Resolution No. 2015-011 (5)FULLY EXECUTED AGREEMENT
✓DIVED
R 2 0 2015
:LERK'S OFFICE
ERIC GARCETTI
MAYOR
April 13, 2015
Deborah Juarez
Office of the City Clerk
City of Vernon
4305 Santa Fe Avenue
Vernon, CA 90058
RE: Subrecipient Agreement No. C-1254911 UASI 14 Grant
Dear Ms. Juarez,
Enclosed, please find the executed UASI 14 Subrecipient Agreement No. C-125491
between the City of Los Angeles and the City of Vernon.
Should you have any questions or concerns, please do not hesitate to contact me at
(213) 978-0503. Thank you.
Very truly yours,
Kristina Gannon
Contract Specialist
Office of the Mayor
Homeland Security and Public Safety
Encls.
�,.;ry� .�,., 200 N. SPRING STREET, ROOM 303 LOS ANGELES, CA 90012 (213) 978-0600
MAYOR. LAC ITY.ORG
SUBRECIPIENT AGREEMENT
Jurisdiction: City of Vernon
Title: FY 2014 Urban Area Security Initiative (UASI) Grant Program
City Contract Number C- 1 Z 5 g q i
TABLE OF CONTENTS
Page
Section Section Title Number
Number
I. INTRODUCTION 3
&101. Parties to the Agreement ............. .
...............................................................3
S102• Re resentatives of the Parties and Service of Notices........................................4
&103• Independent Party...............................................................................................4
5104• Conditions Precedent to Execution of This Agreement .................
......................
II, TERM AND SERVICES TO BE PROVIDED 5
5201. Time of Performance...........................................................................................5
.......................................... 5
4202. Use of Grant Funds .......................................... .
III. PAYMENT 13
of Grant Funds and Method of PaY_meet....•••••••••••• ........................•••..13
6301.
Payment
IV. STANDARD PROVISIONS 16
&401
Construction of Provisions and Titles Herein.....................................................16
•
5402'
A licable Law Inter retation and Enforcement...............................................16
§403•
Integrated Aareement........................................................................................16
&404.
Excusable Delays ..............................................................................................16
&405.
Breach.............................................................................17
................................
Assignment or Dele_ as tion
&406.
Prohibition Against
::::::::::::::::::::...............................
7
&407•
Permits ...................... ................
... ..............
17
&408.
Nondiscrimination and Affirmative Action ...............................
17
&409.
Bonds.....................................................................................
&410.
Indemnification..................................................................................................18
&411.
Conflict of Interest..............................................................................................18
20
4412•
Restriction on Disclosures ................... .............................................................
Outreach Proaram...............20
4413.
Minority Women and Other Business Enterprise
213
&414•
Publications and Use of Grantor Markin s .....••••••••••• • •••
21
with State and Federal Statutes and Regulations::::......:
35
4415.
Compliance
6416.
...............
Inventions Patents and Cop n hts................ .
V. DEFAULTS, AMENDMENTS, AND AGREEMENT 37
37
&501.
................................................
Defaults.............................................................................................................37
&502.
Amen_dments.....................................................
.................37
&5 03.
Complete Agreement ........................................................................
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 CalOES Approved Forms
Exhibit L Technology Standards
UASI 14 Subrecipient Agreement ii
AGREEMENT NUMBERS 17,691 OF CITY CONTRACTS
BETWEEN
THE CITY OF LOS ANGELES
AND THE CITY OF VERNON
THIS SUBRECIPIENT AGREEMENT ("Agreement" or "Contract") is made and
entered into by and between the City of Los Angeles, a municipal corporation (the
"City"), and the City of Vernon, a municipal corporation (the "Subgrantee" or
"Subrecipient").
WITNESSETH
WHEREAS, the U.S. Department of Homeland Security ("DHS"), through the
Grant Programs Directorate within the Federal Emergency Management Agency
("FEMA" and along with DHS, collectively "Grantor"), has provided financial assistance
to the Los Angeles/Long Beach Urban Area ("LA/LBUA") through the Fiscal Year (FY)
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:
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UASI 14 Subrecipient Agreement 2
I. INTRODUCTION
§101. Parties to the Agreement
The Parties to this Agreement are:
A. The City of Los Angeles, a municipal corporation, having its principal office
at 200 N. Spring Street, Los Angeles, California 90012; and
B. The City of Vernon, a municipal corporation, having its principal office at
4305 S. Santa Fe Avenue, Vernon, California 90058.
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to
administer this Agreement and to whom formal notices, demands and
communications shall be given are as follows:
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 3
shall be given, in accordance with this section, within five (5) business
days of said change.
§103. Independent Party
Subrecipient is acting hereunder as an independent party, and not as an agent or
employee of the City. No employee of Subrecipient is, or shall be, an employee
of the City by virtue of this Agreement, and Subrecipient shall so inform each
employee organization and each employee who is hired or retained under this
Agreement. Subrecipient shall not represent or otherwise hold out itself or any of
its directors, officers, partners, employees, or agents to be an agent or employee
of the City by virtue of this Agreement.
§104. Conditions Precedent to Execution of This Agreement
Subrecipient shall provide copies of the following documents to the City, unless
otherwise exempted.
A. [Intentionally Omitted]
B. Certifications Regarding Ineligibility, Suspension and Debarment as
required by Executive Orders 12549 and 12689 in accordance with
§415.A.12 of this Agreement and attached hereto as Exhibit B and made a
part hereof. Subrecipient hereby certifies that said Certification so
executed is true and correct as of the date of execution of this Agreement.
C. Certifications and Disclosures Regarding Lobbying in accordance with
§415.A.4 of this Agreement and attached hereto as Exhibit C and made a
part hereof. Subrecipient shall also file a Disclosure Form at the end of
each calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of the information contained in
any Disclosure Form previously filed by Subrecipient. Subrecipient hereby
certifies that said Certification so executed is true and correct as of the
date of execution of this Agreement.
