CONTRACT 5619 Grant Agreement CLOSED Agreement No. 5619
State Homeland Security program
S ubrecipient Agreement
Grant Year 2017
Between the
County of Los Angeles
and the
'iter of El Segundo
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Agreement No. 5619
SUBRECIPIENT AGREEMENT
BETWEEN THE
COUNTY OF LOS ANGELES
AND THE
CITY OF EL SEGUNDO
THIS AGREEMENT ("Agreement") is made and entered into by and between the
County of Los Angeles, a political subdivision of the State of California (the "County of
Los Angeles"), and the City of El Segundo, a public agency (the "Subrecipient").
WITNESSETH
WHEREAS, the U.S. Department of Homeland Security Title 2 Code of Federal
Regulations (CFR) through the Office of Grants and Training (G&T), has provided
financial assistance for the State Homeland Security Program (SHSP), Catalog of
Federal Domestic Assistance (CFDA) 97.067— Homeland Security Grant Program
directly to the California Governor's Office of Emergency Services (Cal OES) for the
2017 SHSP, FAIN #EMW-2017-SS-00083, Federal Award dated October 20, 2017 with
a performance period of September 1, 2017 to May 31, 2020. This Federal Award is
not a R&D award; and
WHEREAS, the Cal OES provides said funds to the County of Los Angeles
(DUNS#052238763) as its Subgrantee, and the Chief Executive Office (CEO) is
responsible for managing and overseeing the SHSP funds that are distributed to other
specified jurisdictions within Los Angeles County; and
WHEREAS, this financial assistance is being provided to the Subrecipient in
order to address the unique equipment, training, organization, exercise and planning
needs of the Subrecipient, and to assist the Subrecipient in building effective prevention
and protection capabilities to prevent, respond to, and recover from threats or acts of
terrorism; and
WHEREAS, the County of Los Angeles as Subgrantee has obtained approval of
the 2017 SHSP grant from Cal OES in the total amount of$10,308,294.00; and
WHEREAS, the CEO now wishes to distribute 2017 SHSP grant funds to the
Subrecipient in the amount of$34,000.00, as further detailed in this Agreement; and
WHEREAS, the CEO is authorized to enter into subrecipient agreements with
cities providing for re-allocation and use of these funds; and to execute all future
amendments, modifications, extensions, and augmentations relative to the subrecipient
agreements, as necessary; and
WHEREAS, the County of Los Angeles and Subrecipient are desirous of
executing this Agreement, and the County of Los Angeles Board of Supervisors on April
3, 2018 authorized the CEO to prepare and execute this Agreement.
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NOW, THEREFORE, the County of Los Angeles and Subrecipient agree as follows:
SECTION I
INTRODUCTION
§101. Parties to this Agreement
The parties to this Agreement are:
A. County of Los Angeles, a political subdivision of the State of California, having its
principal office at Kenneth Hahn Hall of Administration, 500 West Temple Street,
Los Angeles, CA 90012; and
B. Citof El Segundo, apublic agency, having its principal office at
1X0 Main Street, 1 Segundo, Ck. 90, 45
3
§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 must
be given are as follows:
1. The representative of the County of Los Angeles is, unless otherwise
stated in this Agreement:
Craig Hirakawa
Chief Executive Office, LAC
500 West Temple Street, Room B-79-2
Los Angeles, CA 90012
Phone: (213) 974-1127
Fax: (213) 687-3765
chirakawa@ceo.lacounty.gov
Giles Quart
Chief Executive Office, LAC
500 West Temple Street, Room B-79-2
Los Angeles, CA 90012
Phone: (213) 974-2319
Fax: (213) 687-3765
gquan@ceo.lacounty.gov
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2. The representative of Subrecipient is:
Name and Title: Greg Carpenter, City Manager
Organization/DUNS # 077-264679
Address: 350 Main Street
City/State/Zip: E1 ,
Se CA 90245
Segundo,
Phone: 310-524-2301 Y
Email: gcarpenter@elsegundo.org
With a copy to:
Carol Lynn Urner
Name and Title: Sr. Management Analyst
City of El Segundo
Organization Fire Departmnent
Address: 314 Main Street
City/State/Zip: I El Segundo, CA 90245
Phone: 310-524-2235
Fax:
Email: curner@elsegundo.org
B. Formal notices, demands and communications to be given hereunder by either
party must be made in writing and may be effected by personal delivery, regular
U.S. Postal mail service and/or e-mail. In the event of personal delivery or email,
the message will be deemed communicated upon receipt by the County of Los
Angeles. In the event of mail service, the message will be deemed
communicated as of the date of mailing.
