit any sectarian activity. b. Concurrent with the execution of this Agreement, Subrecipient shall submit to the City a Certification Regarding Lobbying and a Disclosure Form in accordance with 31 U.S.C. §1352. A copy of the Certificate is attached hereto as Exhibit C and incorporated herein. No funds will be released to Subrecipient until the Certification is filed. C. Subrecipient shall file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of any of the information contained in any Disclosure Form previously filed by Subrecipient. Subrecipient shall require that the language of this Certification be included in the award documents for all sub -awards at all tiers and that all subcontractors shall certify and disclose accordingly. UASI 14 Subrecipient Agreement 21 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 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 CaIOES, 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 support 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. d. 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 UASI 14 Subrecipient Agreement 22 this Agreement. Records Maintenance 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). b. Subrecipient shall comply, as applicable, with the provisions UASI 14 Subrecipient Agreement 23 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 with minimum wage and maximum hours provisions, 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, 42 U.S.C. § 2000d et seg., 6 CFR Part 21 and 44 CFR Part 7), which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and 1685-1686, 6 CFR Part 17, 44 CFR Part 19), which prohibits discrimination on the basis of gender in educational programs and activities; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), as amended, which provides that no otherwise qualified individual with a disability in the United States will, solely by reason of the disability, be excluded from participation in, be denied employment to, be denied the services or the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance; (d) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance; (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 UASI 14 Subrecipient Agreement 24 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 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. Subrecipient will comply with the DHS Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed. Reg. 21755-21768 (April 18, 2011), resulting from 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. For assistance and information regarding LEP obligations, refer to DHS Recipient Guidance at https://www.dhs.gov/guidance-published- help-department-supported-organizations-provide-mean i ngful- access-people-limited and additional resources on http://www.lep.gov. 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 (including limited English proficiency), the Subrecipient shall provide a list of all such proceedings, pending or UASI 14 Subrecipient Agreement 25 completed, including outcome and copies of settlement agreements to the City, the Grantor/CaIOES, and the DHS Office of Civil Rights and Civil Liberties. 10. Environmental a. Subrecipient shall comply, or has already complied, with the applicable requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. §4601 et seq. [P.L. 91-646]) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or Federally -assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. Subrecipient shall also comply, as applicable, with Title 44 CFR Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally -assisted programs. b. Subrecipient shall comply, as applicable, with, and provide any information requested by DHS/FEMA/CaIOES 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; Q) requirements of Section 1306(c) of the National Flood Insurance Act of 1968, as amended (44 CFR Part §63); and (k) 44 CFR Part §10, Environmental Considerations. UASI 14 Subrecipient Agreement 26 a. 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 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. The DHS/FEMA EHP Screening Form is available at: www.fema.gov/doc/governmentlarant/builetins/info329 final screening memo.doc. 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/CalOES and the appropriate State Historic Preservation Office. b. 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. C. 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. d. 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. e. Subrecipient shall ensure that the facilities under its ownership, lease or supervision which shall be utilized in the UASI 14 Subrecipient Agreement 27 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/CalOES 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. f. 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. g. Subrecipient shall comply, as applicable, with the Energy Policy and Conservation Act (P.L. 94-163, 89 Stat. 871). h. 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 UASI 14 Subrecipient Agreement 28 12549 and 12689, "Debarment and Suspension." 13. Drug -Free Workplace Subrecipient shall comply, as applicable, with the Federal Drug - Free Workplace Act of 1988, 41 U.S.C. §701 et. seq., 44 CFR Part 17, 2 CFR 3001, and the California Drug -Free Workplace Act of 1990, Government Code §§ 8350-8357. Subrecipient shall execute and submit to the City concurrent with the execution of this Agreement the Certification Regarding Drug Free Workplace Requirements attached hereto as Exhibit D and made a part hereof. Failure to comply with these requirements may be cause for debarment. 14. Miscellaneous Subrecipient shall comply, as applicable, with the Animal Welfare Act of 1966, as amended (P.L. 89-544, 7 U.S.C. §§2131 et seq.), pertaining to the care, handling and treatment of warm blooded animals held for research, teaching, or other activities. 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 and Administrative Guide for Grants (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; All provisions of the Federal Acquisition Regulations (FAR), including, UASI 14 Subrecipient Agreement 29 without limitation, 48 CFR Part 31.2 Contract Cost Principles and Procedures, Contracts with Commercial Organizations; DHS 14 Guidance; CalOES 14 Supplement; CalOES 14 Handbook; CalOES FY 14 Grant Assurances (attached hereto as Exhibit E); Grantor Information Bulletins; and GMMs. 2. Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and CCR Title 19, §§ 2445-2448. 3. Technology Requirement: a. Subrecipient shall use the latest National Information Exchange Model (NIEM) specifications and guidelines regarding the use of Extensible Markup Language (XML) for all projects funded by this Grant. Further information about the required use of NIEM specifications and guidelines is available at www.niem.gov. 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 UASI 14 Subrecipient Agreement 30 C. Use forced labor in the performance of the award or subaward under this Grant award. Subrecipient understands and agrees that the City, CaIOES and/or Grantor may unilaterally terminate this Grant award to Subrecipient, without penalty, if Subrecipient: d. Is determined to have violated a prohibition identified in this paragraph 5, subparagraph a, b, or c; or e. Has an employee who is determined by an agency official authorized to terminate this Grant award to have violated any such prohibition through conduct that is either i. associated with performance under this Grant award; or ii. imputed to the Subrecipient or its authorized agent using the standards and due process for imputing the conduct of an individual to an organization provided in 2 CFR Part 180, as implemented by Grantor at 2 CFR Part 3000. Subrecipient further understands and agrees that: 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: an individual employed by the Subrecipient who is engaged in the performance of the project or program under this award; or 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. "Forced labor' means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for UASI 14 Subrecipient Agreement 31 labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage or slavery. iii. "Private entity" means any entity other than a state, local government, Indian Tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25, and includes non-profit organizations, including any non-profit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian Tribe at 2 CFR 175.25(b), and for - profit organizations. iv. "Severe forms of trafficking in persons," 'commercial sex act," and 'coercion" have the meanings given at Section 103 of the TVPA, as amended. 6. "Classified national security information," as defined in Executive Order (EO) 12958, as amended, means information that has been determined pursuant to EO 12958 or any predecessor order to require protection against unauthorized disclosure and is marked to 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 UASI 14 Subrecipient Agreement 32 processing instructions. 7. Subrecipient shall ensure that any of its potential subrecipients of Grant Funds has provided its Data Universal Numbering System (DUNS) number. 8. Subrecipient shall comply with Grantor guidelines regarding the handling of 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 http://www.dhs.gov/xlibrary/assets/privacy/privacy pia auidance iu ne2010.0 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: (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 interpretive guidelines issued by the Comptroller General of the United States in the March 31, 1981 amendment to Comptroller General Decision B138942. 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) UASI 14 Subrecipient Agreement 33 (P.L. 109-282), as amended by Section 6202(a) of the Government Funding Transparency Act of 2008 (P.L. 110-252), and as clarified in Grantor Information Bulletin #350 and GMM #350, regarding disclosure of subawards and executive compensation. C. Noncompliance Subrecipient understands that failure to comply with any of the above assurances or the Grant Assurances attached hereto as Exhibit E may result in suspension, termination or reduction of Grant Funds, and repayment by Subrecipient to City of any unlawful expenditures. Subrecipient shall be liable to the Grantor for any funds the Grantor determines that Subrecipient used in violation of these Grant Assurances and Subrecipient shall indemnify and hold harmless the City for any sums the Grantor determines Subrecipient used in violation of the Grant Assurances. The provisions of this paragraph shall survive termination of this Agreement. §416. Inventions. Patents and Copyrights A. Reporting Procedure for Inventions If any project of Subrecipient funded under this Agreement produces any invention or discovery ("Invention") patentable or otherwise under Title 35 of the U.S. Code, including, without limitation, processes and business methods made in the course of work under this Agreement, Subrecipient shall report the fact and disclose the Invention promptly and fully to the City. The City shall report the fact and disclose the Invention to the Grantor/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 2/18/1983); 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/CaIOES regarding allocation of any patent rights that arise from, or are purchased with, Grant Funds. B. Rights to Use Inventions City and Grantor/CalOES shall have an unencumbered right, and a non- exclusive, irrevocable, royalty -free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any UASI 14 Subrecipient Agreement 34 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, unless the Material 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). 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. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 35 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 three (3) duplicate originals, each of which is deemed to be an original. This Agreement includes thirty-seven (37) pages and twelve (12) Exhibits which constitute the entire understanding and agreement of the parties. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 36 IN WITNESS WHEREOF, the City and Subrecipient have caused this Agreement to be executed by their duly authorized representatives. APPROVED AS TO FORM AND For: THE CITY OF LOS ANGELES LEGALITY: ERIC GARCETTI, Mayor MICHAEL N. FEUER, City Attorney By By Deputy City Attorney Eric Garcetti, Mayor Homeland Security and Public Safety, Mayor's Office Date Date ATTEST: HOLLY L. WOLCOTT, Interim City Clerk By Deputy City Clerk Date APPROVED AS TO FORM: For: The City of Vernon, a municipal corporation By By , 01 khi6wx yn ZaMoussa, Deputy City Attorney�.,� Date -W. Michael McCormick, Mayor Date `7111A(4eej .,z?4� ATTEST: By y� rJo [SEAL] Maria . Ayala, City Clerk Date OT 8 Zo 1 City Business License Number: _ Internal Revenue Service ID Number: Council File/OARS File Number: 14-0820 City Contract Number: Date of Approval UASI 14 Subrecipient Agreement 37 EXHIBIT A Exhibit A Insurance (Not applicable to this Agreement) EXHIBIT B EXHIBIT B INSTRUCTIONS FOR CERTIFICATION l . 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 Govemment, 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 funds 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 Programs. 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 debarment. 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) 1. 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 had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph 1(b) of this certification; and (d) Have not within a three-year period preceding this Agreement had one or more public transactions (Federal, State, or local) terminated for cause or default. 2. Where the prospective recipient of Federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. AGREEMENT NUMBER City of Vernon Mark Whitworth, City Administrator NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNA . 3 DATE Maria E. 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: 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 Mark Whitworth, City Administrator NAME AND TITLE OF AUTHORIZED REPRESENTATIVE EXHIBIT D EXHIBIT D CERTIFICATIONREGARDING DRUG FREE WORKPLACE ACT The Contractor/Subrecipient certifies that it will or will continue to provide a drug -free workplace, in accordance with the federal Drug -Free Workplace Act of 1988 (41 U.S.C. 701 et sec..), 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 .. . .. .. ..... Mark Whitworth, City Administrator NAME AND TITLE OF AUTHORIZED REPRESENTATIVE DATE Maria E. Ayala, City (%rk *NOTE: dapitalized terms herein shall have those meanings set forth in the Agreement to which this Certification is attached as an Exhibit EXHIBIT E EXHIBIT E California Governor's Office of Emergency Services FY 2014 Grant Assurances (All HSGP Applicants) Name of Applicant: City of Los Angeles Address: 200 No. Spring Street, Room 303 City: Los Angeles State: Telephone Number: (213) 978-0730 E-Mail Address: alisa.finsten@lacity.org CA Zip Code: 90012 Fax Number: (213) 978-0718 As the duly authorized representative of the applicant, I certify that the applicant named above: L Will assure that the Funding Opportunity Announcement for this program is hereby incorporated into your award agreement by reference. By accepting this award, the recipient agrees that all allocations and use of funds under this grant will be in accordance with the requirements contained in the FY2014 Homeland Security Grant Program Funding Opportunity Announcement, the California Supplement to the FY2014 Homeland Security Grant Program Funding Opportunity Announcement, and all applicable laws and regulations. 2. 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 FY2014 Homeland Security Grant Program application. Further, use of FY2014 funds is limited to those investments included in the California FY2014 Investment Justifications submitted to DHS/FEMA and Cal OES and evaluated through the peer review process. 3. Understands that in the event FEMA determines that changes are necessary to the award document after an award has been made, including changes to period of performance or terms and conditions, recipients will be notified of the changes in writing. Once notification has been made, any subsequent request for funds will indicate recipient acceptance of the changes to the award. Please call the FEMA/GMD Call Center at (866) 927-5646 or via e-mail to ASK-GMD t(�i dhs.gov if you have any questions. 4. 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 (DHS)/Federal Emergency Management Agency (FEMA) and sub - granted through the State of California, California Governor's Office of Emergency Services (Cal OES). 5. 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. 6. Will comply with any cost sharing commitments included in the FY2014 Investment Justifications submitted to DHS/FEMA/Cal OES, where applicable. 7. Will establish a proper accounting system in accordance with generally accepted accounting standards and awarding agency directives. Page I Initials 8. Will give the DHS/FEMA, the General Accounting Office, the Comptroller General of the United States, the Cal OES, 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. 9. Agrees, and will require any subrecipient, contractor, successor, transferee, and assignee to acknowledge and agree to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff. a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS or Cal OES. b. Recipients must give DHS 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 facilities, personnel, and other individuals and information as may be necessary, as required by DHS and Cal OES program guidance, requirements, and applicable laws. c. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance, and recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports. d. If, during the past three years, the recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS/Cal OES awarding office and the DHS Office of Civil Rights and Civil Liberties. e. 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 Component and/or awarding office. The United States has the right to seek judicial enforcement of these obligations. 10. 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. 11, 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. 12. Understands that a hold is in place on Fusion Center activities and the applicant is prohibited from obligating, expending, or drawing down HSGP — UASI funds in support of their State and/or Major Urban Area Fusion Center. Cal OES will notify the subgrantee in writing when DHS/FEMA has lifted the hold. 13. Will initiate and complete the work within the applicable timeframe (subgrantee performance period), 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. Page 2 Initials 14. Will provide timely, complete and accurate progress reports, and maintain appropriate support documentation to support the reports, and other such information as may be required by the awarding agency, including the Initial Strategy Implementation Plan (ISIP), within 45 (forty-five) days of the award, and update these reports and related documentation via the Grant Reporting Tool (GRT) twice each year. 15. 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. 16. Agrees to be non -delinquent in the repayment of any Federal debt. Examples of relevant debt, include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A- 129 and form SF-424B, item number 17 for additional information and guidance. 17. Will comply with the requirements of 31 U.S.C. § 3729, which set 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. §§ 3801-3812, addressing false claims and statements made. 18. 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. 19. Will comply with the Office of Management and Budget (OMB) Circular A-102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (also known as the "A-102 Common Rule"), which are also located found within DHS regulations at Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments"; will comply with OMB Circular A -I 10, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations, relocated to 2 CFR Part 215. 20. Will comply with the financial and administrative requirements set forth in the current edition of the DHS Financial Management Guide; 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-] 22, 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. 21. 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. 22. 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. 23. 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. 24. 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. 25. Will comply with all applicable lobbying prohibitions and laws, including those found 31 U.S.C.§ 1352., and agrees that none of the funds provided under this award may be expended by the recipient to pay any Page 3 Initial 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. 26. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority -owned, women -owned, or disadvantaged businesses, to the extent practicable. 27. Will comply with Title 2 of the Code of Federal Regulations Part 225, Appendix A, paragraph (C)(3)(c), which provides that any cost allocable to a particular Federal award or cost objective under the principles provided for in this authority may not be charged to other Federal awards to overcome fund deficiencies. 28. 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. 29. 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. 