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/xiibrary/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 Califomia 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/CalOES 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
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 CaIOES/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
httr)://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.firstrespondertraining.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
htti):Hhseep.dhs.gov. Reference materials and additional details are
available at http://www.oes.ca.ciov.
I. 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.
J. 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 CaIOES prior to Subrecipient entering into such
contract. Such request shall be made on a Sole Source Request Form, as
attached hereto as Exhibit I. Any such request may be denied by City and
CaIOES in their sole discretion.
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. CaIOES shall have the right to
place a lien on any such improved real property for any amounts owed in
connection with such deobligation/disallowment.
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.
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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 CaIOES
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.
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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 parry'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;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by 44 CFR
§13.36, the California Political Reform Act, California Government
Code §87100 et sea. if such person were a public officer, because
such person would have a "financial or other interest" in the
subcontract.
B. Definitions:
The term "immediate family" includes but is not limited to domestic
partners and/or those persons related by blood or marriage, such
as husband, wife, father, mother, brother, sister, son, daughter,
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:
a. Any direct or indirect financial interest in the specific
contract, including a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment,
a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor ownership:
partnership interest or other beneficial interest of five percent
or more; ownership of five percent or more of the stock;
employment in a managerial capacity; or membership on the
board of directors or governing body.
C. The Subrecipient further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value
from any actual or potential subcontractor, supplier, a party to a sub
agreement, (or persons who are otherwise in a position to benefit from the
actions of any officer, employee, or agent).
D. The Subrecipient shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the
relationship between said person and the Subrecipient.
E. Prior to obtaining the City's approval of any subcontract, the Subrecipient
shall disclose to the City any relationship, financial or otherwise, direct or
indirect, of the Subrecipient or any of its officers, directors or employees or
their immediate family with the proposed subcontractor and its officers,
directors or employees.
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 424B 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 seg.; City Council action dated
February 4, 1987 (C.F. No. 84 2259 S1); and any administrative
regulation or field memos implementing such Act.
3. Americans with Disabilities Act
Subrecipient hereby certifies that it will comply, as applicable, with
the requirements of Titles I, II and III of the Americans with
Disabilities Act of 1990 ("ADA"), 42 USC §§ 12101 et seg., 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, tc
support the enactment, defeat, repeal, modification or
adoption of any law, regulation, pending legislation, pending
regulation, or policy (pending or otherwise), at any level of
government. None of the funds provided pursuant to this
Agreement shall be used for any sectarian purpose or to
support or benefit any sectarian activity.
b. Concurrent with the execution of this Agreement,
Subrecipient shall submit to the City a Certification
Regarding Lobbying and a Disclosure Form in accordance
with 31 U.S.C. §1352. A copy of the Certificate is attached
hereto as Exhibit C and incorporated herein. No funds will
be released to Subrecipient until the Certification is filed.
C. Subrecipient shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring
disclosure or which materially affects the accuracy of any of
the information contained in any Disclosure Form previously
filed by Subrecipient. Subrecipient shall require that the
language of this Certification be included in the award
documents for all sub -awards at all tiers and that all
subcontractors shall certify and disclose accordingly.
UASI 14 Subrecipient Agreement 21
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 CalOES, through any
authorized representative, or as required by applicable law,
Grant regulations and guidance.
b. Subrecipient agrees to submit timely, complete and accurate
reports to appropriate Grantor, CalOES and City
representatives as may be requested and maintain
appropriate 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.
6. 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.
7. Subcontracts and Procurement
Subrecipient shall comply with applicable State, Federal and
Subrecipient standards in the award of any subcontracts, including
complying with the provisions set forth in 44 CFR §13.36. For
purposes of this Agreement, subcontracts shall include but not be
limited to purchase agreements, rental or lease agreements, third
party agreements, consultant service contracts and construction
subcontracts.
Subrecipient shall ensure that the terms of this Agreement with the
City are incorporated into all subcontract agreements. Subrecipient
shall submit all Subcontractor Agreements to the City for review
Prior to the release of any funds to the subcontractor. Subrecipient
shall withhold funds to any subcontractor agency that fails to
comply with the terms and conditions of this Agreement and their
respective subcontract agreement.
8. Labor
a. Subrecipient shall comply, as applicable, with the
Intergovernmental Personnel Act of 1970 (42 U.S.C.
§§4728-4763) relating to prescribed standards for merit
systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for
a Merit System Personnel Administration (5 CFR 900,
Subpart F).
b. Subrecipient shall comply, as applicable, with the provisions
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 seg.), 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; (1) 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-organ izations-provide-meaningful-
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/CalOES. 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.aov/dog�/governmenVciranVbuiletins/info329 final
screenina 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/CaIOES 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.
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, CalOES
and/or Grantor may unilaterally terminate this Grant award to
Subrecipient, without penalty, if Subrecipient:
Is determined to have violated a prohibition identified in this
paragraph 5, subparagraph a, b, or c; or
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.
ii. "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
book.odf. 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.aov/xlibrary/assets/Drivacy/privacy aia guidance�u
ne2010.pdf and at
http://www.dhs.aov/xlibrary/assets/Drivacy/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 FR 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/CaIOES 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
Eric Garcetti, Mayor
By
Homeland Security and
DepLkaity Aftof ney/
Public Safety, Mayor's Office
Date ! 3/
Date
Y1 i o/lj.
ATTEST:
HOLLY L. WOLCOTT, Interim City Clerk
By _
eputy City CI k
Da
E
APPROVED AS TO FORM:
For: The City of Vernon,
a municipal corporation
By
c� t�X
Zayn. Moussa, Deputy City Attorney
Date 1)
By
!�
-W. Michael McCormick, Mayor
Date
ATTEST:
By t
CA of*
Maria . Ayala, City Clerk
[SEAL]
Date 042$ I7.o15
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
Insurance
(Not applicable to this Agreement)
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
Government, the department or agency with which this transaction originated may pursue available remedies,
including suspension and/or debarment.