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C. If the name and/or title of the person designated to receive the notices, demands
or communications or the address of such person is changed, written notice must
be given, in accord 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 County of Los Angeles. An employee of Subrecipient is not, and
will not be deemed, an employee of the County of Los Angeles by virtue of this
Agreement, and Subrecipient must so inform each employee organization and
each employee who is hired or retained under this Agreement. Subrecipient
must 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 County of Los
Angeles by virtue of this Agreement.
§104. Conditions Precedent to Execution of This Agreement
Subrecipient must provide the following signed documents to the County of
Los Angeles, unless otherwise exempted:
A. Certification and Disclosure Regarding Lobbying, attached hereto as Exhibit A
and made a part hereof, in accordance with §411.A.14 of this Agreement.
Subrecipient must 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.
B. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion Lower Tier Covered Transactions, attached hereto as Exhibit B and
made a part hereof, as required by Executive Order 12549 in accordance with
§411.A.12 of this Agreement.
C. Certification Regarding Drug-Free Workplace, attached hereto as Exhibit C and
made a part hereof, in accordance with §411.A.13 of this Agreement.
D. Certification of Grant Assurances, attached hereto as Exhibit D and made a part
hereof, in accordance with §411.0 of this Agreement.
SECTION II
TERM AND SERVICES TO BE PROVIDED
§201. Performance Period
The performance period of this Agreement is from September 1, 2017 to
February 29, 2020, unless the County of Los Angeles, with Cal OES approval,
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provides written notification to the Subrecipient that the performance period has
been extended, in which case the performance period will be so extended by
such written notification, as provided in §502, below.
§202. Use of Grant Funds
A. Subrecipient and the County of Los Angeles have previously completed a
mutually approved budget/expenditure plan, hereinafter"Budget," for the 2017
SHSP, which has been approved by Cal GES. This information is contained in a
copy of the Final Grant Award Letter and Project Worksheet, attached hereto as
Exhibit E.
Any request by Subrecipient to modify the Budget must be made in writing with
the appropriate justification and submitted to CEO for approval. If during the
County of Los Angeles review process, additional information or documentation
is required, the Subrecipient will have ten (10) business days to comply with the
request. If the Subrecipient does not comply with the request, CEO will issue
written notification indicating that the requested modification will not be
processed. Modifications must be approved in writing by the County of Los
Angeles and Cal OES during the term of this Agreement. Upon approval, all
other terms of this Agreement will remain in effect.
Subrecipient must utilize grant funds in accordance with all Federal regulations
and State Guidelines.
B. Subrecipient agrees that grant funds awarded will be used to supplement existing
funds for program activities, and will not supplant (replace) non-Federal funds.
C. Subrecipient must review the Federal Debarment Listing at
,httr)s://www,sam.00v/t),oi-tal/SAM/#1 prior to the purchase of equipment or
services to ensure the intended vendor is not listed and also maintain
documentation that the list was verified.
D. Prior to the purchase of equipment or services utilizing a sole source contract or
the receipt of single bid response of$150,000.00 or more, justification must be
presented to CEO, who upon review will request approval from Cal OES. Such
approval in writing must be obtained prior to the commitment of funds.
E. Subrecipient must provide any reports requested by the County of Los Angeles
to the CEO indicating Subrecipient's performance under this Agreement,
including progress on meeting program goals. Reports must be in the form
requested by the County of Los Angeles, and must be provided by the fifteenth
(15th) of the following month. Subrecipient must submit claims for reimbursement
in a timely manner.
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F. Subrecipient must provide an electronic copy of their Annual Single Audit Report,
as required by 2 CFR Part 200, to CEO no later than March 31St (fiscal year
ending June 30) or June 30th (fiscal year ending September 30) of the year
following the reporting period;
G. Subrecipient may be monitored by the County of Los Angeles on an annual basis
to ensure compliance with Cal OES grant program requirements. The County of
Los Angeles anticipates that said monitoring may include, at a minimum, one on-
site visit during the term of this Agreement.
H. Subrecipient must provide a Corrective Action Plan to CEO within thirty (30) days
of any audit finding.
I. Any equipment acquired pursuant to this Agreement must be authorized in the
G&T Authorized Equipment List (AEL) available online at
httos:llwww.fema.00v/authorized-eouiornent-list and the Funding Guidelines of
the 2017 SHSP Notice of Funding Opportunity, incorporated by reference, and
attached hereto as Exhibit F. Subrecipient must provide the CEO a copy of its
most current procurement guidelines and follow its own procurement
requirements as long as they meet or exceed the minimum Federal
requirements. Federal procurement requirements for the 2017 SHSP can be
found at Title 2 CFR Part 200.313.