30. Will comply with all federal and state laws and regulations relating to civil rights protections and nondiscrimination. These include, but are not limited to: a. Title VI of the Civil Rights Act of 1964, Public Law 88-352, (42 U.S.C. § 2000d et seq.), codified at 6 CFR Part 21 and 44 CFR Part 7, which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § 1681 et seq.), which prohibits discrimination on the basis of gender in educational programs and activities. These regulations are codified at 6 CFR Pert 17 and 44 CFR Part 19. c. The Americans with Disabilities Act, as amended, which prohibits recipients from discriminating on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. § 12101 et seq.). d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving federal financial assistance. 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. 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. h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq., as implemented by 24 CFR Part 100), as amended, relating to nondiscrimination in the sale, rental and financing of housing. i. Title 44 of the Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination. j. 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. k. The requirements of Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794, as amended, which provides that no otherwise qualified individual with a disability in the United States will, solely by reason of the disability, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance, These requirements pertain to the provision of benefits or services as well as to employment. 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 Page 4 Initials 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. in. 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. 31. Will comply with the requirements of Titles li and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [P.L. 91-646]), which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or Federally assisted programs. These requirements apply to all interested in real property acquired for 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. 32. Will comply with all provisions of DHS/FEMA's regulation 44 CFR Part 10, Environmental Considerations. 33. 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. The subgrantee must comply with all conditions and restrictions placed on the project as a result of the EHP review. Any construction -related activities initiated without the necessary EHP review and approval will result in a noncompliance finding, and may not be eligible for reimbursement with DHS/FEMA and 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. 34. 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 1660-0115/FEMA Form 024-0-01) and submit it, with all supporting documentation, to their Cal OES program representative, for processing by the DHS/FEMA GPD EHP. 35. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving their grant award. The Screening From for these types of projects is available at: www.fema.fzov/doc/%zoveriiment/grant/bulletins/info329 final screenine memo.doc. 36. Will ensure that the facilities raider 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 OES 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 raider consideration for listing by the EPA. 37. 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 (EO12898) and Environmental Quality (EO1 1514). OF Page 5 Initials 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. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523). e. California Environmental Quality Act (CEQA), California Public Resources Code Sections 21080- 21098, and California Code of Regulations, Title 14, Chapter 3 §§ 15000-15007. f. 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. g. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC § 3501 et seq.), which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 38. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code, Chapter 7 of Division I of Title 2, § 8607.Ile) and CCR Title 19, §§ 2445, 2446, 2447, and 2448. 39. Agrees that subgrantees and subrecipients collecting Personally Identifiable Information (PII) must have a publically-available privacy policy that describes what PH they collect, how they plan to use the Pll, whether they share PH with third parties, and how individuals may have their PII corrected where appropriate. Subgrantees and subrecipients may also find DHS Privacy Impact Assessments, guidance and templates online at httV•//www dhs eov/xlibrarv/assets/privacy/privacy Via fuidance 1une2010 pddf and at 40. 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. 41. 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 fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C, § 2225. 42. Will comply with the Preference for 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. 43. Agrees that all publications created or published with funding under this grant shall prominently contain the following statement: "This document was prepared under a grant from FEMA's Grant Programs Directorate, U.S. Department of Homeland Security. Points of view or opinions expressed in this document are those ofthe authors and do not necessarily represent the officialposition or policies ofFEAM's Grant Programs Directorate or the U.S. Department of Homeland Security. " The recipient also agrees that, when practicable, any equipment purchased with grant funding shall be prominently marked as follows: "Purchased with funds provided by the U.S. Department of Homeland Security. " 44. 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 whicha recipient or sub -recipient purchases ownership with Federal support. The recipient must affix the applicable copyright notices of 17 U.S.C. section 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under Federal financial assistance awards, unless the work Page 6 lnitial 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). 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. 45, Recipients receiving 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 disal lowment 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 $100 per Federal Fiscal Year. 46. Understands that recipients who receive awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. 47. 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. 48. 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. 49. Agrees that "Classified national security information," as defined in Executive Order (EO) 12958, as amended or updated via later executive order(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, 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. 50. 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 may be located at: http://www.dhs.pov/xol2nbizJjzrarits/iiidex.shtm Page 7 Initials 51. 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 of such 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:202-447-5346 Email: DD254Administrativesecurity@dhs.gov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD/Industrial Security Program Branch Washington, D.C. 20528 52. 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. For purposes of this award term, the following definitions will apply: a. "Data Universal Numbering System (DUNS)' number means the trine digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number maybe obtained from D&B by telephone (currently 866-705-5711) or the Internet, currently at http://fedgov.dnb.com/webform. 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 public entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for - profit organization; or a Federal agency, but only as a sub recipient under an award or subaward to a non -Federal entity. c. "Subaward" means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. It does not include your procurement of property and services needed to carry out the project or program (for further explanation, see section 210 of the attachment to OMB Circular A-133,"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. 53. Will 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), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for Federally -assisted construction sub -agreements. 54. 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 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. b. Is consistent with needs as identified in the State Homeland Security Strategy and will be deployed in conformance with that Strategy. 55. 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 Page 8 Initials 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. 56. Will comply with OMB Standard Form 424B Assurances — Non construction Programs, whereby the awarding agency may require subgrantees and subrecipients to certify to additional assurances. 57. 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 athree-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction, violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and have not within a three-year period preceding this application had one or more public transactions (Federal, State, or local) terminated for cause or default; and d. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 58. 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. 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 Drug -Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -free workplace. The recipient must notify the awarding office if an employee of the recipient is convicted of violating a criminal drug statute. Failure to comply with these requirements may be cause for debarment. These regulations are codified at 2 CFR 3001. 61. Will comply with the requirements of the government -wide award term which implements Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2 CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register; Volume 72, No. 218, November 13, 2007. In accordance with Section 106(g) of the TVPA, as amended, requires the agency to include a condition that authorizes the agency to terminate the award, without penalty, if the recipient or a subrecipient engages in severe forms of trafficking in persons during the period of time that the award is in effect, procures a commercial sex act during the period of time that the award is Page 9 Initial 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. 62. Will comply with Title VI of the Civil Rights Act of 1964 prohibition against discrimination on the basis of national origin, which requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to their programs and services. 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. Recipient shall comply with DHS Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed. Reg. 21755-21768 (April 18, 2011), resulting from Executive Order 13166. For assistance and information regarding LEP obligations, refer to DHS Recipient Guidance at https://www.dhs gov/+guidance-published-help-department-supported-organizations-provide-meaningful- access-people-limited and additional resources onfittp://www.lep.eov. 63. 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. 64. 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. 65. 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. 66. Will comply with the requirements of section 1306(c) of the National Flood Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for demolition or 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. 67. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4001 et seq.), which provides that no Federal financial assistance to acquire, modernize, or construct property may be provided in identified flood -prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support, Lists of flood -prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. 68. Will comply with the requirements of Executive Order 11990, which provides that federally -funded construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive Order provides that, in furtherance of section 101(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, Page 10 Initials 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. 69. Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any biological agent or toxin that is listed as a select agent. 70. 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 section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, b. Where and when to report: you must report on each obligating action described in the following paragraphs to Cal 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, 2013, the obligation must be reported by no later than December 31, 2013.) 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.secgov/answers/execomp.htm. 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 L 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 Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. §§ 78m(a), 78o(d)) or § 6104 of the htternal 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 http://www.see.tyov/aliswers/execomp,htm.) iv. Subrecipient Executives. Unless you are exempt as provided above, for each first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient received 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal Page I l Initials financial assistance subject to the Transparency Act (and subawards); and the public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. §§ 78m(a), 78o(d)) or § 6104 of the Internal Revenue Code of 1986. 71. Understands that failure to comply with any of these assurances may result in suspension, termination, or reduction of grant funds. 72. The undersigned represents that he/she is authorized by the above named applicant to enter into this agreement for and on behalf of the said applicant. Signature of Authorized Agent: Printed Name of Authorized Agent: Alisa Finsten Title: Director of Grants and Finance Date: October 28, 2014 Page 12 EXHIBIT F EXHIBIT F U.S. DEPARTMENT OF HOMELAND SECURITY FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) FY 2014 HOMELAND SECURITY GRANT PROGRAM (HSGP) 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 Program Title Homeland Security Grant Program Authorizing Authority for Program Section 2002 of The Homeland Security Act of 2002, as amended (Pub. L. No. 107-296), (6 U.S.C. § 603) Appropriation Authority for Program The Department of Homeland Security Appropriations Act, 2014 (Pub. L. No. 113-76) FOA Number DHS-I4-GPD-067-000-01 Key Dates and Time Application Start Date: Application Submission Deadline Date: Anticipated Funding Selection Date: Anticipated Award Date: Other Key Dates Period of Performance Start Date: Period of Performance End Date: 03/18/2014 05/23/2014 at 11:59:59 p.m. EDT 07/26/2014 No later than 09/30/14 09/01/2014 08/31/2016 Intergovernmental Review An intergovernmental review may be required. Applicants must contact their State's Single Point of Contact (SPOC) to comply with the State's process under Executive Order 12372 (see http://wwwfws.gov/policy/librarylrgeo]2372.pd). Name and addresses of the SPOCs are 1 FY 2014 HSGP FOA maintained at the Office of Management and Budget's home page at ham•//www whitehouse.2ov/omb/erantsspoc to ensure currency. FY 2014 HSGP FOA FOA EXECUTIVE SUMMARY The FY 2014 HSGP plays an important role in the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities essential to achieving the National Preparedness Goal (the Goal) of a secure and resilient Nation. The building, sustainment, and delivery of these core capabilities are not exclusive to any single level of government, organization, or community, but rather, require the combined effort of the whole community. The FY 2014 HSGP supports core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery based on allowable costs. HSGP is comprised of three interconnected grant programs: • State Homeland Security Program (SHSP) • Urban Areas Security Initiative (UASI) • Operation Stonegarden (OPSG) Together, these grant programs fund a range of preparedness activities, including planning, organization, equipment purchase, training, exercises, and management and administration. Funding Category Continuing Date of Origin for Program 11/25/2002 Type of Funding Instrument SHSP and UASI are mandatory grants; OPSG is a discretionary grant Application Process The Department of Homeland Security makes all funding opportunities available through the common electronic "storefront' Grants.gov, accessible on the Internet at htw:11 nvw.,grants.Qov. For details on how to apply through grants.gov, please read Section IX, "How to Apply." Eligible Applicants State governments FY 2014 HSGP FOA FULL FUNDING OPPORTUNITY ANNOUNCEMENT I. Funding Opportunity Description A. Program Summary The FY 2014 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 targets are established during the THIRA process, and 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 capability targets identified during the THIRA 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 gaps to prevent, protect, mitigate, respond to, and recover from acts of terrorism and other disasters. B. Program Priorities The National Preparedness System is the instrument the Nation employs to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the Goal) of a secure and resilient Nation. Complex and far-reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government. The guidance, programs, processes, and systems that support each component of the National Preparedness System allows for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. The purpose of the HSGP is to prevent terrorism and to prepare the Nation for the threats and hazards that pose the 4 FY 2014 HSGP FOA greatest risk to the security of the United States; therefore, HSGP funded investments must have a terrorism -nexus. To evaluate National progress in building, sustaining, and delivering the core capabilities outlined in the Goal, FEMA annually publishes the National Preparedness Report (NPR). Looking across all 31 core capabilities outlined in the Goal, the NPR provides a National perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of shared concern. Grantees are expected to consider National areas for improvement identified in the 2013 National Preparedness Report, which include cybersecurity, recovery -focused core capabilities, the integration of individuals with access and functional needs, enhancing the resilience of infrastructure systems, and maturing the role of public -private partnerships. Addressing these areas for improvement will enhance preparedness Nation- wide. In addition, the Department of Homeland Security expects grantees to prioritize grant funding to address gaps identified through the annual SPR in achieving capability targets set through the annual THIRA. These assessments identify the jurisdictions' capability targets and current ability to meet those targets. Grantees should prioritize grant funds to increase capability for high -priority core capabilities with low capability levels. Minimum funding amounts are not prescribed by the Department for these priorities; however, grantees are expected to support state, local, regional, and National efforts in achieving the desired outcomes of these priorities. Appendix B also includes other areas where funding can be applied to strengthen preparedness efforts. II. Funding Information A. Available funding for the FOA $1,043,346,000 For details on program -specific funding amounts, refer to Appendix A — FY 2014 Program Allocations. B. Period of Performance Twenty-four (24) months 5 FY 2014 HSGP FOA C. Extensions to the Period of Performance 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 period of performance extensions, refer to Information Bulletin (IB) 379 located at httD: //www. fema.2ov/¢rants/grant-oroQrams-directorate-information-bulletins D. Risk Methodology Based upon the requirements of the Homeland Security Act of 2002, as amended, DHS continues to inform final grant allocation decisions 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 httn://www.dhs.eov/xlibraglassets/dhs-risk-lexicon-2010.ndfl. DHS utilizes a comprehensive risk methodology focused on three principal elements: • Threat —likelihood of an attack being attempted by an adversary; • Vulnerability — likelihood that an attack is successful, given that it is attempted; and • Consequence — effect of an event, incident or occurrence The risk methodology determines the relative risk of terrorism faced by a given area. It takes into account the potential risk of terrorism to people, critical infrastructure, and economic security. The threat analysis continues to account for threats from domestic violent extremists as well as international terrorist groups and those individuals inspired by terrorists abroad. SHSP Allocations FY 2014 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 Investment Justification (IJ), align with the State THIRA and SPR results. Each State and territory will receive a minimum allocation under SHSP using the thresholds established in the Homeland Security Act of 2002, as amended. 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. 