3. The prospective recipient of Federal assistance 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 Promms.
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)
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
I(b) of this certification; and
(d) Have not within a three-year period preceding this Agreement had one or more public
transactions (Federal, State, or local) terminated for cause or default.
2. Where the prospective recipient of Federal assistance funds is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to this proposal.
C-12W l
AGREEMENT NUMBER
City of Vernon
�.s
Mark Whitworth, City Administrator
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGNA
Maria E.
DATE
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.
C-125qq 1
AGREEMENT NUMBER
City of Vernon
Mark Whitworth, City Administrator
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
5
SIGNATXTRE DATE
Maria $. Avala, Ci(i Clerk
CER TIFICA TION REGARDING DRUG FREE WORKPLACE ACT
REQUIREMENTS
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 j, 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.
C �12545
AGREEMENT NUMI3ER
City of Vernon
MIS
Mark Whitworth, City Administrator
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
Maria E. yala, City (ark
*NOTE: Capitalized terms herein shall have those meanings set forth in the Agreement to
which this Certification is attached as an Exhibit
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:
1. 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@c hs.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 mattes 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 seekjudicial 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 Glottal 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 SF424B, 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 ofthe 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/FFMA 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 Initials
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 Part 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.
I. 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 II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [P.L. 91-646]), which provides for fair
and equitable treatment of persons displaced or whose property is acquired as a result of Federal or
Federally assisted programs. These requirements apply to all interested in real property acquired for 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 1660-01 15/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.pov/doc/government/grant/bulletins/info329 final crs eening memo doc
36. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the
accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of Violating
Facilities, and will notify Cal 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 under
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 (EO 11514).
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.l (e) and
CCR Title 19, §§ 2445, 2446, 2447, and 2448.
39. Agrees that subgrantees and subrecipients collecting Personally Identifiable Information (PIT) must have a
publically-available privacy policy that describes what PH they collect, how they plan to use the PH,
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 http://www.dhs.pov/xlibrary/assets/privacy/privacyDia fuidarice iune20lO.pdf and at
http://www.dhs,gov/xlibrary/assets/privacy/privacy pia template.pdf, respectively.
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 B 138942.
43. Agrees that all publications created or published with funding tinder 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 ofFEMA'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 which a 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 InitialTF
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 disallowment of costs, and Cal OES reserves the right to place a lien on the property
for the amount owed.
e. Separately account for interest earned on grant funds, and will return all interest earned, in excess of
$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.eov/xopnbiz/grants/index.stitm
Page 7 InitialsIF
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: DD254AdministmtiveSecurity@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 nine digit number established and
assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number
may be obtained from D&B by telephone (currently 866-705-5711) or the Internet, currently at
http://fedpov.dn b. oom/webform.
b. "Entity", as it is used in this award term, means all of the following, as defined at 2 CPR 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 mast 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 3 00 1.
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
stational 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 ht_pt s•//www.dhs.gov/guidance-published-help-department-supported-orstanizations-provide-meanineful-
access-people-limited and additional resources on httn://www.lep.gov.
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 CPR 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 10l (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 treasures 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 http7//www.sec.gov/answers/execomp.htin. Subgrantees must report subrecipient executive
total compensation to Cal OES by the end of the month following the month during which you make
the subaward. Exemptions include: If, in the previous tax year, you had gross income, from all
sources, under $300,000, you are exempt from the requirements to report on subawards, and the total
compensation of the five most highly compensated executives of any subrecipient.
d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each
of your five most highly compensated executives for the preceding completed fiscal year, if
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii, in the preceding fiscal year, you received 80 percent or more of your annual gross revenues
from Federal procurement contracts (and subcontracts) and Federal financial assistance
subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and
$25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at
2 CFR § 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the executives
through periodic reports filed under 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.
(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.eov/aliswers/execomp.htiii.)
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 IV
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: J " " A /
Printed Name of Authorized Agent:
Alisa Finsten
Title: Director of Grants and Finance Date:
Page 12
October 28, 2014
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- 14-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://www.fws.govlpolicyllibrarylrgeo12372.pdj). Name and addresses of the SPOCs are
1
FY 2014 HSGP FOA
maintained at the Office of Management and Budget's home page at
htW://www.whitehouse.¢ov/omb/grantsspoc 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 ht(P: //WWW..rants. eov.
For details on how to apply through grants.gov, please read Section IX, "How to Apply."
Eligible Applicants
State governments
3
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.
11. 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
http: //www.fema.gov/prants/Qrant-programs-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
htW:Ilwww.dhs.gov/xlibrary/assets/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 (U),
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 IJ,
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
hawllwww.census.gov/vonuiation/www/metroareas/metrodefhtml. 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.
7
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. In addition, funding may be used for the
sustainment of core capabilities that, while they may not be physically deployable,
support national response capabilities such as Geographic/Geospatial Information
Systems (GIS), interoperable communications systems, capabilities as defined under
the mitigation mission area of the 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
httn.•//www.fema.eov/resource-mana emg ent.
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
http://www.fema.jzovl d /emergency/nims/nims_alert cred guideline.pdf
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 hgp://www.fema.gov/ rg ants/ rgrant-programs-directorate-information-
bulletins and http://www.fema.gov/librarv/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
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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
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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 Investment/project
where funds come from multiple funding sources (i.e., SHSP/UASI); however,
grantees are not allowed to divert funding from one program to another due to the
risk -based funding allocations, which were made at the discretion of DHS.