Any equipment acquired or obtained with Grant Funds:
1. Will be made available under 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;
2. Will be consistent with needs as identified in the State Homeland Security
Strategy and will be deployed in conformance with that plan;
3. Will be made available pursuant to applicable terms of the California
Disaster and Civil Defense Master Mutual Aid Agreement 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.
J. Equipment acquired pursuant to this Agreement will be subject to the
requirements of Title 2 CFR Part 200.313. For the purposes of this subsection,
"Equipment" is defined as tangible nonexpendable property, having a useful life
of more than one year which costs $5,000.00 or more per unit. Items costing
less than $5,000.00, but acquired under the "Equipment" category of the Grant
must also be listed on any required Equipment Listing.
1. Equipment must be used by Subrecipient in the program or project for
which it was acquired as long as needed, whether or not the project or
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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 must make Equipment available for use on other like 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
must be given to other programs or projects supported by the awarding
agency.
3. An Equipment Listing must be maintained listing each item of Equipment
acquired with SHSP funds. The Equipment Listing must be kept up to
date at all times. Any changes must be recorded in the Listing within ten
(10) business days and the updated Listing is to be forwarded to the
County of Los Angeles Auditor-Controller (A-C) Shared Services Division.
The Equipment Property Records must be maintained that include: (a) a
description of the property, (b) a serial number or other identification
number, (c) the source of property, (d) who holds title, (e) the acquisition
date, (f) and cost of the property, (g) percentage of Federal participation in
the cost of the property, (h) the location, (i) use and condition of the
property, Q) and any ultimate disposition data including the date of
disposal and sale price of the property. Records must be retained by the
subrecipient pursuant to Title 2, Part 200.313 (d) (1) of the CFR.
4. All Equipment obtained under this Agreement must have an appropriate
identification decal affixed to it, and, when practical, must be affixed where
it is readily visible.
5. A physical inventory of the Equipment must be taken by the Subrecipient
and the results reconciled with the Equipment Listing at least once every
two years or prior to any site visit by State or Federal auditors/monitors.
The Subrecipient is required to have on file a letter certifying as to the
accuracy of the Equipment Listing in the frequency as above, and provide
to the CEO when requested.
K. Any planning paid pursuant to this Agreement must conform to the guidelines as
listed in 2017 SHSP, Notice of Funding Opportunity or subsequent grant year
programs.
L. Any training paid pursuant to this Agreement must conform to the guidelines as
listed in 2017 SHSP, Notice of Funding Opportunity, and must be first submitted
to CEO and then pre-authorized by Cal OES. A catalog of federally approved
and sponsored training courses is available at
http ://www.firstresoondertraininq, og v/frt/.
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M. Any exercise paid pursuant to this Agreement must conform to the guidelines as
listed in 2017 SHSP, Notice of Funding Opportunity. Detailed Homeland Security
Exercise and Evaluation Program Guidance is available at
htt s://Prer)tool it.fema.ciov/web/hsee -resources.
N. Subrecipient must provide to CEO a spending plan detailing the required steps
and timeframes required to complete the approved projects within the grant
timeframe. Subrecipient must submit the spending plan to CEO prior to final
execution of the Agreement.
O. Any organization activities paid pursuant to this Agreement must conform to the
guidelines as listed in 2017 SHSP, Notice of Funding Opportunity.
P. Any personnel activities paid pursuant to this Agreement must conform to the
guidelines as listed in 2017 SHSP, Notice of Funding Opportunity.
Q. Pursuant to this Agreement, indirect costs are not reimbursable.
SECTION III
PAYMENT
§301. Pavment of Grant Funds and Method of Pant
A. The County of Los Angeles will reimburse Subrecipient up to the maximum grant
amount of$34,000.00 as expenditures are incurred and paid by Subrecipient and
all documentation is reviewed and approved by County of Los Angeles. All
expenditures must be for the purchase of equipment, exercises, training, and
planning as described in Section II of this Agreement. The grant amount
represents the amount allocated to Subrecipient in the 2017 SHSP Grant Award
Letter from Cal OES.
B. Subrecipient must submit reimbursement requests to the County of Los Angeles
A-C Shared Services Division requesting payment as soon as expenses are
incurred and paid, and the required supporting documentation is available. Said
timeframe should be within ten (10) business days of Subrecipient's payment to
vendors and/or prescribed due dates by CEO and/or Cal OES. Each
reimbursement request must be accompanied by the Reimbursement Form
(attached hereto as Exhibit G). All appropriate back-up documentation must be
attached to the reimbursement form, including the method of procurement,
purchase orders, invoices, report of goods received, and proof of payment.