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. For details on program -specific funding amounts, refer to Appendix A — FY 2014 Program Allocations. UASI Allocations FY 2014 UASI funds will be allocated based on DHS' risk methodology and then on 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 U, align with the Urban Area THIRA. Eligible candidates for the FY 2014 UASI program 6 FY 2014 HSGP FOA have been determined through an analysis of relative risk of terrorism faced by the 100 most populous metropolitan statistical areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at http://www.census.gov/population/www/metroareas/metrode .html. For details on program -specific funding amounts, refer to Appendix A — FY 2014 Program Allocations. OPSG Allocations FY 2014 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 2014 Operation Orders to designated localities within the United States Border States and territories. For details on program -specific funding amounts, refer to Appendix A — FY 2014 Program Allocations. III. Eligibility Information A. Eligibility Criteria All 56 States, territories and Commonwealths are eligible to apply for SHSP funds. For those States, territories and Commonwealths that are eligible for UASI and/or OPSG funds, the State Administrative Agency (SAA) is the only entity eligible to submit applications to FEMA on behalf of UASI and OPSG applicants. Eligible sub -recipients under the FY 2014 OPSG are local units of government at the county level and Federally -recognized Tribal governments in the States bordering Canada, States bordering Mexico, and States and territories with international water borders. All applicants must have active ongoing CBP operations coordinated through a sector office. Eligible States and territories with a county or similar level of government structure are authorized to accept applications on behalf of the alternative unit of local government. SAAs in this situation must advise FEMA in writing as to their intent to apply. i. Cost Share/Match A cost share/match is not required under this Program. ii. Maintenance of Effort Maintenance of effort is not required under this Program. iii. Pass Through Funding 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. If receiving OPSG funds, the recipient must pass through 100 percent (100%) of OPSG allocations to eligible jurisdictions. For States withholding Management and Administration M&A costs, please refer to Section IV, A, ii on M&A for how to calculate percentage pass through funds. FY 2014 HSGP FOA iv. Other Eligibility Requirements Emergency Management Assistance Compact (EMAC) Membership In support of the Goal, grantees must belong to, be located in, or act as a temporary member 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 2014 HSGP funding by States, territories, and Tribes must be readily deployable to support emergency or disaster operations per existing EMAC agreements. hi 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 Goal, and fusion centers. National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2014, 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.fema.jeovlresource-manaLyement. FEMA 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 httD://www.fema.eov/ndf/emerrencv/nims/nims alert cred euideline.ndf Emergency Operation Plan (EOP) Grantees must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 version 2.0, Developing and Maintaining Emergency Operations Plans. Grantees will use the State Preparedness Report (SPR) to report their compliance with this reporting requirement. 8 FY 2014 HSGP FOA Threat and Hazard Identification and Risk Assessment (THIRA) Grantees must update their THIRA by December 31, 2014. Further details on the THIRA as it relates to HSGP Program requirements can be found in Appendix B - FY 2014 HSGP Program Priorities. For additional guidance on THIRA, please refer to CPG 201, Second Edition, available at http://www.fema.gov/plan. State Preparedness Report (SPR) The SPR is an annual capability assessment. The Post -Katrina Emergency Management Reform Act of 2006 (PKEMRA) requires an SPR from any state/territory receiving federal preparedness assistance administered by DHS. Each state submits an annual SPR to FEMA. Refer to Appendix B — FY 2014 HSGP Program Priorities for additional guidance on SPR requirements. IV. Funding Restrictions A. Restrictions on Use of Award Funds Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other Federal grants/cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the federal government or any other government entity. For additional details on restrictions of the use of funds, refer to Appendix C — FY2014 HSGP Funding Guidelines. i. Pre -award Costs Pre -award costs are allowable only with the written consent of DHS and if they are included in the award agreement. ii. Direct Costs Management and Administration (M&A) Management and administration (M&A) activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. 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. 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. A State's HSGP funds for M&A calculation purposes includes the sum total of its SHSP, UASI, and, where applicable, OPSG awards. While the SAA may retain up to five percent (5%) of this total for M&A, grantees must still ensure that all sub -grantee award amounts meet the mandatory minimum pass through requirements which are applicable to each HSGP program. To meet this requirement the percentage of 9 FY 2014 HSGP FOA SHSP, UASI and OPSG funds passed through to local jurisdictions must be based on the State's total HSGP award prior to withholding any M&A. For additional information on SHSP and UASI M&A, refer to IB 365. For additional clarification on OPSG M&A, refer to FEMA Policy FP-207-087-1. These documents can be found at http://www.fema.nov/ rants/ rg ant proerams-directorate-in ormation- bulletins and http.•//www.fema.gov/Zibrarv/viewRecord.do?id=7837, respectively. Planning Planning related costs are allowed under this program. Organization Grantee organization costs for carrying out the grant's programmatic activities are allowed under this program. Equipment Equipment costs are allowed under this program. Training Training related costs are allowed under this program. Exercises Exercise related costs are allowed under this program. Travel Domestic Domestic travel costs are allowed under this program. International International travel is not an allowable cost under this program unless approved in advance by FEMA. Construction and Renovation Construction and renovation costs are allowed under this program. Operational Overtime Operational Overtime costs are allowed under this program. Maintenance and Sustainment Maintenance and sustainment costs are allowed under this program. Critical Emergency Supplies Critical emergency supply related costs are allowed under this program. iii. Indirect Costs Indirect costs are allowable under this program, but only if the applicant has an approved indirect cost rate agreement with the cognizant Federal agency. A copy of 10 FY 2014 HSGP FOA the approved rate (a fully executed, agreement negotiated with the applicant's cognizant federal agency) is required at the time of application. iv. Other Cost Requirements Consolidation of Law Enforcement Terrorism Prevention Activities (LETPA) Per section 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 2014 Program Allocations for LETPA minimum allocations for SHSP and UASI by jurisdiction. The National Prevention Framework describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, in order to thwart an initial or follow on terrorist attack, and provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eligible for use of LETPA focused funds. In addition, where capabilities are shared with the protection mission area, the National Protection Framework activities are also eligible. Other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator. 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. 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; and • 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. The signatory authority of the SAA must certify in writing that these obligations have been met. 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 the Commonwealth of Puerto Rico, the SAA must also obligate at least 80 percent (80%) of the funds to local units of 11 FY 2014 HSGP FOA government within 45 days of receipt of the funds. For SHSP awards, 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(s) 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 2014. 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 propose an Investment describing how UASI funds will be used by the SAA to directly support the Urban Area. OPSG Pass -Through Requirement 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 electronic mail notice issued by FEMA removing this special programmatic condition. Funds Transfer Restriction The recipient is prohibited from transferring funds between programs (includes SHSP, UASI, and OPSG). Grantees are allowed to submit an hnvestment/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, refer to Appendix C — Funding Guidelines. 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 12 FY 2014 HSGP FOA explains the goals and objectives of the 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. EHP Policy Guidance can be found in FP 108-023-1, Environmental Planning and Historic Preservation Policy Guidance, at http://www.fema.rov/media- library/assets/documents/85376. SAFECOM Grantees (including sub -recipients) who receive awards under HSGP that wholly or partially provide funding for emergency communication projects and related activities should comply with the most recent version of the SAFECOM Guidance on Emergency Communications Grants, http:Ilwww.safecomprogram.Qov/Qrant/DefaultWxx. This guidance provides recommendations to grantees regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants, and information on technical standards that ensure greater interoperability. The guidance is intended to ensure that Federally -funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. Grantees (including sub -recipients) investing in broadband -related investments should review IB 386: Clarification on Use ofDMIFEMA Public Safety Grant Funds for Broadband -Related Expenditures and Investments, and consult their FEMA Headquarters Program Analyst on such Investments before developing applications. V. Application Review Information and Selection Process A. Application Review Information FY 2014 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 IJs by the established due dates and verification of alignment to Urban Area, State, and regional THIRAs; SPRs; and national priorities. State and Urban Area Homeland Security Strategies will also be examined for further context regarding current capability levels and how IJs address potential gaps to prevent, protect, mitigate, respond to, and recover from acts of terrorism and other disasters. FY 2014 SHSP and UASI are non-competitive programs. For additional information on FY 2014 SHSP and UASI allocations, refer to Appendix A — FY 2014 Program Allocations. 13 FY 2014 HSGP FOA ii. OPSG Applications will be reviewed by the SAA and U.S. Customs and Border Protection (CBP)/Border Patrol (BP) Sector Headquarters for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the Operations Orders. FEMA will verify compliance with all administrative and eligibility criteria identified in the FOA and 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. FY 2014 OPSG funds will be allocated competitively based on risk -based prioritization using a 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 2014 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 2014 Program Allocations. VI. Federal Award Administration Information A. Notice of Award Notification of award approval is made through the ND Grants system through an automatic electronic mail to the awardee authorized official listed in the initial application. The date of approval of award is the "award date." The awardee should follow the directions in the notification to accept the award. Grantees must accept their 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 the ND Grants system 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. B. Administrative and Federal Financial Requirements Before accepting the award, the authorized official should carefully read the award package for instructions on administering the grant award and terms and conditions associated with responsibilities under Federal awards. Grantees must accept all conditions in this FOA as well as any Special Terms and Conditions in the Award package to receive an award under this program. i. Standard Terms and Conditions 14 FY 2014 HSGP FOA All successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions available at: https: //www. dhs.gov/publicationl&14-dhs-standard-terms-and-conditions. I Payment FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. Additional information can be obtained at https:11isource.fema.govIV269/execute/Login?saw Con ten tMessa a=true. DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, the recipient must complete a Standard Form 1199A, Direct Deposit Form. C. Reporting Requirements Awardees are required to submit various financial and programmatic reports as a condition of their award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with the requirements of GAO's Government Auditing Standards, located at http:Ilwww.gao.gov/ og vaudlybk0l.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http:11www.ec�rgov/cki- bin/text- idx?SID=55e12eead565605b4d529d82d276105c&node=2:1.1.2.1.1, 6&rgn=div6. For audits of fiscal years beginning prior to December 26, 2014, recipients that expend $500,000 or more from all federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with GAO's Government Auditing Standards, located at http://www. ag o.2ov/povaud6ft0l.htm, and OMB Circular A-133, Audits of States, Local Governments, and Non -Profit Organizations, located at http:llwww.whitehouse.¢ovlomb/circularsla133_compliance_supplement 2012. Audit reports are currently due to the Federal Audit Clearinghouse no later than nine months after the end of the recipient's fiscal year. ii. Financial Reporting Periods and Due Dates The following reporting periods and due dates apply: Reporting Period Report Due Date October 1— December 31 January 30 January 1— March 31 Aril 30 April 1 — June 30 July 30 July 1 — September 30 October 30 15 FY 2014 HSGP FOA iii. Federal Financial Report (FFR) Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425) and must be filed electronically using PARS. The form is available at hgp://www.whitehouse.gov/sites/default/files/omb/assets/Prants forms/SF-425.pd. An FFR report must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through PARS. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. iv. Program Performance Reporting Requirements The following reporting periods and due dates apply: Reporting Period Report Due Date January 1— June 30 July 30 July 1 — December 31 January 30 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. 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.A.fed,us/fap/SF-PPR Cover%20heet. 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 Appendix B - Program Specific Priorities. As part of the SF-PPR, grantees will be required to report on progress towards implementing the following performance measures: • 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; and Pass -Through Certification Requirement For FY 2014, the Initial Strategy Implementation Plan (ISIP) will no longer be required. In place of the ISIP, the signatory authority of the SAA must certify in writing to the respective FEMA GPD Program Analyst that the 80 percent (80%) pass -through obligation was met within 45 days of the award date. Biannual Strategy Implementation Reports (BSIR) In addition to the quarterly financial and biannual performance progress reports, grantees are responsible for completing and submitting BSIRs. The BSIR is due 16 FY 2014 HSGP FOA within 30 days after the end of the reporting period (July 30 for the 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). In the fast BSIR, grantees must provide the information on all awarded funds, by identifying all projects that were not included in the application. In the BSIR grantees will be responsible for linking projects to sub grantees and reporting on project progress. The BSIR reports will be used as an additional validation that the pass -through requirement is met throughout the period of performance of the award. All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show progress of implementation for every project, as well as how expenditures support Planning, Organization, Equipment, Training and Exercises (POETE). The first BSIR will be due January 30, 2015, (30 days after the end of the first reporting period for the award. Subsequent BSIR reports will require grantees to report on a project -by - project basis. D. 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. E. Closeout Pursuant to 44 C.F.R. § 13.50(b) Reports, within 90 days after the expiration or termination of the grant, the grantee must submit all financial, performance, and other reports required as a condition of the grant. Within 90 days after the end of the period of performance, grantees must submit the following: 1) Final request for payment, if applicable; 2) SF425 —Final Federal Financial Report; 3) SF-PPR — Final Performance Progress Report; 4) A qualitative narrative summary on the impact of those accomplishments throughout the entire period of performance submitted to the respective Grant Programs Directorate (GPD) Program Analyst in a Word document; 5) SF-428 — Tangible Personal Property Report — Inventory of all tangible personal property acquired using funds from this award. The form is available at hltn //www.whitehouse eov/sites/default/ Iles/omb/ rg ants/ap rp ovedJorms/sf-428.pd£ 17 FY 2014 HSGP FOA 6) When applicable, SF-429 — Real Property Status Report — Inventory of all construction projects using funds from this award. The form is available at htW:ffwww.whitehouse.eov/sites/defaultffles/omb/2ranis/annroved forms/sf-429.Pdy 7) Other documents required by program guidance or terms and conditions of the award. In order to close an award, grantees must be current on, and have submitted, all required reports per the terms and conditions of the grant award. Once the grant has officially been closed, the grantee will receive a Grant Adjustment Notice (GAN) which will provide information regarding the amount of any deobligated funds, equipment disposition, and record retention requirements for closed awards. If FEMA has made reasonable attempts through multiple contacts to close out awards within the required 180 days, FEMA may waive the requirement for a particular report and administratively close the award. If this action is taken, consideration for subsequent awards to the grantee may be impacted or restricted. The grantee is responsible for returning any funds that have been drawn down, but remain as unliquidated on grantee financial records. F. Extensions Extensions to the initial period of performance identified in the award will only be considered through formal, written requests to the grantee's respective Headquarters Program Analyst and must contain specific and compelling justifications as to why an extension is required. States are advised to coordinate with the Program Analyst as needed, when preparing an extension request. All extension requests must address the following: 1) Grant Program, Fiscal Year, and award number; 2) Reason for delay — this must include details of the legal, policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline; 3) Current status of the activity/activities; 4) Approved period of performance termination date and new project completion date; 5) Amount of funds drawn down to date; 6) Remaining available funds, both Federal and non -Federal; 7) Budget outlining how remaining Federal and non -Federal funds will be expended; 8) Plan for completion, including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and 9) Certification that the activity/activities will be completed within the extended period of performance without any modification to the original Statement of Work approved by FEMA. Awardees must submit all proposed extension requests to DHS/FEMA for review and approval no later than 120 days prior to the end of the period of performance. In 18 FY 2014 HSGP FOA accordance with GPD policy, extensions are typically granted for no more than a six month time period. Extension requests will be granted only due to compelling legal, policy, or operational challenges. For more information on extensions, refer to IB #379, Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHSIFEMA Grant Funding at http:Ilwww.fema.gov/grants/grant proerams-directorate-information-bulletins#2013IB. 19 FY 2014 HSGP FOA VII. DHS FEMA Contact Information A. For Financial, Programmatic, or Administrative Questions Pre -Award and Post Award i. 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 askesid(7a.dhs.g_ov, Monday through Friday, 8:00 a.m. — 5:30 p.m. EST. ii. Grant Programs Directorate (GPD) Grant Operations Division GPD's Grant Operations Division Business Office provides financial support and technical assistance. The Grant Operations Division manages, administers, and conducts application budget review, creates the award package, approves, amends and closes out awards. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to ASK- GMDAdhs.gov. iii. FEMA Regions FEMA Regions may also provide fiscal support, including pre- and post -award administration and technical assistance such as conducting cash analysis, financial monitoring, and audit resolution to the grant programs included in this solicitation. GPD will provide programmatic support and technical assistance. For a list of contacts, please go to httn://www.femiLeovlabouticontactlresions.shtm. iv. Systems Information Grants you For technical assistance with Grants.eov, please call the Grants.gov customer support hotline at (800)518-4726. Non -Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact nderants@tema.go or (800)865-4076. 