For additional details on restrictions on the use of funds, 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 htty:11WW v.fema.pov/media-
libraalassets/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,
hW://www.safecomprogram.2ov/ ran MDefauIt. 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 ofDHSIFEMA 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.
i. 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 Us 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:
htWs: //www. dhs.2ov/nublication/fy 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
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://www.gao.zov/ og Vaud/ybk0l.htm, and the
requirements of Subpart F of 2 C.F.R. Part 200, located at htW://www.ecfr.,jZoy1cg_i-
bi text-
idx?SID=55e12eead565605b4d529d82d276105c&node=2:1.1.2.1.1.6&rzn=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.gao/ og Vaud/vbkOl.htm, and OMB Circular A-133, Audits
of States, Local Governments, and Non -Profit Organizations, located at
http://www.whitehouse.eov/omb/circulars/a133 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
Janus 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
http://Www.whitehouse.zov/sites/default/files/omb/assets/ rg ants forms/SF-425.pdf
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 I — 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
htto://www.na s ed.uslLap/SF-PPR Cover%20heet.pd[
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 first
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) SF-425 —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
http://www.whitehouse.gov/sites/defazelt/files/omb/prants/approved forms/s%428 p&-
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
http://www.whitehouse eov/sites/de ault/ ileslomblzranLIapproved forms/s -429 Rdf
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 DHS/FEMA Grant Funding at
http://www.fema.gov/erants/erant programs-directorate-information-bulletins#20131B.
19
FY 2014 HSGP FOA
VII. DHS FEMA Contact Information
A. For Financial, Programmatic, or Administrative Questions Pre -Award and Post
Award
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 askcsidna-.dhs.eov, 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-
GMD(idhs.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:llwww.Tema.eovlabouticontactlreeions,shtm.
iv. Systems Information
Grants.gov.
For technical assistance with Grants.gov, 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
ndQrants(a),ema.go or (800)865-4076.
v. 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 gpdehpiin/bQ/ema.gov. EHP Technical Assistance,
including the EHP Screening Form, can be found at httn://www.fema.gov/media-
20
FY 2014 HSGP FOA
library-datal20130726-1806-25045-
2839.gpd ehp screening form omb 1660 0115 Tune 2011.pd�
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 http:llwww. ema.gov/national-Drenaredness/national-
preparedness-system. 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 (URT)
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.
IM 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
httn:Ilwww.irs.gov/Businesses/Small-Businesses-&-Se�(-Emploved/Apply for-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 bttp://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 U 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
IJ 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 U must clearly identify and explain
the nexus to terrorism preparedness.
IJs are submitted in the GRT. The IJ 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 (SWIG) 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 IJ 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 OPSG application process, each eligible local unit of government
at the county level or Federally -recognized Tribal government must develop their
Operations Order in coordination with State and Federal law enforcement agencies, to
include, but not limited to 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 — ONG 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
Mississi i
$3,733,000
Wisconsin
$3,978,000
Missouri
$3,978 000
W omin
$3 733 000
Total000
27
Appendix A—FY2014 HSGP Allocations
FY 2014 UASI Allocations
Arizona
FundedStatelTerritory Urban Area
Phoenix Area
FY 2014
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
$5,50Q000
Total
rig 00i
28
Appendix A—FY2014 HSGP Allocations
FY 2014 SHSP and UASI LETPA Minimums
StatelTerrilory
Alabama
Funded Urban Area(s)
Allocation
Allocation
Ailoc,ation
$3,733.0001
Allocanon by
State
$3,733,0001
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
$4,558,000
$10,068,000
$2,517,D00
Arkansas
$3,733,000
$3,733,000
$933,250
California
Anaheim/Santa Ana Area
$5,500,000
$119,274,000
$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
San Diego Area
$16,874,000
Colorado
Demar Area
$3,000,000
$3,000,000
$3,979,000
$6,979,000
$1,744,750
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
Orl Area
$1,000,000
Tampa Area
$3,000,000
Georgia
Atlanta Area
$5,500,000
$5,500,000
$6,807.000
$12.307.000
$3,076,750
Guam
$&54,0001
$854,000
$213,500
Hawail
Honolulu Area
$1,000,000
$1,000,000
$3,733,000
$4,733,000
$1,183,250
Idaho
$3,733,000
$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
$3,733.0001
$3,733,000
$933,260
Maryland
Baltimore Area
$5,500,000
$5,500,000
$6,125,0001
$11,625,000
$2.906,250
Massachusetts
Boston Area
$18,000,000
$18,000,000
$5,622,0001
$23,622,000
$5,906,500
Michigan
Detroit Area
$5,500,000
$5,500,000
$6,658,0001
$12,158,000
$3,039,500
Minnesota
Twin Cities Area
$5,500,000
$5,500,000
$3,978,000
$9,478,000
$2,369,500
MISSISSlppl
$3,733,000
$3,733,000
$933,250
Missouri
Kansas City Area
$1,000,000
$4,000,000
$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
$1.0001000
$3,733.000
$4,733,000
$1,183,250
New Hampshire
$3,733,000
$3,733,000
$933.260
New Jersey
Jersey City/Newark Area
$21,800,000
$21,800,000
$8,354,0001
$30,154,000
$7,538.500
New Mexico
$3,733,000
$3,733,000
$933,256
New York
New York City Area
$178,926,000
$178,926,000
$76,742.000
$255.668,000
$63,917,000
North Carolina
Chariolte 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
Northam 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
1
$3,733,000
$3,733,000
$933,250
Oregon
Portland Area
$1,000,000
$1,000,000
$3,837,000
$4,837,000
$1,209,250
29
Appendix A—FY2014 HSGP Allocations
FY 2014 SHSP and UASI LETPA Minimum (continued)
State ITe rri to ry
Pennsylvania
Funded Urban Area(s)
Philadelphia Area
Allocation
$18,500,000
Allocation
$21,500,000
Ailocation
$10,026,000
Allocation by
State
$31,526,000
LETPA
$7,887,500
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
$2,103,500
Washington
Seattle Area
$5,500,000
$5.500,000
$6,493,000
$11,993,000
$2,998,250
West Virginia
1
$3,733,000
$3,733,000
$933.250
Wisconsin
$3,978,000
$3,978.000
$994,500
W omin
$3,733,000
$3,733,000
$933,250
1 000
S69,500,000
$84,055,000
$153,555,000
$38,38B.750
30
Appendix A—FY2014 HSGP Allocations
FY 2014 OPSG Eligible States and Territories
Alabama
States and .-
Massachusetts
Pennsylvania
Alaska
Michigan
Rhode Island
Arizona
Minnesota
South Carolina
California
Mississippi
Texas
Connecticut
Montana
Vermont
Delaware
New Hampshire
Virginia
Florida
New Jersey
Washington
Georgia
New Mexico
Wisconsin
Hawaii
New York
Puerto Rico
Idaho
North Carolina
U.S. Virgin Islands
Louisiana
North Dakota
American Samoa
Maine
Ohio
Guam
Maryland
Oregon
Northern Mariana Islands
Note: Not all applicants are guaranteed to receive funding under the FY 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
(hQ: //www,%ma. gov/whole-communitx).