For training reimbursements, Subrecipient must include a copy of the class roster
verifying training attendees, proof that prior approval was obtained from Cal OES
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and that a Cal OES tracking number has been assigned to the course, and
timesheets and payroll registers for all training attendees.
For exercise reimbursements, Subrecipient must enter the After Action Report
(AAR) and Improvement Plan on the State Office of Domestic Preparedness
secure portal within sixty (60) days following completion of the exercise and
submit proof of prior State approval of the AAR with the reimbursement request.
For planning reimbursements, Subrecipient must include a copy of the final
tangible product as a result of the planning project.
C. The County of Los Angeles may, at its discretion, reallocate unexpended grant
funds to another subrecipient. Said reallocation may occur upon approval by the
County of Los Angeles of a Subrecipient reimbursement submission, inquiry
from the County of Los Angeles to the Subrecipient regarding fund utilization, or
by written notification from the Subrecipient to the County of Los Angeles that a
portion of the grant funds identified in §301.A., above, will not be utilized. As
provided in §502, below, any increase or decrease in the grant amount specified
in §301.A., above, may be effectuated by a written notification by the County of
Los Angeles to the Subrecipient.
D. Payment of reimbursement request will be withheld by the County of Los Angeles
until the County of Los Angeles has determined that Subrecipient has turned in
all supporting documentation and completed the requirements of this Agreement.
E. It is understood that the County of Los Angeles makes no commitment to fund
this Agreement beyond the terms set forth herein.
F. 1. Funding for all periods of this Agreement is subject to continuing Federal
appropriation of grant funds for this program. In the event of a loss or reduction
of Federal appropriation of grant funds for this program, the Agreement may be
terminated, or appropriately amended, immediately upon notice to Subrecipient
of such loss or reduction of Federal grant funds.
2. County of Los Angeles will make a good-faith effort to notify Subrecipient, in
writing, of such non-appropriation at the earliest time.
SECTION IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and do
not, and will not be deemed to, affect the meaning or construction of any of the
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terms or provisions hereof. The language of this Agreement will be construed
according to its fair meaning and not strictly for or against either party.
§402. Aoolicable Law, Intercretation and Enforcement
Each party's performance hereunder must comply with all applicable laws of the
United States of America, the State of California, and the County of Los Angeles.
This Agreement will be enforced and interpreted, as applicable, under the laws of
the United States of America, the State of California and the County of Los
Angeles.
If any part, term or provision of this Agreement is 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 remainder
of the Agreement will not be affected thereby.
Applicable Federal or State requirements that are more restrictive will be
followed.
§403. Integrated Aareement
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. Breach
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 all events, no party may recover more than once, suffer a
penalty or forfeiture, or be unjustly compensated.
§405. Prohibition a aainst Assionment or Deleaation
Subrecipient may not do any of the following, unless it has first obtained the
written permission of the County of Los Angeles:
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.
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§406. Permits
Subrecipient and its officers, agents and employees must obtain and maintain all
permits and licenses necessary for Subrecipient's performance hereunder and
must pay any fees required therefor. Subrecipient further certifies that it will
immediately notify the County of Los Angeles of any suspension, termination,
lapse, non-renewal or restriction of licenses, certificates, or other documents.
§407. Nondiscrimination and Affirmative Action,
Subrecipient must comply with the applicable nondiscrimination and affirmative
action provisions of the laws of the United States of America, the State of
California, and the County of Los Angeles. In performing this Agreement,
Subrecipient must 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.
Subrecipient must 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).
If required, Subrecipient must submit an Equal Employment Opportunity Plan to
the Department of Justice Office of Civil Rights in accordance with guidelines
listed at httPS://WVVW,iLlstice.gov/cil.
Any subcontract entered into by the Subrecipient relating to this Agreement, to
the extent allowed hereunder, will be subject to the provisions of this §407 of this
Agreement.
§408. Indemnification
Each of the parties to this Agreement is a public entity. This indemnity provision
is written in contemplation of the provisions of Section 895.2 of the Government
Code of the State of California, which impose certain tort liability jointly upon
public entities, solely by reason of such entities being parties to an agreement,
and the parties agree that this indernnity provision will apply and will be
enforceable regardless of whether Section 895 et seq. is deemed to apply to this
Agreement. The parties hereto, as between themselves, consistent with the
authorization contained in Government Code Sections 895.4 and 895.6 agree to
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 Government Code Section 895.2.