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 gpdehpinfo@fema.gov. EHP Technical Assistance, including the EHP Screening Form, can be found at hgp://www.fema.gov/media- 20 FY 2014 HSGP FOA librar3Ldata/20130726-1806-25045- 28391 ehp screening form omb 1660 0115 Tune 2011 vi. Telephone Device for the Deaf (TDD) The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this announcement is: (800) 462-7585. vii. Hard copies of the FOA Hard copies of the FOA are not available. VIII. Other Critical Information 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 THIRA. Urban Areas and States 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 National Preparedness System can be found in the National Preparedness System Description (released November 2011), which is posted on the FEMA website at hgp://www.fema.gov/national-nreparedness/national- nreparedness-s sy tem. Additional details regarding how the National Preparedness System is supported by the HSGP can be found in Appendix B — Program Specific Priorities. FY 2014 Unified Reporting Tool (UR7) The URT is FEMA's collection mechanism for THIRA/SPR and other related preparedness information. The FY 2014 SPR includes questions related to NIMS adoption and implementation, and Comprehensive Preparedness Guide 101 v 2.0 compliance. IX. How to Apply A. Application Overview Applying for an award under this program is a multi -step process and requires time to complete. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Applicants should allow at least 15 business days (three weeks) to complete the five steps of applying listed below. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application will automatically disqualify their application from funding. The steps involved in applying for an award under this program are: 1) Applying for, updating or verifying their Data Universal Numbering System (DUNS) Number; 21 FY 2014 HSGP FOA 2) Applying for, updating or verifying their Employer Identification Number (EIN); 3) Updating or verifying their System for Award Management (SAM) registration; 4) Submitting an initial application in grants.gov; 5) Completing Investment Justifications in the Grant Reporting Tool (GRT) and; 6) Submitting the complete application in ND Grants. To ensure adequate time to complete the full application process, applicants are encouraged to submit their initial application in Grants.gov (Step 4) at least ten (10) days before the May 23, 2014 application deadline 1. Obtain a Data Universal Numbering System Number (DUNS) The applicant must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Applicants should verify they have a DUNS number, or take the steps necessary to obtain one. Applicants can receive a DUNS number at no cost by calling DUNS number request line at (866) 705-5711. FEMA cannot assist applicants with questions related to obtaining a current DUNS number. 2. Obtain an Employer Identification Number (EIN) FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and, for grant award payment. Both are also required to register with SAM (see below). The EIN base for an organization is the IRS Tax ID number, for individuals it is their social security number, both of which are nine -digit numbers. Organizations and individuals submitting their applications must correctly identify the EIN from the DUNS since both are 9-digit numbers. If these numbers are not correctly identified in the application, this may result in a delay in the issuance of an award and/or incorrect payment to a grantee organization. Organization applicants applying for an EIN should plan on a minimum of two full weeks to obtain an EIN. If you need assistance registering an EIN, go to hW://www.irs.jzovIBusinesses/Small-Businesses-&-Self-EmployedlApply or-an- Emplover-Identification-Number-(EIN)-Online. FEMA cannot assist applicants with questions related to obtaining a current EIN. 3. Register with the System for Award Management (SAM) Payments are contingent on the information provided in SAM and must be completed by the applicant at http://www.sam.gov. It is imperative that the information provided by the applicant is correct and current. Please ensure that your organization's name, address, DUNS number and EIN are current in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. SAM registration is a multi -step process including validating your EIN with the Internal Revenue Service (IRS) to obtain a Commercial and Government Entity (CAGE) code. The CAGE code is only valid for one year after issuance and must be current at the time of application. 22 FY 2014 HSGP FOA If you need assistance registering with SAM, please go to https://www.fsd.gov/ or call 866-606-8220. FEMA cannot assist applicants with questions related to obtaining a current CAGE code. 4. Initial Application Submission in Grants.gov All applicants submit their initial application through Grants.gov. Applicants may need to first create a Grants.gov user profile by visiting the Get Registered section of the grants.gov website. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Applicants should complete this step at http://www.grants.gov. The initial on-line application in grants.gov requires completing • Standard Form 424 (SF 424), Application for Federal Assistance, and • Grants.gov Form Certification Regarding Lobbying Form. Both forms are available in the Forms tab under SF-424 Family. The initial application cannot be started or submitted in Grants.gov unless the applicant's registration in SAM is confirmed. Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select Apply for Grants, enter the CFDA number or the FOA number noted in this FOA, select Download Application Package, and follow the prompts to download the application package. The information submitted in grants.gov will be retrieved by ND Grants, which will allow FEMA to determine if an applicant is eligible. Applicants are encouraged to submit their initial application at least ten (10) days before the May 23, 2014 application deadline. If you need assistance applying through grants.gov, please go to http://www.grants.gov/web/grants/applicants/grant-application-process.httnl, contact support@grants.gov, or call 800-518-4726. FEMA cannot assist applicants with questions related to registering with grants.gov. 5. Completing Investment Justifications in the Grant Reporting Tool For more information on how to complete IJs, refer to the Investment Justification Planning Guide found at www.fema.gov/ rg ants. 6. Final Application Submission in FEMA's Non Disaster Grants System (ND Grants) Eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. The application must be completed and final submission made through the ND Grants system located at https://portal.fema.gov. In ND Grants, applicants will be prompted to submit all of the information contained in the following forms: 23 FY 2014 HSGP FOA Standard Form 424A, Budget Information (Non -construction) Standard Form 424B, Standard Assurances (Non -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. Applicants will also be prompted to assure compliance with all Standard and Special Terms and Conditions before being eligible to receive an award under this program. In addition applicants must submit copies of the following in ND Grants: • Standard Form 424C, Budget Information (Construction) if applying for grants to support construction; • Investment Justification • Program and Budget Narrative • Program Work Plan • Project Objectives • Detailed budget • Indirect Cost Agreement. If you need assistance registering on the ND Grants system, please contact ndgrants@fema.gov or (800) 865-4076. HSGP Program Specific Application Instructions Investment Justification (SHSP and UASI) As part of the FY 2014 HSGP application process for SHSP and UASI funds, applicants must develop a formal IJ that addresses each investment being proposed for funding. The U must demonstrate how proposed projects support sustainment of existing core capabilities or address capability gaps and deficiencies in one or more core capabilities outlined in the Goal and as identified in their most recent State Preparedness Report. The U must also demonstrate alignment to the Urban Area, State, and/or regional THIRAs, national priorities, and applicable guidance provided by FEMA. The U must also describe engagement 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. Furthermore, the IJ must clearly identify and explain the nexus to terrorism preparedness. IJs are submitted in the GRT. The U Guide contains instructions for collecting the required information for Investments and projects. Additionally, applicants should utilize the Project Worksheet to assemble the information required for each project, which will facilitate the input of that information into the GRT. 24 FY 2014 HSGP FOA Instructions for SHSP • Applicants must propose at least one and include up to 10 projects within each Investment in their U to describe the activities they would like to implement with SHSP funds • Any projects not included in the application must be included in the first BSIR • 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 must describe how activities align to their Statewide Communication Interoperable Plan (SCIP). Grantees must 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 must propose at least one and up to 10 projects within each Investment in their U to describe the activities they are planning to implement with UASI funds • Any projects not included in the application must be included in the first BSIR • 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 must describe how activities align to the SCIP. Grantees must 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 Instructions for OPSG As part of the FY 2014 ONG application process, each eligible local unit of government at the county level or Federally -recognized Tribal government must develop their Operations Order in coordination with State and Federal law enforcement agencies, to include, but not limited to Customs and Border Patrol (CBP)/Border Protection (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 25 FY 2014 HSGP FOA review. For more information, refer to Appendix E — FY 2014 OPSG Operations Order Template and Instructions and Appendix F — OPSG Operational Guidance for more information. 26 FY 2014 HSGP FOA Appendix A — FY 2014 Program Allocations FY 2014 SHSP Allocations State/Territory Alabama FY '2014 Allocation $3,733,000 Montana Allocation $3,733,000 Alaska $3,733,000 Nebraska $3,733,000 American Samoa $854,000 Nevada $3,733,000 Arizona $4,568,000 New Hampshire $3,733,000 Arkansas $3,733,000 New Jersey $8,354,000 California $60,035,000 New Mexico $3,733,000 Colorado $3,979,000 New York $76.742,000 Connecticut $3,978,000 North Carolina $5,489,000 Delaware $3,733,000 North Dakota $3,733,000 District of Columbia $4,119,000 Northern Mariana $854,000 Florida $11,010,000 Ohio $7,698,000 Georgia $6,807,000 Oklahoma $3,733,000 Guam $854,000 Oregon $3 837,000 Hawaii $3.733,000 Pennsylvania $10.026,000 Idaho $3,733,000 Puerto Rico $3,733,000 Illinois $16,357 000 Rhode Island $3,733,000 Indiana $3,978,000 South Carolina $3,733,000 Iowa $3,733,000 South Dakota $3,733,000 Kansas $3,733,000 Tennessee $3,978,000 Kentucky $3,978,000 Texas $21,448,000 Louisiana $3 978.000 U.S. Virgin Islands $854,000 Maine $3,733,000 Utah $3,733.000 Maryland $6,125,000 Vermont $3,733,000 Massachusetts $5,622,000 Virginia $7,414,000 Michigan $6,658,000 Washington $6,493,000 Minnesota $3,978,000 West Virginia $3,733,000 Mississippi $3,733,000 Wisconsin $3,978,000 Missouri $3,978,000 Wvomina $3,733,000 Total $401,346,000 27 Appendix A—FY2014 HSGP Allocations FY 2014 UASI Allocations Arizona Funded' Phoenix Area Allocation $5,500,000 California Anaheim/Santa Ana Area $5,500,000 Bay Area $27,400,000 Los Angeles/Long Beach Area $67,500,000 Riverside Area $1,000,000 Sacramento Area $1,000,000 San Diego Area $16,874,000 Colorado Denver Area $3,000,000 District of Columbia National Capital Region $53,000,000 Florida Miami/Fort Lauderdale Area $5,500,000 Orlando Area $1,000,000 Tampa Area $3,000,000 Georgia Atlanta Area $5,500,000 Hawaii Honolulu Area $1,000,000 Illinois Chicago Area $69,500,000 Indiana Indianapolis Area $1,000,000 Louisiana New Orleans Area $3,000,000 Maryland Baltimore Area $5,500,000 Massachusetts Boston Area $18,000,000 Michigan Detroit Area $5,500,000 Minnesota Twin Cities Area $5,500,000 Missouri Kansas City Area $1,000,000 St. Louis Area $3,000,000 Nevada Las Vegas Area $1,000,000 New Jersey Jersey City/Newark Area $21,800,000 New York New York City Area $178,926,000 North Carolina Charlotte Area $3,000,000 Ohio Cincinnati Area $1,000,000 Cleveland Area $1,000,000 Columbus Area $1,000,000 Oregon Portland Area $1,000,000 Pennsylvania Philadelphia Area $18,500,000 Pittsburgh Area $3,000,000 Texas Dallas/Fort Worth/Arlington Area $15,500,000 Houston Area $24,000,000 San Antonio Area $1,000,000 Utah Salt Lake City Area $1,000,000 Virginia Hampton Roads Area $1,000,000 Washington Seattle Area $5,500,000 Totalsir 000 28 Appendix A—FY2014 HSGP Allocations FY 2014 SHSP and UASI LETPA Minimums StatelTerritory Alabama Funded Urban Area(s) Allocation Allocation Allocation $3,733,000 Allocation by state $3,133,000 LETPA $933,250 Alaska $3,733,000 $3,733.000 $933,250 American Samoa $854,000 $854,000 $213,500 Arizona Phoenix Area $5,500,000 $5,500,000 $4,568,000 $10.068,000 $2,517,000 Arkansas $3,733,000 $3,733,000 $933,256 California Anaheim/Santa Ana Area $5,500,000 $119274000 $60,035,000 $179,309,000 $44,827,250 Bay Area $27,400,000 Los Angeles/Long Beach Area $67,500,000 Riverside Area $1,000,000 Sacramento Area $1,000,000 Di Area 74 ,$168000San Colorado Den%rArea $3,000,000 $3,000,000 $3,979,0001 $6,979,000 $1,74Q750 Connecticut $3.978,000 $3,978,000 $994,500 Delaware $3,733,000 $3,733.000 $933,250 District of Columbia National Capital Region $53,000,000 $53,000,000 $4,119,000 $57.119,000 $14,279,750 Florida Miami/Fort Lauderdale Area $5,500,000 $9,500,000 $11,010,000 $20,510,000 $5,127,500 Orlando Area $1,000,000 Tampa Area $3,000,000 Georgia Atlanta Area $5,500,000 $5,500,000 $6,607,000 $12,307,000 $3,076,750 Guam $854,000 $854,000 $213,500 Hawail Honolulu Area $1,000,000 $1,000,000 $3,733,0001 $4,733,000 $1.183,250 Idaho $3,733,0001 $3,733,000 $933,250 Illinois Chicago Area $69.500,000 $69.500,000 $16,357,000 $85,857,000 $21,464,250 Indiana Indianapolis Area $1,000,000 $1,000,000 $3.978,000 $4,978,000 $1,244,500 Iowa $3,733,000 $3,733,000 $933,250 Kansas $3,733,000 $3,733,000 $933,250 Kentucky $3,978,000 $3,978,000 $994,500 Louisiana New Orleans Area $3,000,000 $3,000,000 $3,978,000 $6,978,000 $1,744,500 Maine $3,733,000 $3,733,000 $933,250 Maryland Baltimore Area $5,500,000 $5,500,000 $6,126,000 $11,625,000 $2,906,250 Massachusetts Boston Area $18,000,000 $18,000,000 $5,622,0001 $23.622,000 $5,905,500 Michigan Detroit Area $5,500,000 $5.500,000 $6,6W.0001 $12,158,000 $3,039,5 FO Minnesota Twin Cities Area $5,500.000 $5,500,000 $3,978,000 $9,478,000 $2,369,500 Mississippi $3,733.0001 $3,733,000 $933,250 Missouri Kansas City Area $1,000,000 $q 000,000 $3,978,000 $7,978,000 $1,994,500 St. Louis Area $3,000.000 Montana $3,733,000 $3,733,000 $933,250 Nebraska $3,733,000 $3,733,000 $933.250 Nevada Las Vegas Area $1,000,000 $1,000,000 $3,733,000 $4,733,000 $1,183,250 New Hampshire $3,733,000 $3,733,000 $933,250 New Jersey Jersey City/Newark Area $21,800,000 $21,800,000 $8,364,000 $30,154,000 $7,538,500 New Mexico $3,733,000 $3,733,000 $933,250 New York New York City Area $178,926,0001 $178,926,000 $76,742,000 $255,668,000 $63,917,000 North Carolina Charlotte Area $3,000,000 $3,000.000 $5.489,000 $8,489,000 $2,122,250 North Dakota $3,733,000 $3.733,000 $933,250 Northern Mariana Islands $854,000 $854,000 $213,500 Ohio Cincinnati Area $1,000,000 $3,000,000 $7,698,000 $10,698,000 $2,674,500 Cleveland Area $1,000,000 Columbus Area $1.000,000 Oklahoma $3,733,000 $3,733,000 $933,250 Oregon Portland Area $1,000,000 $1,000,000 $3,837,000 $4.837,0001 $1,209,250 29 Appendix A—FY2014 HSGP Allocations FY 2014 SHSP and UASI LETPA Minimum (continued) Statefferritory Pennsykania Funded Urban Area(s) Phllarlelphia Area UASI Allocation $18,500,000 Total UASI Allo�ati.n $21500,000 SHSP Allocation $10,026,000 Tota I Allocation by State $31,526,000 LETPA $7,881,500 Pittsburgh Area $3,000,000 Puerto Rico $3,733,000 $3,733,000 $933,250 Rhode Island $3,733,000 $3,733,000 $933,250 South Carolina $3,733,000 $3,733,000 $933,250 South Dakota $3,733,000 $3,733,000 $933,250 Tennessee $3,978,000 $3,978,000 $994,500 Texas Dallas/Fort Worth/Arlington Area $15.500.000 $40,500,000 $21.448,000 $61,948,000 $15,487,000 Houston Area $24,000,000 San Antonio Area $1,000,000 U.S. Virgin Islands $854,000 $854,000 $213,500 Utah Salt Lake City Area $1,000,000 $1,000,000 $3.733,000 $4,733,000 $1,183,250 Vermont $3,733,000 $3,733,000 $933,250 Virginia Hampton Roads Area $1,000,000 $1,000,000 $7,414,000 $8,414,000 $2,103,506 Washington Seattle Area $5,500,000 $5,500,000 $6,493.000 $11,993,000 $2.998,250 West Virginia $3.733,000 $3,733,000 $933,250 Wisconsin $3,978,000 $3,978,000 $994,500 Wyoming $3,733,000 $3,733,000 $933,250 Total rr rr $69,500,000 $84,055,000rr r 30 Appendix A—FY2014 HSGP Allocations FY 2014 OPSG Eligible States and Territories Alabama TerritoriesStates and Massachusetts Pennsylvania Alaska Michigan Rhode Island Arizona Minnesota South Carolina California Mississippi Texas Connecticut Montana Vermont Delaware New Hampshire Virginia Florida New Jersey Washington Georgia New Mexico Wisconsin Hawaii New York Puerto Rico Idaho North Carolina U.S. Virgin Islands Louisiana North Dakota American Samoa Maine Ohio Guam Maryland Oregon Northern Mariana Islands Note: Not all applicants are guaranteed to receive funding under the FY 2014 OPSG. 31 Appendix A—FY2014 HSGP Allocations Appendix B — Program Priorities Alignment of HSGP to the National Preparedness System The Nation utilizes the National Preparedness System to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the 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 National Preparedness System is to facilitate an integrated, all -of -Nation, risk informed, capabilities -based approach to preparedness. Complex and far-reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government. The guidance, programs, processes, and systems that support each component of the National Preparedness System 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 (httn: //www. Tema. eov/whole-eommunitv). The FY 2014 HSGP Program contributes to the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks in the National Planning Frameworks 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 Program's allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. To evaluate national progress in building, sustaining, and delivering the core capabilities outlined in the Goal, FEMA annually publishes the National Preparedness Report (NPR). Looking across all 31 core capabilities outlined in the Goal, the NPR provides a national perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources and communicate with stakeholders about issues of shared concern. A key focus and requirement of the HSGP is to prevent terrorism and to prepare the Nation for the threats and hazards that pose the greatest risk to the security and resilience of the United State, and the greatest risks along the Nation's borders; therefore, HSGP fimded investments must have a terrorism -nexus. When applicable, funding should 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. In addition, the Department of Homeland Security expects grantees to prioritize grant funding to address gaps identified through the annual SPR in achieving capability targets set through the annual THIRA. These assessments identify the jurisdictions' capability targets and current ability to meet those targets. Grantees should prioritize grant funds to increase capability for high -priority core capabilities with low capability levels. Minimum funding amounts are not 32 Appendix B—FY2014 HSGP Priorities prescribed by the Department for these priorities; however grantees are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities. Grantees are expected to consider national areas for improvement identified in the 2013 National Preparedness Report, which include cybersecurity, recovery -focused core capabilities, the integration of individuals with access and functional needs, enhancing the resilience of infrastructure systems and maturing the role of public -private partnerships. Addressing these areas for improvement will enhance preparedness nation-wide. Using the core capabilities, the FY 2014 HSGP Program supports the achievement of the Goal 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; and/or • Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident. The core capabilities contained in the Goal are highly interdependent and require the use of 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 National Preparedness System. The components of the National Preparedness System 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 http://www. ema. ov/national preparedness/national preparedness - system. Grantees are expected to use this process when using grant funds to address their capability gaps. Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements In order to qualify for HSGP Program funding, all grantees shall develop and maintain a Threat and Hazard Identification and Risk Assessment (THIRA) which informs and supports the State Preparedness Report (SPR). Only one THIRA submission from each State will be accepted. 