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 funded 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 hgp://www.fema.g_ov/national preparedness/national prenaredness-
s_ st tem. 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
Idendfying 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 htW://www./emagov/national-
p=aredness/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 fema-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
THIRA/SPR. 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.
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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
(htt12:11www.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 (hgp://www.dhs.gov/fusion-center-locations-and-contact-information) 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 hiitiative
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 inFY_20-14,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 httn:11www:dhs.gov1fv-2023-
homeland -security rg ant -pro rg am-hsgp.
• All FEMA approved analyst courses that meet the grant requirement are listed at
Reporting
As part of programmatic monitoring, grantees will be required to describe how
expenditures support maintenance and sustainnient 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 future operating environment. These efforts should actively use strategic
foresight, including the multiple driving forces of change and the associated evolving strategic
needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can
be found at httn:llwww.fema.gov/strategic plannin -ag nalvsis-spa-division/strategic- oresight-
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 hhWs://www.11is.dhs.gov/hseep.
All grantees will develop and maintain a progressive exercise program consistent with Homeland
Security Exercise and Evaluation Program (HSEEP)(https://www.11is.dhs..eovlhsegg). 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 hseep@gov no later than 90
days after the TEPW. States are encouraged to post their schedules to the National
Exercise Scheduling System (NEXS) at
httns://hseep dhs gov/DHS SSO/?ReturnUr1=%2fhseW em%2fToolkitHome.asnx
• 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 hseoAfemaAhs.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 AARAP template located
at his://www.11is.dhs/hseen and utilize the Corrective Action Program (CAP)
System at hgps://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 (PHEP) 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.gov/whole-community). Grantees must also integrate the needs of
children and individuals with disabilities or access and functional needs into activities
implemented with SHSP and UASI funds.
4. Collaboration with Nonprofit Organizations
SHSP and UASI grantees must also work with the nonprofit community, including
through the dedication of LETPA funds and resources, to address terrorism prevention
concerns, seek input on the needs of the nonprofit sector, and support the goals of their
investments.
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
hW. //www. census. eov/emulation/www/metroareas/metrodef. h tml.
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.
hi 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 IJ and the
implementation of the FEMA-approved Urban Area Homeland Security Strategy. The
use of funds must also be consistent with overall UASI program guidelines, the State
Homeland Security Strategy, the 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 CBP/BP Sector Level experts to ensure
safety and operational oversight of Federal, State, local, Tribal, and territorial law
enforcement agencies participating in OPSG operational activities;
• Support a request to the Governor to activate, deploy, or redeploy specialized National
Guard Units/Packages and/or elements of State law enforcement to increase or augment
specialized/technical law enforcement elements operational activities; and
• Continue to increase operational, material and technological readiness of State, local,
Tribal, and territorial law enforcement agencies.
OPSG funds must be used to increase operational capabilities of Federal, State, local, Tribal, and
territorial law enforcement, promoting a layered, coordinated approach to law enforcement
within United States border States and territories.
• Federal, State, Local, Tribal, and Territorial OPSG Integrated Planning Team
(IPT). It is recommended that Federal, State, local, Tribal, and territorial partners
establish and maintain an OPSG IPT with representation from all participating law
enforcement agencies, co-chaired by representatives from CBP/BP, the SAA, and
participating law enforcement agencies' OPSG program representatives.
Coordination Requirements
All operational plans should be crafted in cooperation and coordination among Federal, State,
local, Tribal, and territorial partners. Consideration will be given to applications that are
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&.4) Costs under the Operation
Stonegarden Grant Program, dated June 25, 2013. The policy is located at
http: //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 Cybersecurity 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
httn://www.nist.gov1aberframework/upload/cvbersecuri&-framework-021214-finaL,2 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 ht1y:11www.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 Us
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 Us when applying for HSGP funds. Program updates can be made at
47
Appendix B—FY2014 HSGP Priorities
http://www.read .gov/citizen-corps and at http://www.fema.gov/community-emergency-response-
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 httn://www.ready_gov/citizen-corps/citizen-
corps-gran t-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
hgp •//www fema gov/Ddf/about/divisionslnpd/CPG 101 V2 ndi
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 IJ submission by using historical data or other analysis. All
States are allowed to utilize up to 50 percent (50%) of their SHSP funding and all Urban Areas
are allowed up to 50 percent (50%) of their UASI funding for personnel costs. At the request of
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:
- Backfill 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 (hi4p:llwww.fema gov/grantslerant programs -directorate -information -
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://l`lis.zov/
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 first crucial hours of a response. Prior to procuring pharmaceuticals,
grantees must have in place an inventory management plan to avoid large periodic variations in
supplies due to coinciding purchase and expiration dates. Grantees are encouraged to enter into
rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals
must include a budget for the disposal of expired drugs within each fiscal year's the period of
performance for HSGP. The cost of disposal cannot be carved 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
https.•//www. firstrespondertraininQ.Qov.
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 httns://www.11is.dhs.gov/hsegp.
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 (http://Www.fema.govlmedia-library/assets/documents/324 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 sustaimnent 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
funding 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 httn://www.fema.gov/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 SomethingTM" 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 gpdehpinfo(aAfema.g_ov.
HSGP Program grantees using funds for construction projects must comply with the Davis -
Bacon Act (40 U.S.C. 3141 et seq.). Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers employed directly at the work -site no less
than the prevailing wages and fringe benefits paid on projects of a similar character. Additional
information, including Department of Labor (DOL) wage determinations, is available from the
following website httn://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.
Backfill-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 h1(p •//www dhs eov/files/pro rPe 1200693579776 shtm or
httn://www.zeoouhome.govlhtmlleng map.html.
Other Secure Identification Initiatives (SHSP)
SHSP funds may also be used to support the Department's additional efforts to enhance secure
identification, including driver's license and identification security enhancements. Activities that
facilitate secure identification, including IT enhancements for identification management and
verification systems are a priority. DHS is currently developing and implementing a number of
screening programs in which secure identification credentials figure prominently. These include
the Transportation Worker Identification Credential (TWIC) program which promotes tamper -
resistant biometric credentials for workers who require unescorted access to secure areas of
ports, vessels, outer continental shelf facilities, and all credentialed merchant mariners; and the
credentialing of first responders which entails enhancing real-time electronic authentication of
identity and attribute(s) (qualification, certification, authorization, and/or privilege) of
emergency response/critical government personnel responding to terrorist attacks or other
catastrophic events.
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. In
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.
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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.
Back fill. Costs associated with backfill for personnel supporting operational activities.
Law Enforcement Readiness. Use of OPSG funds maybe 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
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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: htW://www;fema.rov/resource-management
- 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
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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 wanting,
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
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- 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
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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
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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
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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 THIRAs, preparedness
reporting, or strategies;
- Conducting DHS Multi -Jurisdiction IED Security Planning (MJIEDSP)
workshops to develop THIRA-based plans and strategies that maximize the use of
limited resources;
- Developing IED hazard -specific EOP annexes.
- 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
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• 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 Watcb/USAonWatch; Volunteers in Police Service
(VIPS); 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
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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
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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
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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 first 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 Bac)fiIl. The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of attendance at FEMA and/or
approved training courses and programs, are allowable. These costs are allowed only to
the extent the payment for such services is in accordance with the policies of the State or
unit(s) of local government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is, an employee
of a unit of government may not receive compensation from their unit or agency of
government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.),
even though such work may benefit both activities.
• Travel. Costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by
employees who are on travel status for official business related to approved training.
• Hiring of full or Part -Time Staff or Contractors/Consultants. Payment of salaries and
fringe benefits to full or part -rime 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.
• Certifecation/Recertifcation 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
hgp: //www.Tema. gov/Pood�vuidanee/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
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Appendix C—FY2014 HSGP Funding Guidelines
and rescue skills, principles ofNIMS 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 httn://www.fema.gov/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;Rrstrespondertrainine.2ov/rtdc/state/.
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
at htW:Ilwww.ftrstrespondertrainin2.Pov.
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
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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.firstresRondertrainin.e.gov.
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 htW://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 Baclfill. 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
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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 warrant involvement from multiple jurisdictions and disciplines and non-
governmental organizations, and take into account the needs and requirements for
individuals with disabilities. Exercise scenarios should align with priorities and
capabilities identified in the Multi -year Training and Exercise Plan.
• Special Event Planning. If a State or Urban Area will be hosting a special event (e.g.,
Super Bowl, G-8 Summit), the special event planning should be considered as a training
or exercise activity for the purpose of the Multi -Year Training and Exercise Plan. The
State or Urban Area should plan to use SHSP or UASI funding to finance training and
exercise activities in preparation for those events. States and Urban Areas should also
consider exercises at major venues (e.g., arenas, convention centers) that focus on
evacuations, communications, and command and control.
• 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
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Appendix C—FY2014 HSGP Funding Guidelines
evaluation and improvement planning is defined in the HSEEP located at
https://www.11is.dhs. ovg /hsegp.
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
https: //www.11is. dhs. gov/hseep.
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. rag nts. jzov.
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:
<Com leted by CBP>
Op Dates:
From:
To:
Report Date:
Executive Summary
L 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/F�rndin Re nests ear 1
Administration/Logistics/Budget.
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 traininq
$1,750.00
General Equipment
Lines, personal flotation devices,
GPS software updates, marine
batteries, thermal imaging system
Special Equipment
Sea Hawk Boat, Explorer 4x4 Police
(Requiring separate waiver i.e.,
with Package
Planes, boats, vehicles, SUVs,
etc.)
$75,000.00
Part -Time to Full -Time Law
Enforcement Personnel
Activated Reserve Law
Enforcement Personnel
Vehicle
46,800 miles per year x .18 cents per
Maintenance
mile = $8,424.00 x 2 yrs
Vehicles:
Tires, engine 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 OPSG 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.
II. Tactical Operational Period
Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated,
and intelligence -driven planning is critical to conducting targeted enforcement operations
consistent with the objectives of the OPSG. 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 ONG 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, ONG 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: t
CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start FY end
_ t
Ond,er gmmWr Jmrury Fedury Ap pagan segemner
Pedodoi
This cycle illustrates contiguous operations. This is an example of a twelve month campaign
plan with four tactical operational periods.