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. Comprehensive Preparedness Guide 201, Second 33 Appendix B—FY2014 HSGP Priorities Edition: THIRA (CPG 201, Second Edition) is available at http://www.fema.gov/national- preparedness/plan. In Step Four of the THIRA process, a jurisdiction should estimate the resources required to deliver the capability targets set in their THIRAs. Communities express resource requirements as a list of resources needed to successfully manage their threats and hazards. Through the capability estimation process, jurisdictions should identify the resources from across the whole community needed to meet capability targets. Each jurisdiction should decide which combination of resources is most appropriate to achieve its capability targets. Reporting • UASIs are required to submit an annual update to their THIRA. UASIs will submit their THIRA to the designated State Administrative Agency. THIRA submissions shall be in alignment with CPG 201, Second Edition. The Urban Area should coordinate internally to ensure its submission represents all jurisdictions within the UASI program. UASI submissions of the THIRA are due no later than December 31, 2014. States are required to submit an annual update to their THIRA. States will submit their THIRA update along with their annual SPR through the Unified Reporting Tool (URT) and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy/ema-spr@/ema.dhs.gov. THIRA submissions shall be in alignment with CPG 201, Second Edition. State submissions of the THIRA and SPR are due no later than December 31, 2014. The State should coordinate with each eligible Urban Area to ensure that the UASI THIRA submissions occur in advance of this deadline, as the State must include the Urban Area's input when conducting the statewide SPR assessment. Building and Sustaining Capabilities HSGP program grantees should ensure that grant funding is utilized to sustain critical core capabilities within the National Preparedness System 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 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 and aligned with a capability gap identified in the THHWSPR. All capabilities being built or sustained must have a clear linkage to one or more core capabilities in the Goal. NIMS Compliance Grantees receiving HSGP funding are required to implement the National Incident Management System (NIMS). The NIMS uses a systematic approach to integrate the best existing processes and methods into a unified national framework for incident management. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, and response, mitigation, and recovery. FY 2014 grantees must utilize standardized resource management concepts such as typing, inventorying, organizing, and tracking resources that facilitates the identification, dispatch, deployment, and recovery of their resources. 34 Appendix B—FY2014 HSGP Priorities Fusion Centers DHS has identified State and major Urban Area fusion centers as a critical component of our Nation's distributed homeland security and counterterrorism architecture. They provide grassroots intelligence and analytic capabilities within the state and local jurisdiction (httn:Ilwww.dhs.eov/state-and-maior-urban-area fusion -centers). To that end, DHS preparedness grants will continue to support designated State and major Urban Area fusion centers (hto://www.dhs.govNsion-center-locations-and-contact-in ormation) and the maturation of the Information Sharing Environment (ISE). A National Network also provides a mechanism for the Federal government to receive information from State, Local, territory and Tribal 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's 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 Initiatives (Global) Baseline Capabilities for State and Major Urban Area Fusion Centers. As maturation of the National Network continues to be a high priority in FY 2014, 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 identified during the center's individual 2013 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). 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 guidance and requirements for the National Network of Fusion Centers as set forth by the DHS Office of Intelligence and Analysis through the annual Fusion Center Assessment Program. 35 Appendix B—FY2014 HSGP Priorities • All FY2014 Fusion Center Grant requirements are listed at htW:11www.dhs.eov/fv-2013- homeland -security- rant pro ragm-hsg� • All FEMA approved analyst courses that meet the grant requirement are listed at http: //www. dhs. gov/fema-approved-intellieence-analyst-training-courses. Reporting As part of programmatic monitoring, grantees will be required to describe how expenditures support maintenance and sustainment of current Goal 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; • Developing or acquiring a new core capability; • Through the SF-PPR, 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. • Grantees will use the SPR to report NIMS implementation. Planning to Deliver Capabilities State grantees shall develop, maintain, or revise as necessary, jurisdiction -wide, all threats and hazards EOPs consistent with CPG 101 v.2, which serves as the foundation for State, local, Tribal, and territory emergency planning. Grantees must update their EOP at least once every two years. In building future EOPs, planners should anticipate the increasing complexity and decreasing predictability of the fixture 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 hgp://www.fema.gov/strategic planning-analvsis-spa-division/strategic-foresight- initiative. Reporting • Grantees will use the SPR to report EOP compliance with CPG 101 v2. Validating Capabilities Grantees should develop long-term training and exercise priorities that examine, validate and/or address the capability gaps identified through their annual THIRA and SPR by developing a multi -year Training and Exercise Plan (TEP). Grantees should also review and consider areas for improvement identified from real -world events and exercises, and national areas for improvement identified in the 2013 National Preparedness Report. The TEP should consider the risks and capability requirements described in the THIRA along with the guidance provided by elected and appointed officials to identify and set training and 36 Appendix B—FY2014 HSGP Priorities exercise program priorities and develop a multi -year schedule of exercise events and supporting training activities to meet those priorities A TEP that is developed from a Training and Exercise Planning Workshop (TEPW) provides a roadmap to accomplish the multi -year priorities identified by elected and appointed officials and whole community stakeholders. These priorities help curriculum and exercise planners design and develop a progressive program of training and exercises that build, sustain, and deliver core capabilities. Information related to TEPs and TEPWs can be found on the HSEEP website at https://www.11is.dhs. og v�segp. All grantees will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP)(hws://www.11is.dhs.gov/hseen). A progressive, multi -year exercise program enables organizations to participate in a series of increasingly complex exercises, with each successive exercise building upon the previous one until mastery is achieved while also taking into account prior lessons learned. Regardless of the exercise type, each exercise within the progressive series is linked to a set of common program priorities and designed to test associated capabilities. Reporting • Following the TEPW, all grantees and sub -grantees are required to develop a multi- year training and exercise plan that identifies combination of exercises, along with associated training requirements, that address the priorities identified in the TEPW. The training and exercise plan shall be submitted to hseepCci�dhs.gov, no later than 90 days after the TEPW. States are encouraged to post their schedules to the National Exercise Scheduling System (NEXS) at hyps://hseep.dhs.eov/DHS SS0/?ReturnUrl=%21hseeP em%2fToolkitHome.as�x • Consistent with the national exercise program, grantees shall develop and maintain a progressive exercise program. Grantees must either submit one After Action Report/Improvement Plan (AAR/IP) that captures the lessons learned and corrective actions from the progressive exercise program conducted within the HSGP Period of Performance; or submit individual AAR/IPs for each HSGP-funded exercise. AAR/IPs should be submitted to hseep@,fema.dhs.gov and include a list of corrective actions and lessons learned, no later than 90 days after completion of the exercise. In accordance with HSEEP guidance grantees are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Grantees are encouraged to use the HSEEP AAR/IP template located at https://www.11is.dhs/hseo and utilize the Corrective Action Program (CAP) System at https://hseep.dhs.gov/caps/, as a means to track the implementation of corrective actions listed in the AAR/IP. Reviewing and Updating On a recurring basis, capabilities, resources, and plans should be reviewed to determine if they remain relevant or need to be updated as it relates to the HSGP. This review should be based on a current risk assessment and utilize information gathered during the validation process. These reviews will provide a means to examine preparedness analyses; determine priorities; direct preparedness actions; and calibrate goals and objectives. FY 2014 HSGP requires State and Urban Area Homeland Security Strategies be updated every other year, and shall be informed by THIRA process results. The assessment and results support communities' strategic planning 37 Appendix B—FY2014 HSGP Priorities 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. Supplemental SHSP Guidance 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 Goal 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 2014 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. 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 was new for FY 2013 and continues in FY 2014 for HSGP. The SAC should build upon previously established advisory bodies under HSGP (including the SHSP and UASI programs), Nonprofit Security Grant Program (HSGP), 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. Examples of advisory bodies that should be included on the SAC include: Urban Area Working Groups 38 Appendix B—FY2014 HSGP Priorities (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 groups/committees, and should also include direct or indirect representation for all relevant 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 network and 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 gaps 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 terrorism/disaster prevention, protection, mitigation, response, and recovery activities within the State. The membership of the SAC must reflect the threats and hazards identified in the State's THIRA as well as each of the core capabilities, in particular those core capabilities identified as having large capability gaps identified in the State's most recent State Preparedness Report (SPR). SAAs will use the URT to verify compliance of SAC charter requirements. 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 Goal. 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 39 Appendix B—FY2014 HSGP Priorities SAC should reflect this focus on building core capabilities, instead of simply joining previously existing advisory bodies under other grant programs. 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 and other stakeholder organizations 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 Medical 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 http://www.fema.zovlwhole-communi 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. 40 Appendix B---FY2014 HSGP 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 preparedness and emergency management planning. 6. Coordination 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 (PHEP), 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 and SPR data reflecting capability gaps and the approach to address gaps 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; and • 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 should be made available upon request to promote transparency in decision -making related to 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 SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing 41 Appendix B—FY2014 HSGP Priorities projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents, protocols, and procedures. SAAs will use the URT to verify compliance of SAC charter requirements. Supplemental 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. 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, State Wide 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 from the United States Census Bureau at http: //www. census. zovInoDulation/www/metroareas/metrodef 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 42 Appendix B—FY2014 HSGP Priorities 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(1)(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 relevant 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. In addition, the UAWG should include officials responsible for the administration of CDC and ASPR cooperative agreements. Finally, it is 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 efficient and effective manner possible. The UAWG may also support State efforts to develop the SPR, particularly as it relates to UASI funded activities. Governance. The jurisdictions identified in Appendix A — FY 2014 Program 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 43 Appendix B—FY2014 HSGP Priorities 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. UASIs will use the URT to verify UAWG structure and membership. 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 Goal and the Whole Community approach. 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 U 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 National Preparedness System, and must develop or sustain one or more core capabilities in the Goal. 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 (CERTs) 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 44 Appendix B—FY2014 HSGP Priorities 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. Supplemental 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: • 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 CBPBP 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 CBPBP, 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 45 Appendix B—FY2014 HSGP Priorities 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 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. Management and Administration (M&A) For information on how to determine M&A for OPSG awards, please review GPD policy, Clarification for Allowable Management and Administration (M&A) Costs under the Operation Stonegarden Grant Program, dated June 25, 2013. The policy is located at httn: //www.fema. eov/media-library/assets/documents/33577. 46 Appendix B—FY2014 HSGP Priorities Additional Funding Considerations Below are additional areas to consider where funding can be applied to strengthen preparedness efforts. Enhancing Cyberseeurity Capabilities Applicants are encouraged to propose projects to aid in implementation of all or part of the National Institute of Standards and Technology (MIST) Cyber Security Framework when requesting funds for cybersecurity. The CSF is available at http:11www.nist.goi*yberframework/uploadlcvbersecurit-framework-021214-Tnal.p The Framework gathers existing global standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that don't know where to start, the Framework provides a road map. For organizations with more advanced cybersecurity, the Framework offers a way to better communicate with their leadership and with suppliers about management of cyber risks. The Department of Homeland Security's Critical Infrastructure Cyber Community C' Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. For more information visit httn://www.us- cert.gov/ccubedvp. Mass Casualty Incident Preparedness and Citizen Preparedness Although the Citizen Corps Program (CCP) and Metropolitan Medical Response System (MMRS) are no longer funded as discrete grant programs within HSGP, States may include IJs funding and supporting CCP and MMRS activities/programs. Activities funded under these projects must meet the allowability requirements of the SHSP and UASI 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 preparedness must be conducted in collaboration with State/city/local health departments that administer Federal funds from HHS to 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 or a response to catastrophic events and acts of terrorism. 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. To demonstrate whole community engagement, Citizen Corps Councils and Community Emergency Response Teams (CERTs) 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 IJs when applying for HSGP funds. Program updates can be made at 47 Appendix B—FY2014 HSGP Priorities http: //www readK. gov/citizen-corps and at htW:11www.fema gov/communi-emergen -res op nse_ teams. The Citizen Corps and CERT Core Capabilities Tool (CCT) has been developed to help grantees develop IJs that reference how Citizen Corps and CERT activities contribute to and support core capabilities. The CCT is available at hup://www.readv ¢ov/citizen-corns/citizen- corps- rant -information -and -financial -resources 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 coordinating body to serve as their Citizen Corps Council, with 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. 48 Appendix B—FY2014 HSGP 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 Goal. Allowable Investments made in support of the HSGP priorities as well as other capability - enhancing projects must fall into the categories of planning, organization, exercises, training, or equipment. Planning (SHSP and UASI) SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities and such as those associated with the development of the THIRA, SPR, and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current EOP that conforms to the guidelines outlined in CPG 101 v 2.0 For additional information, please see http://www.fema.zov/pdf/about/divisions/npd/CPG 101 V2 ndf 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; • Implementing models, programs, and workforce enhancement initiatives to address ideologically -inspired radicalization to violence in the homeland; • 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 U 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 49 Appendix C—FY2014 HSGP Funding Guidelines 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 center analytic personnel must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for State, Local, and Tribal Intelligence Analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the SAA and must be made available to the grantee's respective FEMA Program Analyst upon request. In addition to these training requirements, fusion centers should also continue to mature their analytic capabilities by addressing gaps in analytic capability identified during the fusion center's 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: - Backftll and overtime expenses for staffing State or Major Urban Area fusion centers; 50 Appendix C—FY2014 HSGP Funding Guidelines — 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 (httn://www Lemagov/2rants/grant programs -directorate -in ormation- bulletins). 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 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 Lessons Learned Information System at http://llis.gov/ 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. 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 fast 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) 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 51 Appendix C—FY2014 HSGP Funding Guidelines conjunction with emergency preparedness training by other Federal agencies (e.g., HHS and DOT). Training conducted using HSGP funds should address a performance gap identified through 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. Any training or training gaps, 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. 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, Implementation and Evaluation model of instructional design (Course Development Tool) located at httos: //www. tirstresDondertrainine.zov. 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 hAps://www.Ilis.dhs.govAseep. 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, as described in FEMA Policy FP 205- 402-125-1 (hgp://www.fema.gov/media-library/assets/documents/32474) 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 Goal 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 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 Raiding other than DHS/FEMA preparedness grant program dollars. Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI) Activities eligible for use of LETPA focused funds are outlined in the National Prevention Framework (and where capabilities are shared with the protection mission area, the National Protection Framework) located at htW:Ilwww. ema.zov/national planning frameworks and include: 52 Appendix C—FY2014 HSGP Funding Guidelines Maturation and enhancement of designated State and major Urban Area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and training/ hiring of intelligence analysts; Implementation and maintenance of the Nationwide SAR Initiative, 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: 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 HSGP grant funds for the "If You See Something, Say Somethinem" 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, through law enforcement personnel and other protective measures by implementing preventive and protective measures at critical infrastructure site or other at -risk nonprofit organizations. Critical Emergency Supplies (SHSP and UASI) In order to further DHS' mission, critical emergency supplies, such as shelf stable products, water, and basic medical supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state must have FEMA's approval of a five-year viable inventory management plan which should include a distribution strategy and related sustainment costs if planned grant expenditure is over $100,000. If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed by the grantee and monitored FEMA GPD with the assistance of the FEMA Logistics Management Directorate (LMD). FEMA 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. FEMA GPD and LMD will establish guidelines and requirement for the purchase of these supplies under UASI and monitor development and status of the State's inventory management plan. 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 plan with local jurisdictions and Tribes. Construction and Renovation (SHSP and UASI) 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. 53 Appendix C—FY2014 HSGP 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. 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 gpdehpinfona ema.gov. HSGP Program grantees using funds for construction projects must comply with the Davis - Bacon Act (40 U.S.C. 3141 et seg.). 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 http://www.dol. ovg /compliance/laws/comp-dbra.htm. OPSG funds may not be used for any type of construction. Personnel (SHSP and UASI) 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). For further details, SAM should refer to IB # 358 or contact their FEMA Headquarters Program Analyst. 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. The following are definitions as it relates to personnel costs Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable FEMA program activities as specified in this guidance. This may not include new personnel who are hired to fulfill any non-FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent (FTE) employees. Overtime. These expenses are limited to the additional costs which result from personnel working over and above 40 hours of weekly work time as a direct result of their 54 Appendix C—FY2014 HSGP Funding Guidelines performance of FEMA-approved activities specified in this guidance. Overtime associated with any other activity is not eligible. Baclfill-related Overtime. Also called "Overtime as Backfill," these expenses are limited to overtime costs which result from personnel who are working overtime (as identified above) to perform the duties of other personnel who are temporarily assigned to FEMA- approved activities outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees. Supplanting. Grant funds will be used to supplement existing funds, and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or grantees may be required to supply documentation certifying that a reduction in non - Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. 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. Western Hemispheric Travel Initiative (SHSP) In addition to the expenditures outlined above, SHSP funds may be used to support the implementation activities associated with the Western Hemisphere Travel Initiative (WHTI), including the issuance of WHTI-compliant Tribal identification cards. More information on the WHTI may be found at huP:1/www.dhs.gov/Oles/programs/Qc 1200693579776 shtm or http: //www. je&ouhome. gov/html/en g_man. 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. 55 Appendix C—FY2014 HSGP Funding Guidelines 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. • Operational Overtime. OPSG funds may be used for operational overtime costs associated with law enforcement activities, in support of border law enforcement agencies for increased border security enhancement. 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 local jurisdiction; - 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 local jurisdiction's written justification; - Be coordinated with the CBP Sector, SAA, and OBP; and - Be forwarded electronically by CBP to FEMA. • 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. hi addition, costs to support up to six month deployment of law enforcement personnel to critical Southwest Border locations to support operational activities (travel costs must be in accordance with applicable travel regulations). • Vehicle and Equipment Rentals. • Vehicle/Equipment Maintenance. • Fuel Cost and/or Mileage Reimbursement. There is no cap for reimbursement of operational activities. 56 Appendix C—FY2014 HSGP Funding Guidelines 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. Baclfill. 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. Unallowable Costs (SHSP and UASI) Per FEMA policy, the purchase of weapons and weapons accessories is not allowed with HSGP funds. Per the Anti -Deficiency Act, federal government personnel, or representatives thereof, are prohibited from participation in projects awarded to sub grantees. This includes the solicitation, selection and monitoring of sub grantees. Examples of Allowable Activities for SHSP and UASI Planning Activities Examples of planning activities include: Developing hazard/threat-specific annexes that incorporate the range of prevention, protection, mitigation, response, and recovery activities as identified in the national planning frameworks Developing and implementing homeland security support programs and adopting DHS national initiatives including but not limited to the following: - Conducting a THIRA process - Implementing the Goal, National Preparedness System, 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 2014 National Infrastructure Protection Plan (NIPP) and associated Sector Specific Plans 57 Appendix C—FY2014 HSGP 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 Guideline for Credentialing of Personnel - 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 workshops - Developing or updating resource inventory assets in accordance to NIMS-typed resource definitions which are managed by FEMA's National Integration Center (NIC) and can be found at: httn://www.fema.Lov/resource-mans eg ment - 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 National Preparedness Campaign including America's PrepareAthon! and Ready campaigns, as required by the National Preparedness System; 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 conducting public education and outreach campaigns, including promoting individual, family, and organizational emergency preparedness and support for the national Campaign to Build and Sustain Preparedness, including America's PrepareAthon!, as required by the National Preparedness System; the Ready Campaign; 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 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 58 Appendix C—FY2014 HSGP Funding Guidelines Conducting statewide emergency communications and preparedness planning, including the following activities: - Conducting/attending planning and governance workshops - Engaging and expanding the participation of the whole community in emergency communications planning, response, and risk identification - Participating in THIRA development process - 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: Coordinating fusion center efforts with other analytical and investigative efforts including, but not limited to JTTFs, Field Intelligence Groups (FIGS), High Intensity Drug Trafficking Areas (HIDTAs), Regional Information Sharing Systems (RISS) Centers, criminal intelligence units, and real-time crime analysis centers. - Developing THIRAs that reflect 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 59 Appendix C—FY2014 HSGP Funding Guidelines - 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 Campaign to Build and Sustain Preparedness and the Ready campaign - 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 implementing a comprehensive model for preventing violent extremism in local communities: Including existing law enforcement agencies' initiatives and including mechanisms for engaging the resources and expertise available from a range of social service providers, such as education administrators, mental health professionals, and religious leaders; Enhancing engagement with communities to discuss violent extremism in an effort to (1) share sound, meaningful, and timely information about the threat of radicalization to violence with a wide range of groups and organizations, particularly those involved in public safety; (2) respond to concerns about government policies and actions; and (3) increase understand for how community - based solutions can be supported. Building expertise, including a robust training program to improve cultural competency and to ensure that communities, government, and law enforcement receive accurate, intelligence -based information about the dynamics of radicalization to violence. • 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 2.0 - 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 or enhancing critical infrastructure planning, to include planning for incidents at chemical facilities 60 Appendix C—FY2014 HSGP Funding Guidelines - 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 - 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 and the National Disaster Recovery Framework (NDRF) - 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 61 Appendix C—FY2014 HSGP Funding Guidelines - 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, 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 National Preparedness System 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 62 Appendix C—FY2014 HSGP Funding Guidelines - 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 capability gaps 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 Preparedness research - Conducting or updating interoperable emergency communications capabilities and broadband needs assessments at the local, regional, or Statewide level - 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 Counter-IED Capabilities Analysis Database (NCCAD) program for use in applicable THHZAs, 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. - Implementing a Corrective Action Plan (CAP) to close IED-related capability gaps identified through MJIEDSP or other planning processes Continuity of Operations/Continuity of Government (COOP/COG) Planning activities, which include but are not limited to: • Determining essential functions and activities, interdependencies, and resources needed to perform them • Establishing 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 • Providing for the identification and preparation of alternate operating facilities for relocated operations 63 Appendix C—FY2014 HSGP Funding Guidelines • Providing for the regular training, testing, and exercising of COOP personnel, systems, and facilities • Providing for reconstitution of agency capabilities and transition from continuity operations to normal operations • 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 - Allowable volunteer programs and efforts include, but are not limited to: Citizen Corps Councils, partners, and affiliates; CERTs; Fire Corps; Medical Reserve Corps (MRC); Neighborhood Watch/USAonWatch; Volunteers in Police Service (YIPS); and jurisdiction -specific volunteer programs and 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 Additional Planning Information The National Preparedness Directorate (NPD) offers technical assistance (TA) that is designed to provide grantees and sub -grantees with specialized expertise to improve their emergency plans and planning. TA deliveries are designed specifically to improve and enhance the continuing development of state and local emergency management across the five mission areas of the National Preparedness Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision -makers in open discussion of options to improve plans and planning in light of their jurisdiction's needs. There is no cost to approved jurisdictions for FEMA TA. TA deliveries combine current emergency management best practices with practical consideration of emerging trends, through discussion facilitated by FEMA contract specialists and with the support of FEMA Region operational specialists. While the invitation of participants is up to the requesting jurisdiction, FEMA encourages requesting jurisdictions to 64 Appendix C—FY2014 HSGP Funding Guidelines include the broadest practical range of its emergency managers and planners in all TA deliveries. TA deliveries should be made open to neighboring jurisdictions. As necessary, FEMA may also invite other Federal experts and practitioners to participate. Additionally, peer -to -peer representation may also be included from other jurisdictions that have recently used TA for the same planning issue. The TA catalog, showing the full range of TA available across all five mission areas and by all providers, and the TA request form can be accessed at http://www.fema.gov/national-incident- management-system/fema-technical-assistance-division. 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, those with limited English proficiency, children within diverse and ethnic populations, 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 65 Appendix C—FY2014 HSGP Funding Guidelines - 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 - 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. Training Activities FY 2014 SHSP and UASI funds may be used to support attendance to allowable training deliveries and programs, as described below. FEMA funds must be used to supplement, not supplant, existing funds that have been appropriated for the same purpose. 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 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, chemical facility incidents, mitigation/property damage prevention, safety in the home, light search and rescue skills, principles of NIMS/ICS, volunteer management and volunteer activities, serving and integrating people with disabilities, pet care preparedness, CPR/AED training, identity theft workshops, terrorism awareness seminars, and disability -inclusive community preparedness conferences. The delivery of 66 Appendix C—FY2014 HSGP Funding Guidelines 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 fast responders; — Suspicious activity identification and reporting, including the Surveillance Detection and Bomb -Making Materials Awareness Program (BMAP); — Management of bomb threats; — Physical protective measures; — Diversion control measures for dual -use explosive precursor chemicals, including the Surveillance Detection and Bomb -Making Materials Awareness Program (BMAP); — 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 Baclfill. The entire amount of overtime costs, including payments related to backfrlling 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 oflnstructors. 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 htty: //www.fema. Roy/goodyeuidance/download/10146. • Training and exercises for the public or civilian volunteer programs supporting first responders, including CERTs, 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, chemical facility incidents, mitigation/property damage prevention, safety in the home, light search 67 Appendix C—FY2014 HSGP Funding Guidelines and rescue skills, principles of NIMS and 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 CERTs and/or Citizen Corps Councils as well as organizations outside of emergency management and focus on the importance of personal preparedness and protective actions. Per FEMA Grant Programs Directorate Policy FP 207-008-064-1, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on September 9, 2013, States, territories, Tribal entities and urban areas are no longer required to request approval from FEMA for personnel to attend non-FEMA training as long as the training is coordinated with and approved by the State, territory, Tribal or Urban Area Training Point of Contact (TPOC) and falls within the FEMA mission scope and the jurisdiction's Emergency Operations Plan (EOP). The only exception to this policy is for Countering Violent Extremism courses. The Policy can be accessed at http://www.fema.Qov/media-library/assets/documents/34856. 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. 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: //www. firstrespondertraininL,. zovlrtdclstate/. Additional Training Information FEMA Provided Training. These trainings include programs or courses 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's (NTED) training partner programs including, the Continuing Training Grants, the National Domestic Preparedness Consortium (NDPC) and the Rural Domestic Preparedness Consortium (RDPC). Approved State and Federal Sponsored Course Catalogue. This catalogue 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. An updated version of this catalog can be accessed athttp://www.firstreSDondertraining.gov. Training Not Provided by FEMA. These trainings includes courses that are either State sponsored or Federal sponsored (non-FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare State, local, Tribal, and 68 Appendix C—FY2014 HSGP Funding Guidelines 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. 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. Overtime pay for first responders and emergency managers who participate in public -private training and exercises is allowable. In addition, States, territories, Tribes, and Urban Areas are encouraged to incorporate the private sector in government -sponsored training and exercises. Additional information on both FEMA provided training and other federal and state training can be found at http://www.firstrespondertrainine_.yov. 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 and Tribal Training Point of Contact (TPOC). Reporting training activities through Web -Forms is not required under FY 2014 HSGP, however, the system remains available and can be accessed through the FEMA Toolkit located at httD•//www. firstrespondertraining.gov/admin in order to support grantees in their own tracking of training. Exercise Activities Allowable exercise -related costs include: Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. Includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Grantees are encouraged to use government or free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any exercise or exercise gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the exercise cycle. Full or part-time staff may be hired to support exercise -related activities. Such costs must be included within the funding allowed for program management personnel expenses. State grantees must follow their state's formal written procurement policies. Overtime and BacJf ll. 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 69 Appendix C—FY2014 HSGP Funding Guidelines 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, adults with disabilities, and those with access or functional needs Additional Exercise Information If a State decides to use HSGP funds to conduct an exercise(s), it is encouraged they complete a progressive exercise series. Exercises conducted by States and Urban Areas may be used to fulfill similar exercise requirements required by other grant programs. 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 wan -ant 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. • Regional Exercises. States should also anticipate participating in at least one Regional Exercise annually. States must include all confirmed or planned special events in the Multi -year Training and Exercise Plan. • Exercise Evaluation and Improvement. Exercises should evaluate performance of capabilities against the level of capabilities required. Guidance related to exercise 70 Appendix C—FY2014 HSGP Funding Guidelines evaluation and improvement planning is defined in the HSEEP located at hoas://www.Ilis.dhs.govlhsegp. HSEEP Fundamental Principles. States are expected to develop an exercise program based the following principles: o Guided by Elected and Appointed Officials; o Capability -based, Objective -driven; o Progressive Planning Approach; o Whole Community Integration; o Informed by Risk; and o Common Methodology. Detailed information regarding the principles can be found in HSEEP located at httns: //www. His. dhs.,g_,ov/hseW. The 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, conclusion, 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. 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 the conclusion of the exercise (e.g., electronic messaging signs). 71 Appendix C—FY2014 HSGP Funding Guidelines Appendix D — FY 2014 OPSG Operations Order Template and Instructions Operations Order Template Instructions The OPSG Operations Order Template can be found at http://www. rg ants.gov. Executive Summary Overview Operations Order Executive Summary must: Identify the organization name, point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction (typically this will be a program lead or manager overseeing operations and individuals assigned to that agency). Describe how Federal, State, local, and Tribal law enforcement agencies will work together to establish and enhance coordination and collaboration on border security issues. Budget Requirements Overview Operations Order Detailed Annual Budget must: • Explain how costs and expenses were estimated. • Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included. Submission Requirements Operations Orders must meet the following submission requirements: Must be created and submitted in Microsoft Word (*.doc) Must not exceed six pages in length Must be submitted using the following file naming convention: "FY 20XX OPSG <State Abbreviation> - <Local Unit of Government Name>" Due to the competitive nature of this program, separate attachments will not be accepted or reviewed. 