Figure 1: Example of an Ongoing Synchronized Operational Cycle
t 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, ONG Operational Guidance
CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start FY end
I
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 periods. This sample shows overlapping operations as well as times when there
are no operations being conducted.
Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle
III. Reporting Procedures
Participation in ONG 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 151h 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, ONG 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;
z 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 OPSG 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 Information
Date of Activity FY Funds Used
Select...
Agency Identifiers'
Region/County
Nancy
Name
I
Operational Expenses
Overtime Hours Labor Cost
Miles Driven/Patrolled Mileage Cost
Fuel Used (in Gallons) Fuel Cost
Equipment on Order Equipment Cost
Total Cost
Narcotics Seizures
Cash Seizures
Weapons Seizures
Vehicle Seizures
Misdemeanor Arrests
Felony Arrests
Outstanding Warrants
Citations Issued
Specialty Equipment
Subjects TOT BP
Cases TOT BP
Criminal Aliens TOT BP
Vehicle Stops
Intel Reports
***Click the orange arrows below to add details about seizures and arrests.
Specialty Equipment Usage
Surveillance Towers Marine Patrol Assets Armored Vehicles
Mobile Command Centers Aviation Assets Other Spec. Equipments
82
Appendix E — FY 2014 HSGP, OPSG Operational Guidance
Narcotic Seizure Details
Type Weight Report Number Location Comments
Select... .�
Seizure Details
Amount Report Number Location:::]—
ocation Comments
eizure Details
Make/Model Estimated Value Location Comments
Weapon/Ammunition Seizure Details
Weapon Type Amount Seized Report Number Location Comments
Specialty Equipment Usage Details
Specialty Equipment Report Number Location Comments
it Arrest Details
Name Date of Birth Report Number Location Comments
ce Summary
Category Report Number Location Summary
Authorizing Officer Date of Report
V. Definitions
Integrated Planning Team: The IPT will consist of the awarding State Administrative Agency,
local, and Tribal OPSG stakeholders within their Border Patrol sector area and U.S. Border
Patrol representatives, but may include other area Federal law enforcement 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.
CampaignPlan: A series of related law enforcement operations aimed at accomplishing a
strategic or operational objective within a given time and space.
Conce to 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
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EXHIBIT I
EXHIBIT I
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
Homeland Security Grant Program FY: Grant Number:
Subgrantee name:
2.
Q
CaIOESID#
Project:
REQUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION
Project name:
Project Budget: $.
Describe the project and/or activity that will be provided by the proposed sole source
vendor/contractor.
Describe your organization's standard procedures when sole source contracting is considered,
including the conditions under which a sole source contract is allowed, and any other applicable
criteria (i.e. approval requirements, monetary thresholds, etc.).
Indicate which of the following circumstances resulted in your organization's need to enter into a
sole source contract.
a. Item/service is only available from one source (Describe the process used to make that
determination. Please provide details.)
b. A public urgency or emergency will not permit a delay resulting from competitive
solicitation. According to the US Department of Homeland Security/FEMA, "Time
constraints will not be considered a factor if the subgrantee has not sought competitive
bids in a timely manner." (Describe the urgency or emergency. Please provide details)
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 Date:
(Name) (Signature)
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:
Project Amount: UASI: $
City/County/Agency Name:
Grant Number:
SHSGP: $
Indicate the type of equipment for this request
Cal OES ID#:
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.
Cal OES Form AVI Rev 08-01-13
California Governor's Office of Emer2encv Services
ESTABLISH/ENHANCE EMERGENCY OPERATIONS CENTER (EOCI 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 Alterrate/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.
5.
9
Identify all other sources and uses of additional funds assisting the project in any way.
Identify anticipated homeland security grant costs to establish/enhance your
organization's EOC in the table below.
Supplies/Equipment AEL # Cost
Computers
Network Servers
Printers
Computer accessories i.e. sure protectors, battery backups, etc.
Computer maintenance contracts
Computer connections and cables(including fiber o tic cabling)
Fax machines
Lighting S stems
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:
8. Has your organization determined the costs are reasonable?
Submitted by:
(Name) (Signature)
Date:
Grant Programs Directorate
N. HomelandCC I
�Security
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 (pdf) formats at this website:
(htto://www.fema.goy/library/viewRecord.do?fromSearch=fromsearch&id=4802. The following website
has additional guidance and instructions on the EHP review process and the information required for the
EHP review: bW://www.fema.gg3L/plan/ehR/phRreview/index.shtm
Submit completed form through your grant administrator who will forward it to GPDEHPInfona dhs.gov.
Please use the subject line: EHP Submission: Project Title, location, Grant Award Number (Example,
EHPSubmission: Courthouse Camera Installation, Any Town, State,12345, 2011-SS-Oxxxx).
Paperwork Burden Disclosure Notice
Public reporting burdenfor thisform is estimatedto average 8 hoursperresponse. The burden estimate includes the timeforreviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and submitting the form. You are not required to
respond to this collection of information unless it displays a valid OMB control number. Send comments regarding the accuracy of the burden
estimate and any suggestions for reducing the burden to: Information Collections Management, Department of Homeland Security, Federal
Emergency Management Agency, 500 C Street, Washington, DC, 20472. Paperwork Reduction Project (1660-0115).
Environmental and Historic Preservation Screening Form — June 2012
SECTION A. PROJECT INFORMATION
DHS 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 C.6.
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,
http://www.fema.goy/pdf/govemment/grantfbuiletinstinfo345.pddf:....................................... ❑ 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 latitudellongitude 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/moditications, 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 construction/addition.
a. Provide detailed project description (site acreage, new facility square
footage/number of stories, utilities, parking, stormwater features, etc):.......
b. Provide technical drawings or site plans of the proposed project: ........................................... ❑ Attached
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: ...........................................
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: btto://ww .fema.gov/pdf/government/grant/bulletins/info351.pLf
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 communicationstower: .......................................................