72 Appendix D—FY 2014 HSGP, OPSG Operations Order Template FY 2014 OPERATION STONEGARDEN (OPSG) OPERATIONS ORDER AND BUDGET TEMPLATE Op Order Name: Operation Op Order Number: <Nmi leted by CBP> Op Dates: From: To: Report Date: Executive Summary I. Situation A. General Situation: B. Terrain/Weather: C. C. Criminal Element: D. D. Friendly Forces: II. MISSION III. EXECUTION A. Management/Supervisor Intent: B. General Concept: C. Specific Responsibilities: 1. 2. 3. D. Coordinating Instructions: IV. BUDGET Within the Operations Order, include budgets and operative spending plans in one-year increments (Year 1 and Year 2). The annual operations should be practical and able to be completed within the 24-month period of performance. Grantees may not begin operations, obligate, or expend any funds until the final Operations Order and embedded budget has been approved by FEMA GPD and CBP/BP Headquarters and any existing special conditions and/or restrictions are removed. The sample 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. 73 Appendix D—FY 2014 HSGP, OPSG Operations Order Template A.1 Exam le - Cost Estimates/Funding Reguests ear 1 : nistration/Logistics/Budget Narrative Justification Federal Request Request (Computation of Items) Law Enforcement Operational $50 per hour OT rate x 11 personnel Overtime x 10 hours x 3 day detail x 4 quarters per year x 2 years $132,000.00 Fringe Benefits for Law $27.55/hr x 1.5 OT = ($41.33/hr) x Enforcement (.062) = ($2.56/hr FICA) x 5840 hrs/ r x 2 yrs $29,925.92 Travel, Lodging, and Per Diem for Federal or below: approx miles of deployed LE and/or Federally 3,500, 15 days single Occupancy @ sponsored (DHS/FEMA) border $150 for 5 people security task forces, conferences and/or mandatory training $1,750.00 General Equipment Lines, personal flotation devices, GPS software updates, marine batteries, thermal imaging system Special Equipment Sea Hawk Boat, Explorer 4x4 Police (Requiring separate waiver i.e., with Package Planes, boats, vehicles, SLIVs, etc.) $75,000.00 Part -Time to Full -Time Law Enforcement Personnel Activated Reserve Law Enforcement Personnel Vehicle 46,800 miles per year x .18 cents per Maintenance mile = $8,424.00 x 2 yrs Vehicles: Tires, engine repair, other $16,848.00 Fuel Cost 3,342 x $4.50 per gallon = $15,043/yr x 2 yrs $30,086.00 Total $285,609.92 A.2 Cost Estimates/Funding Requests (Year 2): < INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE > V. COMMAND/CONTROL/COMMUNICATION A. Chain of Command: B. Unit Command: C. Communications Detail: D. Map Coordinates: 74 Appendix D—FY 2014 HSGP, OPSG Operations Order Template Dotes: 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: 75 Appendix D—FY 2014 HSGP, OPSG Operations Order Template Appendix E — OPSG Operational Guidance Appendix F is intended to provide operational guidance to applicants on the development of the concept of operations and campaign planning, the tactical operation period and the reporting procedures This also delineates specific roles and responsibilities, expectations for operations, and 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. ONG uses an integrated approach to address transnational criminal activity. It is recommended that Federal, State, local, Tribal, and territorial partners establish and maintain an OPSG Integrated Planning Team (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. U.S. Border Patrol 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. 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. 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 through the area IPT, including a campaign plan and a cycle of operations to ensure that ONG partners maintain synergism and have a coordinated and measurable impact on reducing border -security risk. 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 IPT. First Stage: Please refer to section IX of the full FOA Second Stage (Post Award): After awards are announced participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized -budgetary intent to their IPT. The campaign plan should articulate the participant agency's long-term border security objectives and goals designed to mitigate border -security risk. 76 Appendix E — FY 2014 HSGP, OPSG Operational Guidance Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that ONG usage is commensurate to the unique risk of each border region. This may require several short-term operations that combine to form an ongoing operational cycle, ensuring that BP commanders and State, local, and Tribal agency partners reserve the flexibility to respond to the ever -changing elements of border security. The operations plan also will articulate the budgetary intent of how funds will be used throughout the performance period. The operations plan will project planned expenditures in the following categories: overtime, equipment, instruction, travel, maintenance, fuel, and administrative funds. It can initiate the procurement of equipment, as well as state how much the county intends to use for M&A while keeping funds for overtime or residual equipment funds available for use as needed. If the recipient intends to spend more than 50% of their award on overtime over the course of the performance period, requests for an overtime waiver would be submitted at this time. 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 approved, the area IPT will meet to initiate the last stage in the planning process. Third Stage: Once the grantee is ready to conduct operations, the area IPT will begin planning tactical operations. Il. 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. By participating in the OPSG, the State, local, and Tribal agencies agree to conduct operations designed to reduce border -security risk. Tactical operations will be conducted on a periodic basis meeting the criteria outlined below. Tactical operational periods are composed of six critical elements: 1) a pre -planning meeting with the IPT; 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 IPT 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 BP sector's Chief Patrol Agent, or his/her designee, will ensure that the information or intelligence has a clear nexus to border security. 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 IPT. Once intelligence -driven targets are identified, the IPT will decide on operational objectives that 77 Appendix E — FY 2014 HSGP, OPSG Operational Guidance 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 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 IPT's 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. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved through BP Headquarters and FEMA. Once approved, the operation can be conducted. The following diagrams illustrate two different approaches for conducting operations:' CAMPAIGN PLAN'S OPERATIONAL CYCLE DURATION: 1 FISCAL YEAR FY start FY end ONohae rvuv .r DOG ", Jtyey FWXUWV M ,h Ap A My ,0.m July A,r M Septa r This cycle illustrates contiguous operations. This Is an example of a twelve month campaign plan with four tactical operational periods. Figure I Example of an Ongoing Synchronized Operational Cycle 1 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. 78 Appendix E - FY 2014 HSGP, OPSG Operational Guidance CAMPAIGN PLAN'S OPERATIONAL CYCLE DURATION: 1 FISCAL YEAR FY start FY end 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 five tactical operational perloos. This sample shows overlapping operations as well as times when there are no operations being conducted. Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle III. Reporting Procedures 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. Reporting will focus on: monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations. 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 IPT and to coordinate the submission of reports or execute other aspects of the grant. 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 BP 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 BP sector. The monthly report is due to sector by the 10'h day of the following month. The BP sector will compile the results from the participating agencies and submit the results to BP 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 BP 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 79 Appendix E — FY 2014 HSGP, OPSG Operational Guidance 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 In order to achieve unity of effort, it is essential that each participant know the roles and responsibilities within the IPT. The BP 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 Patro12 - Forwarding the approved operation portion of the application to CBP/BP Headquarters, as well as to the SAA to complete the application process set by FEMA/GPD Following the announcement of grant awards, coordinate and chair a meeting with State, local, and Tribal agencies that received OPSG awards to develop an individualized campaign plan. This includes: Working with State, local, and Tribal agencies, along with other Federal law enforcement agencies to determine the dates, focus, and needs of each 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; 2 This will not be entered into the Border Patrol Enforcement Tracking System (BPETS). 80 Appendix E - FY 2014 HSGP, OPSG Operational Guidance • 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 II; • Conduct operations, on an as -needed basis throughout the length of the grant performance period; • Ensure reports are submitted to the to the Border Patrol, and the SAA when applicable, in the proper format and within established timeframes; • Ensure applicable Operation Stonegarden derived data is shared with the designated fusion center in the State and/or urban area. • Request instruction and information from the SAA, when applicable, and/or Border Patrol and other Federal law enforcement agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area; and • Provide the SAA and Border Patrol a single point of contact that maintains subject matter expertise in ONG who can coordinate, collect, and report operational activities within the established reporting procedures. The SAA will: • 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. 81 Appendix E — FY 2014 HSGP, OPSG Operational Guidance Attachment A: Operation Stonegarden Daily Activity Report Date Informatio Date of Activity Select... Agency identifiers Sector - Agency Type Region/County AVency Name Overtime Hours Labor Cost Miles Driven/Patrolled Mileage Cost Fuel Used (in Gallons) Fuel Cost Equipment on Order Equipment Cost Total Cost Operational Activity Narcotics Seizures Misdemeanor Arrests Subjects TOT BP Cash Seizures Felony Arrests Cases TOT BP Weapons Seizures Outstanding Warrants Criminal Aliens TOT BP Vehicle Seizures Citations Issued Vehicle Stops Specialty Equipment Intel Reports 'Click the orange arrows below to add details about seizures and arrests. Specialty Equipment Usage Surveillance Towerr Marine Patrol Assetr Armored Vehicler Mobile Command Centerr Aviation Asset[ - Other Spec. Equipmentr 82 Appendix E - FY 2014 HSGP, OPSG Operational Guidance Narcotic Seizure Details Type Weight Report Number 'Location Comments Select... .� Currency Seizure Details Amount. Report Number Location Comments Vehicle Seizure Details Make/Model Estimated Value Location Comments Weapon/Ammunition Seizure Details Weapon Type Amount Seized Specialty Equipment Usage Details Specialty Equipment Significant Arrest Details Report Number I Location Comments Number Location Comments Name Date of Birth Report Number Location Comments Intelligence Summary Category Report Number Location Summary Authorizing Officer Date of Report V. Definitions Integrated Planning Team: The 1PT will consist of the awarding State Administrative Agency, local, and Tribal OP SG stakeholders within their Border Patrol sector area and U.S. Border Patrol representatives, but may include other area Federal law enforcement agencies if deemed 83 Appendix E - FY 2014 HSGP. OPSG Operational Guidance 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. 84 Appendix E — FY 2014 HSGP, OPSG Operational Guidance EXHIBIT G 1*:/m-.Iwe3 4 9 4 C p3 . F JI O p� U LLU L] .pp i :I4 9 EXHIBIT H EXHIBIT H IL f0 � a a c v y o c d r. m, y m u m V ' w (n w a to t4 t, cn En iA GO va f.+>1 o9 w9 a a, : e4i cT N iF t r G G� c 0 ur 69 1 69 64 Wf 6�1 vs tog c 9 N N y E W Cl a1 []. v O N E U % 0 F ; E � Lf. yj Fp d4 UA (10 4q Efl M, 69 EHV%l 691 69 Z a m o N 7"C 2LL N N il9 N N Q N 13 O N 5 a N 9 O # D .0 E!,Oi��b 90 a) m O Q) '� -E o m w E m m c m m o E@ a ° U N E ¢`.w ti o` w rn en i c (9 n y E o G c CJ co o � ° E o o 15 r c y @ m — m o o ° 2 'm u o a m u0i Q N a O "1 7 F, _ C p7 a > O D C N F W N41 S m a try E c o E ECL r a' O� L d ° 3 E W E fL, 5E V7 m N d y m ro :C a c m O c " E @ 'aW E.� m A O m IL @ U oar ° o m n 1i d @ = • C m � la ` a N Z Z u •S w a o N E m a y, y, a ro y C C F C7 m u y a)R U c�i CD fA a O0 a m ❑ G U ❑ Q Q7 a C (/JJ C rs a Gl E Cc: C 'O @ 2 o d d 9 n ° C + z_ Z N.. d Ufo m m 73 w T c U d a • d d J 3 L T n Q d E, m .dl y m m b C o r a N c d o E E E E E me=��m d ropm C7 U FY �! N CO) ° W a LL o LL 0 LL 0 I ° o H 0 H� 0 P 0 �° H LL EXHIBIT I EXHIBIT I CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES Homeland Security Grant Program FY: Grant Number: CalOES ID# Subgrantee name: 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.) 5. Did your organization confirm that the contractor/vendor is not debarred or suspended? 6. 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 (Name) (Signature) Cal OES SSRF rev 811113 EXHIBIT J EXHIBIT J The Reimbursement Request Form is not part of the exhibit block. The form is currently being updated by the City of Los Angeles Mayor's Office and will be released as soon as it is finalized. EXHIBIT K 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. 6. Explain how the requested aviation equipment fits into the State/Urban Area's integrated operational plans. 7. Explain how this aviation equipment will support activities specifically related to terrorism incident prevention and response efforts. Cal OES Form AVI Rev 08-01-13 Cal OES Aviation Request Form Page Two 8. Please describe how this aviation equipment will be used operationally and 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. Ca[ OESForm AVI Rev 08-01-13 California Governor's Office of Emeraencv Services ESTABLISMENHANCE EMERGENCY OPERATIONS CENTER fEOCI 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# 1. What type of EOC does your organization plan to establish/enhance? (Choose one of the following) Primary EOC Alternate/Back-up/Duplicate EOC 2. Physical address of facility: 3. Describe how the establishment/enhancement of an EOC improves your organization's ability to prevent, plan for, respond to, and recover from a terrorism event (on a separate attachment). 4. Identify all other sources and uses of additional funds assisting the project in any way. 5. Identify anticipated homeland security grant costs to establish/enhance your organization's EOC in the table below. 6. 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: Grant Programs Directorate Homeland .ay Security 1'1r r7Y OMB Control#• 1660-0115 Expiration Date: 10/31/2013 FEMA Form: 024-0-1 DEPARTMENT OF HOMELAND SECURITY FEDERAL EMERGENCY MANAGEMENT AGENCY (FEMA) ENVIRONMENTAL AND HISTORIC PRESERVATION SCREENING FORM Directions for completing this form: This form is designed to initiate and facilitate the environmental and historic preservation (EHP) compliance review for your FEMA preparedness grant -funded project(s). FEMA conducts its EHP compliance reviews in accordance with National Environmental Policy Act (NEPA) and other EHP-related laws and executive orders. In order to initiate EHP review of your project, you must complete all relevant sections of this form and submit it to the Grant Programs Directorate (GPD) along with all other pertinent project information. Failure to provide requisite information could result in delays in the release of grant funds. Be advised that completion of this form does not complete the EHP review process. You will be notified by FEMA when your review is complete and/or if FEMA needs additional information. There is no need to complete and submit this form if the grant scope is limited to planning, management and administration, classroom -based training, tabletop exercises and functional exercises, or purchase of mobile and portable equipment where no installation is needed. Information Bulletin 345, Grant Programs Directorate Programmatic Environmental Assessment, September 1, 2010, provides details on these activities. This form should be completed electronically. The document is available in both Word and Adobe Acrobat (pdo formats at this website: (htt ://www.fema ro /libr rrvlvi cord.do?from5earclt=fr©rnseareh-,id=4$02. The following website has additional guidance and instructions on the EHP review process and the information required for the EHP review: llttW,//www.fema.gov/ In an/eh;? ehpreview/index.shti Submit completed form through your grant administrator who will forward it to GPDEHPInfo dhs. ov. Please use the subject line: EHP' Submission: Project Title, location; Grant Award Number (Example, EHP Submission; Courthouse Camera Installation, Any Town, State, 12345, 20I1-SS-Oxxxx). Paperwork Burden Disclosure Notice Public reporting burden for thisform is estimated to average 8 hours per response. The burden estimate includes the time f i'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 it formation unless it displays a valid OMB control number Send comments regarding the accuracy of the burden estimate and any suggestions fa• reducing the burden to: Information Collections Management, Department of Homeland Security. Federal Emergency Management Agency; 500 C Street, Washington, DC. 20472. Paperwork Reduction Project (1660-0115), Environmental and Historic Preservation Screening Form —June 2012 SECTION A. PROJECT INFORMATION DBS Grant Award Number:...... Grant Program: Grantee........................................ Grantee POC:...................... Mailing address: .................. E-mail: .................................. Sub grantee: ................................ Subgrantee POC:................. Mailing address: E-mail: ............... Estimated cost of project:.......... Project title: Project location (physical address or latitude -longitude): Project Description. Provide a complete project description. The project description should contain a summary of what specific action is proposed, where it is proposed, how it will be implemented. Include a brief description of the objectives the project is designed to accomplish (the purpose), and the reason the project is needed. Use additional pages if necessary. If multiple sites are involved, provide the summary for each site: SECTION B. PROJECT TYPE Based on the proposed project activities, determine which project type applies below and complete the corresponding sections that follow. For multi -component projects or those that may fit into multiple project types, complete the sections that best apply and fully describe all major components in the project description. If the project involves multiple sites, information for each site (such as age of structure, location, ground disturbance, etc.) must be provided. Attach additional pages to this submission, if needed. 1. ❑ Purchase of equipment. Projects in this category involve the purchase of equipment that will require installation on or in a building or structure. Complete other portions of Section B as needed. Complete Section C.1. 2. ❑ Training and exercises. Projects in this category involve training exercises with any field -based components, such as drills or full-scale exercises. Complete Section C.2. 3. ❑ Renovations/upgrades/modifications or physical security enhancements to existing structures. Projects in this category involve renovations, upgrades, retrofits, and installation of equipment or systems in or on a building or structure. Examples include, but are not limited to: interior building renovations; electrical system upgrades; sprinkler systems; vehicle exhaust systems; closed circuit television (CCTV) cameras; security fencing; access control for an area, building, or room; bollards; motion detection systems; OMB Control#: 1660-0115 FEMA Form: 024-0-1 Environmental and Historic Preservation Screening Form — June 2012 alarm systems; security door installation or upgrades; lighting; and audio-visual equipment (projectors, smart boards, whiteboards, monitors, displays, and projector screens). Complete Section C.3. 4. ❑ Generator installation. Projects in this category involve installation of new or replacement generators, to include the concrete pads, underground fuel and electric lines, and if necessary, a fuel storage tank. Complete Section CA. 5. ❑ New construction/addition. Projects in this category involve new construction, addition to, or expansion of a facility. These projects involve construction of a new building, or expansion of the footprint or profile of a current structure. Complete Section C.5. 6. ❑ Communication towers, antennas, and related equipment. Projects in this category involve construction of new or replacement communications towers, or installation of communications -related equipment on a tower or building or in a communications shelter or building. Complete Section CA 7. ❑ Other. Projects that do not fit in any of the categories listed above. Complete Section C.7. SECTION C. PROJECT TYPE DETAILS Check the box that applies to the proposed project and complete the corresponding details. 1. ❑ Purchase of equipment. If the entire project is limited to purchase of mobile/portable equipment and there is no installation needed, this form does not need to be completed and submitted. a. Specify the equipment, and the quantity of each; .......................... b. Provide the Authorized Equipment List (AEL) number(s) (if known):...... c. Complete Section D. 2. ❑ Training and exercises. If the training is classroom and discussion -based only, and is not field -based, this form does not need to be completed and submitted. a. Describe the scope of the proposed training or exercise (purpose, materials, and type of a activities required): .................................. b. Provide the location of the training (physical address or latitude - longitude): ................................................................................................... c. Would the training or exercise take place at an existing facility which has established procedures for that particular proposed training or exercise, and that conforms with existing land use designations? For further information refer to Information Bulletin #345, http7//www.fema.gov/pdf/govemmentlerantfbulictins/info345.pd :....................................... ❑ Yes ❑ No • If Yes, provide the name of the facility and the facility point of contact (name, telephone number, and email address): ......................... • If No, provide a narrative description of the area where the training or exercise would occur (e.g., exercise area within four points defined by latitude/longitude coordinates): ............................................ OMB Control#:1660-0115 FEMA Form: 024-0-1 Environmental and Historic Preservation Screening Form — June 2012 • Does the field -based training/exercise differ from previously permitted training or exercises in any way, including, but not limited to frequency, amount of facilities/land used, materials or equipment used, number of participants, or type of activities?............................................................ ❑ 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 inscope: ................................................................................................... • If No, provide reference to previous exercise (e.g., FEMA grant name, number, and date): ......................................................................... d. Would any equipment or structures need to be installed to facilitate training?................................................................................................................................... ❑ Yes ❑ No • If Yes, complete Section D 3. ❑ Renovations/upgrades/modifications, or physical security enhancements to existing structures. a. Complete Section D. 4. ❑ Generator installation. a. Provide capacity of the generator (kW): b. Identify the fuel to be used for the generator (diesel/propane/natural gas):.. c. Identify where the fuel for the generator would be stored (e.g. stand-alone tank, above or below ground, or incorporated in generator): ........................ d. Complete Section D. 5. ❑ New constructionladdition. a. Provide detailed project description (site acreage, new facility square footagelnumber of stories, utilities, parking, stonnwater features, etc): b. Provide technical drawings or site plans of the proposed project:......... c. Complete Section D. 6. ❑ Communication towers, antennas, and related equipment. a. Provide the current net height (in feet above ground level) of the existing tower or building (with current attached equipment): .................................. b. Provide the height (in feet above ground level) of the existing tower or building after adding/replacing equipment: ............................................ ❑ Attached Complete items 6.c through 6.q below ONLY if this project involves construction of a new or replacement communications tower.. Otherwise continue. to Section D. Information Bulletin 351, National Historic Preservation Act Section 106 Review Requirements for Communications Facilities, January 4, 2011 has additional guidance and information on EHP requirements for communications towers. Available at:htto://www.fema.gov7odf7govemment/grant/biilletins/info3� OMB Control#: 1660-0115 FEMA Form: 024-0-1 Environmental and Historic Preservation Screening Form — June 2012 c. Provide the ground -level elevation (feet above mean sea level) of the site of the proposed communications tower: .................................................... d. Provide the total height (in feet above ground level) of the proposed communications tower or structure, including any antennas to be mounted: • If greater than 199 feet above ground level, state why this is needed to meet the requirements of the project: .................................................. e. Would the tower be free-standing or require guy wires? • If guy wives are required, state number of bands and the number of wiresper band: .................................................................................. • Explain why a guyed tower is needed to meet the requirements of thisproject: ....................................................................................... f. What kind of lighting would be installed, if any (e.g., white strobe, red strobe, or steady burning)?..................................................................... g. Provide a general description of terrain (e.g., mountainous, rolling hills, flatto undulating): .................................................................................... h. Describe the frequency and seasonality of fog/low cloud cover: .................. i. Provide a list of habitat types and land use at and adjacent to the tower site (within % mile), by acreage and percentage of total (e.g., woodland conifer forest, grassland, agriculture) water body, marsh: ....................... ❑ Freestanding ❑ Guy wires j. Is there evidence of bird roosts or rookeries present within %a mile of the proposedsite?........................................................................................................................... ❑ Yes ❑ No • Describe how presence/absence of bird roosts or rookeries was determined: .............................................................................................. k. Identify the distance to nearest wetland area (e.g., forested swamp, marsh, riparian, marine) and coastline if applicable: ....................... 1. Distance to nearest existing telecommunication tower: ........................... m. Have measures been incorporated for minimizing impacts to migratory birds?........................................................................................................................................ ❑ Yes ❑ No • If Yes, describe:.......... n. Has a Federal Communications Commission (FCC) registration been obtained for this tower?........................................................................ • If Yes, provide Registration #: • If No, why?................................................................. o. Has the FCC E106 process been completed? p. Has the FCC Tower Construction Notification System (TCNS) process beencompleted?....................................................................................... • If Yes, attach the environmental documentation submitted as part of the registration process including use of the Tower Construction OMB Control#: 1660-0115 FEMA Form: 024-0-1 ❑ Yes ❑ No ❑ Yes ❑ No ❑ Yes ❑ No 5 Environmental and Historic Preservation Screening Form — June 2012 Notification System (TCNS), if applicable. FRN#: q. Would any related equipment or structures need to be installed (e.g., backup generator and fuel source, communications shelter, fencing, or security measures)?................................................................................................................................ ❑ Yes ❑ No • If Yes, explain where and how each installation would be done. Provide details about generator capacity (M), fuel source, fuel location and tank volume, amount of fencing, and size of communication shelter:..... _ r. Complete Section D. 7. ❑ Other. Complete this section if the proposed project does not fit any of the categories above. a. Provide a complete project description: ........................... b. Complete Section D. SECTION D. PROJECT DETAILS Complete all of the information requested below. 1. ❑ Project installation a. Explain how and where renovations/upgrades/modifications would take place, or where equipment/systems will be installed: ............................... b. Would ground disturbance be required to complete the projector training? ........................... ❑ Yes ❑ No • If Yes, provide total extent (depth, length, and width) of each ground - disturbing activity. Include both digging and trenching. For example, light poles and fencing have unique ground -disturbing activities (e.g., six light poles, 24" dia. x 4' deep; trenching 12" x 500' x 18" deep; 22 fence posts, 12" diameter x 3' deep, and 2 gate posts, 18" diameter x3' deep): ............................................................................................... • If Yes, describe the current disturbed condition of the area (e.g., parking lot, road right-of-way, commercial development):......... Would the equipment use the existing infrastructure for electrical distributionsystems?............................................................................................................... ❑ Yes ❑ No • If No, describe power source and detail its installation at the site:.......... 2. ❑ Age of structure/building at project site a. Provide the year existing building(s) or structure(s) on/in/nearest to the location involved in the proposed project was built: ............................... • If the building or structure involved is over 45 years old and OMB Control#: 1660-0115 FEMA Form: 024-0-1 Environmental and Historic Preservation Screening Form — June 2012 significant renovation, rehabilitation, or modification has occurred, provide the year(s) modified and briefly describe the nature of the modification(s):........................................................................... b. Are there any structures or buildings that are 50 years old or older in or adjacent to the project area?..................................................................... • If yes, provide the location of the structure(s), ground -level color photographs of the smcture(s), and identify their location(s) on an aerialmap: ......................................................................................... ❑ Yes ❑ No c. Is the project site listed in the National Register of Historic Places (National Register), or in/near a designated local or National Register Historic District? The intemet address for the National Register is: http://nrhp.focus.nps.gov................................................................................................ ❑ Yes ❑ No • If Yes, identify the name of the historic property, site and/or district and the National Register document number: .................................... 3. ❑ Site photographs, maps and drawings a. Attach site photographs. Site photographs are required for all projects. Use the following as a checklist for photographs of your project. Attach photographs to this document or as accompanying documents in your submission. • Labeled, color, ground -level photographs of the project site: ............................................. ❑ Required • Labeled, color photograph of each location where equipment would be attached to a building or structure: ...................................................................................... ❑ Required • Labeled, color aerial photograph of the project site: ........................................................... ❑ Required • Labeled, color aerial photographs that show the extent of ground disturbance (if applicable): ............................................................................ .................... ❑ Attached • Labeled, color ground -level color photographs of the structure from each exterior side of the building/structure (applicable only if building/structure is more than 45 years old): .................................................................... ❑ Attached b. Are there technical drawings or site plans available?............................................................. ❑ Yes ❑ No • If yes, attach: Appendix A has guidance on preparing photographs for EHP review 4. ❑ Environmental documentation a. Is there any previously completed environmental documentation for this project at this proposed project site (e.g., Environmental Assessment, or wetland delineation, or cultural/archaeological study)? ............................ • If Yes, attach documentation with this form: b. Is there any previously completed agency coordination for this project (e.g., correspondence with the U.S. Fish and Wildlife Service, State Historic Preservation Office, Tribal Historic Preservation Office)? ............ • If Yes, attach documentation with this form: .......................................... OMB Control#: 1660-0115 FEMA Form: 024-0-1 ❑ Attached ❑ Yes ❑ No ❑ Attached ❑ Yes ❑ No ❑ Attached Environmental and Historic Preservation Screening Form — June 2012 c. Was a NEPA document was prepared for this project?........................................................... ❑ Yes ❑ No • If Yes, what was the decision? (Check one, and please attach): ❑ Finding of No Significant Impact (FONSI) from an Environmental Assessment (EA) or ❑ Record of Decision (ROD) from an Environmental Impact Statement (EIS). Name of preparing agency: Date approved: ................... OMB Control#: 1660-0115 FEMA Form: 024-0-1 Appendix A. Guidance for Supporting Photographs for EHP Grant Submissions Photographs are a vital component of the EHP review process and add an additional level of understanding about the nature and scope of the project. They also provide pre -project documentation of site conditions. Please follow the guidance provided below when preparing photographs for your EHP submission. The following pages provide examples of best practices used in earlier EHP submissions. Minimum requirements for photographs. 1. Photographs should be in color. 2. Label all photographs with the name of facility, location (city/county, state) and physical location (physical address or latitude -longitude). 3. Label the photographs to clearly illustrate relevant features of the project, such as location of installed features (e.g., cameras, fences, sirens, antennas, generators) and ground disturbance. See examples below. 4. Identify ground disturbance. Adding graphics to a digital photograph is a means to illustrate the size, scope and location of ground disturbing activities. Best Practices 1. Provide photographs in a separate file. 2. Place no more than 2 pictures per page. 3. Compressing pictures files (such as with Microsoft Picture Manager)' or saving the file in pdf format will reduce the size of the file and facilitate e-mail submissions. 4. Identify the photograph file with the project name so that it can be matched to the corresponding FEMA EHP screening form. 5. Maximum file size for enclosures should not exceed 12 MB. If the total size of files for an EHP submission exceeds 12 MB, send the submission in multiple e-mails. 6. If necessary, send additional photographs or data in supplemental e-mails. Please use the same e-mail subject line with the additional label: 1 of x, 2 of x, ... x of x. Options for Creating Photographs 1. Obtain an aerial photo. There are multiple online sources for aerial photographs. 2. For the aerial photo, use the screen capture feature (Ctrl + Print Screen keys) and copy the image to photo editing software, such as Paint, or PhotoShop. ' Use that software to crop the image so the photo has the content necessary. 3. Open PowerPoint, or other graphics -oriented software, and paste the aerial or ground -level photograph on the canvas. 4. Use drawing tools, such as line drawing and shapes, to indicate the location of project features (for example: fencing, lighting, sirens, antennas, cameras, generators). 5. Insert text to label the features and to label the photograph. 6. Use drawing tools to identify ground -disturbing activities (if applicable). 7. Save the file with the project name or grant number so that it can be appropriately matched to the corresponding FEMA EHP screening form. Include this file with the EHP screening when submitting the project. OMB Control#: 1660-0115 FEMA Form: 024-0-1 A-1 Appendix A. Supporting Photographs for EHP Grant Submissions Example Photographs Aerial Photographs. The example in Figure 1 provides the name of the site, physical address and proposed location for installing new equipment. This example of a labeled aerial photograph provides good context of the surrounding area. Ground -level photographs. The ground -level photograph in Figure 2 supplements the aerial photograph in Figure 1, above. Combined, they provide a clear understanding of the scope of the project. This photograph has the name and address of the project site, and uses graphics to illustrate where equipment will be installed. Figure 1. Example of labeled, color aerial photograph. Figure 2. Example of ground level photograph showing proposed attachment of new equipment OMB Control#: 1660-0115 FEMA Form: 024-0-1 A-2 Appendix A. Supporting Photographs for E11P Grant Submissions Ground -level photograph with equipment close-up, Figure 3 includes a pasted image of a CCTV camera that would be placed at the project site. Using desktop computer software, such as PowerPoint,l this can be accomplished by inserting a graphic symbol (square, triangle, circle, star, etc.) where the equipment would be installed. This example includes the name and location of the site. The site coordinates are in the degree - minute -second format. Ground -level photograph with excavation area close- up. The example in Figure 4 shows the proposed location for the concrete pad for a generator and the ground disturbance to connect the generator to the building's electrical service. This information can be illustrated with either an aerial or ground -level photograph, or both. This example has the naive and physical address of the project site. OMB Control#: 1660-0115 FEMA Form: 024-0-1 Abc Tower Site, Some County State 12' 34 56 7" N. 4V 67 89 12 W w New CCTV Camera Figure 3. Ground -level photograph with graphic showing proposed equipment installation. Sometw n Community Center, 123 Elm Street Somelown, State Trenching from generator 10 t budding s etecbfeal sewco 22Itx18inx6 n Generator Pod 4Rx10hx8m Figure 4. Ground-Ievel photograph showing proposed ground disturbance area. A Appendix A. Supporting Photographs for EHP Grant Submissions Communications equipment photographs. The example in Figure 5 supports a project involving installation of equipment on a tower Key elements are identifying where equipment would be installed on the tower, name of the site and its location. This example provides site coordinates in decimal format. rigure o. urouna-ievet ptiotograpn snowing proposes locations of new communications equipment on an existing tower. Interior equipment Some Countv Sheriff Dept 123 Elm Street photographs. The example in p camera will be added Figure 6 shows the use of graphic n the upper right symbols to represent security corner and a proximity features lanned for a buildin p g� dear access reader will The same symbols are used in the be added for access control other pictures where the same — equipment would be installed at ` other locations in/on the building. ! This example includes the name of the facility and its physical address. FAr Figure 6. Interior photograph showing proposed location of new equipment. Ground -level photographs of nearby historic structures and buildings. Consultation with the State Historic Preservation Office (SHPO) may be required for projects involving structures that are more than 50 years old, or are on the National Register of Historic Places. In that event, it will be necessary to provide a color, ground-lcvel photograph of each side of the building/structure. Use of brand name does not constitute product endorsement, but is intended only to provide an example of the type of product capable of providing an element of the EHP documentation. OMB Control#: 1660-0115 FEMA Form: 024-0-1 A-4 California Governor's Office of Emeraencv Services WATERCRAFT REOUEST 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 $ 1. 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 Cost 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. 5. 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. 6. 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 EXHIBIT L Technology Project Standards 1. Virtual Port (Data System Projects) 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 Project 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. 5_ License Plate Reco niti- n LP %l�r�ntiri�W� 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 -circuit -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 250kb/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 of 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);