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? ............................. ❑ Free standing ❑ Guy wires
• If guy wires 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''/3 mile), by acreage and percentage of total (e.g., woodland
conifer forest, grassland, agriculture) water body, marsh: ............................
j. Is there evidence of bird roosts or rookeries present within %: 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: ....................................
I. 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?............................................................................................................
❑ Yes ❑ No
• If Yes, provide Registration#:................................................................
• If No, why?...............................................................................
o. Has the FCC E106 process been completed?...........................................................................
❑ Yes ❑ No
p. Has the FCC Tower Construction Notification System (TCNS) process
beencompleted?.......................................................................................................................
❑ Yes ❑ No
• 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
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 (kW), 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):.........
c. Would the equipment use the existing infrastructure for electrical
distribution systems?....................................................................................
• 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
❑ Yes ❑ No
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?..................................................................................................... ❑ Yes ❑ No
• If yes, provide the location of the structure(s), ground -level color
photographs of the sructure(s), and identify their location(s) on an
aerialmap: ...............................................................................................
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: ...................................................................................................................... ❑ Attached
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)?........................................................... ❑ Yes ❑ No
• If Yes, attach documentation with this form: ..................................................................... ❑ Attached
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)? ........................................ ❑ Yes ❑ No
• If Yes, attach documentation with this form: ...................................................................... ❑ Attached
OMB Control#: 1660-0115
FEMA Form: 024-0-1
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 EHP 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,t
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
name and physical address of
the project site.
Abc Tower Site, Some County, State: 12° 34' S6.7' N,
450 67' 89.12" W
New CCTV
Camera
Figure 3. Ground -level photograph with graphic showing
proposed equipment installation.
Figure 4. Ground -level photograph showing proposed ground
disturbance area.
OMB Control#: 1660-0115
FEMA Form: 024-0-1 A-3
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.
Interior equipment
photographs. The example in
Figure 6 shows the use of graphic
symbols to represent security
features planned for a building.
The same symbols are used in the
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.
locations of new communications equipment on an existing
tower.
Some County Sheriff Dept.
123 Elm Street.
A camera will be added�irt"`------
in the upper right
r
-fl
corner and a proximity
1
}
door access reader wdl
r�
be added for access
control
I
r
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 -level 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 Emereencv Services
WATERCRAFT REQUEST
Subgrantee Name:
Homeland Security Grant Program FY Grant Number Cal OES ID#
Urban Area Security Initiative (UASI) FY Grant Number Cal OES ID#
Other Program FY Grant Number Cal OES ID#
Project Amount: UASI $ SHSP $
Indicate the type of equipment for this request (choose only one of the following).
Watercraft Watercraft- Related Equipment
2. Please provide a description of the area that will be served by the requested equipment.
Equipment & Description Cost AEL number
Please justify the need for the watercraft and how the requested platform best meets
that need as compared to other options. Include the cost, discipline, and funding source.
4. Please describe the active, operating waterway patrol unit and certify on signed
letterhead that no expenses will be charged against the grant award for the operation of
such unit.
Please identify the applicable goals and objectives in your State/Urban Area Homeland
Security Strategy that the requested watercraft addresses, and the waterway identified
as critical asset requiring state and/or local prevention and response capabilities.
6. Please explain how the requested watercraft fits into the State/Urban Area's integrated
operational plans and vulnerability assessment.
Cal DES W RF 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
*Mil lkgq
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 Recoanition (LPR
Overview:
Fixed and Mobile License Plate Recognition system should contain the following components: (a) Fixed
License Plate Recognition Cameras including all necessary mounting hardware, (b) Capability to accept a
network connection capable of backhauling data to city network, (c) Hardware capable of creating VPN
between network connection identified in (b) and City/Agency network.
System Requirements:
• System shall have the ability to capture license plates and compare them to a database detailed
by the purchasing agency;
• System shall be able to perform this analysis in varied lighting and weather conditions at an
accuracy level deemed suitable by the purchasing agency;
• System shall have the ability to link or share data with other LPR systems;
• The LPR system shall have the ability to be deployed in both a mobile and fixed installation
based on standards set by the agency purchasing;
• The systems timekeeping shall automatically update when time changes occur (e.g., Daylight
savings time) and be consistent with correct calendar dates;
• Any system selected shall allow for the purchasing agency to be the sole owner of the data;
• Data shall be compatible with standard SQL format;
• System selected shall at a minimum have the ability for a unique user sign and audit/reporting
capability;
• Still imagery must be in a non-proprietary format;
• Each read shall retain the associated metadata the minimally includes:
o GPS location;
o Date;
o Time;
o Source (vehicle ID/fixed identifier);
o Alert reason;
• System must have the ability to retain all data captured for a period set by the purchasing
agencies requirements;
• The system must be industrial/commercial grade. No prototype models will be considered;
Hardware:
• Loss of power to any hardware shall not result in the unit requiring reprogramming;
• Sudden loss of power shall not cause the loss of data;
• All wiring shall meet industry standards applicable to the wire applications and all systems must
be properly grounded using the same industry standards;
• The systems shall operate under extreme hot and cold weather conditions (20to 160 degrees
Fahrenheit);
• Camera system shall capture an image of the plate and overview of the vehicle;
• Mobile systems shall support a minimum of four cameras capable of capturing license plates;
• System shall comply with the purchasing agencies' lighting standards for fixed installations;
• Cameras must operate on a filtered, regulated and short -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 at each network connection point, it shall be capable of encrypting data
being sent back to any Agency network.
Warranty and Maintenance:
• System selected shall include a comprehensive warranty and maintenance for the maximum
amount of time allowed by the grant guidelines;
Regional Sharing:
• Any agency using UASI/SHSG Grant Funding shall agree to enter into a standard Memorandum
of Agreement to share data between LA -LB UASI law enforcement members (to be developed
and provided prior to final grant award);