To achieve the above-stated purpose, each party agrees to indemnify and hold
harmless the other party for any liability arising out of its own negligent acts or
omissions in the performance of this Agreement (i.e., the Subrecipient agrees to
indemnify and hold harmless the County of Los Angeles for liability arising out of
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the Subrecipient's negligent or wrongful acts or omissions and the County of Los
Angeles agrees to indemnify and hold harmless the Subrecipient for liability
arising out of the County of Los Angeles' negligent or wrongful acts or
omissions). Each party further agrees to indemnify and hold harmless the other
party for liability that is imposed on the other party solely by virtue of Government
Code Section 895.2. The provisions of Section 2778 of the California Civil Code
are made a part hereof 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.
§409. Conflict of Interest
A. The Subrecipient covenants that none of its directors, officers, employees, or
agents may participate in selecting, or administrating, any subcontract supported
(in whole or in part) by Federal funds where such person is a director, officer,
employee or agent of the subcontractor; or where the selection of subcontractors
is or has the appearance of being motivated by a desire for personal gain for
themselves or others such as family business, etc.; or where such person knows
or should have known that:
1. 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 the California
Political Reform Act, California Government Code §87100 et seq. if such
person were a public officer, because such person would have a "financial
or other interest" in the subcontract.
B. Definitions:
1, The term "immediate family" means domestic partner 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" means:
a, Any direct or indirect financial interest in the specific contract,
including but not limited to, 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
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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
may solicit or accept gratuities, favors, or 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 may 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 County of Los Angeles' approval of any subcontract, the
Subrecipient must disclose to the County of Los Angeles any relationship,
financial or otherwise, direct or indirect, of the Subrecipient or any of its officers,
directors or employees or their immediate family with the proposed subcontractor
and its officers, directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references are made to the guidelines, rules, and laws of the
County 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
may 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 must incorporate the foregoing subsections of this Section into
every agreement that it enters into in connection with this grant and must
substitute the term "subcontractor" for the term "Subrecipient" and "sub
subcontractor" for"Subcontractor".
§410. Restriction on Disclosures
Any reports, analyses, 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 Sec. 6250 et seq.).
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§411. Statutes and Regulations Applicable To All Grant Contracts
A. Subrecipient must comply with all applicable requirements of State, Federal, and
County of Los Angeles laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this
Agreement. Subrecipient must comply with applicable State and Federal laws
and regulations pertaining to labor, wages, hours, and other conditions of
employment. Subrecipient must 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:
1. CFR
Subrecipient must comply with Title 2 CFR Part 200.
2. Sinqle Audit Act
Since Federal funds are used in the performance of this Agreement,
Subrecipient must, as applicable, adhere to the rules and regulations of
the Single Audit Act (31 USC Sec. 7501 et seq.), 2 CFR Part 200 and any
administrative regulation or field memos implementing the Act.
3. Americans with Disabilities Act
Subrecipient hereby certifies that, as applicable, it will comply with the
Americans with Disabilities Act 42, USC §§12101 et seq., and its
implementing regulations. Subrecipient will provide 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 Americans with Disabilities Act.
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 subcontract entered into by Subrecipient, relating to
this Agreement, to the extent allowed hereunder, will be subject to the
provisions of this paragraph.
4. Political and Sectarian Activitv Prohibited
None of the funds, materials, property or services provided directly or
indirectly under this Agreement may be used for any partisan political
activity, or to further the election or defeat of any candidate for public
office. Neither may any funds provided under this Agreement be used for
any purpose designed to support or defeat any pending legislation or
administrative regulation. None of the funds provided pursuant to this
Agreement may be used for any sectarian purpose or to support or benefit
any sectarian activity.
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Subrecipient must 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 must
require that the language of this Certification be included in the award
documents for all sub-awards at all tiers and that all subcontractors certify
and disclose accordingly.
5. Records Inspection
At any time during normal business hours and as often as either the
County of Los Angeles, the U.S. Comptroller General or the Auditor
General of the State of California may deem necessary, Subrecipient must
make available for examination all of its records with respect to all matters
covered by this Agreement. The County of Los Angeles, the U.S.
Comptroller General and the Auditor General of the State of California
have the authority to audit, examine and make excerpts or transcripts from
records, including all Subrecipient's method of procurement, invoices,
materials, payrolls, records of personnel, conditions of employment and
other data relating to all matters covered by this Agreement.
Subrecipient agrees to provide any reports requested by the County of
Los Angeles regarding performance of this Agreement.
6. Records Maintenance,
Records, in their original form, must be maintained in accordance with
requirements prescribed by the County of Los Angeles with respect to all
matters specified in this Agreement. Original forms are to be maintained
on file for all documents specified in this Agreement. Such records must
be retained for a period 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 County of Los Angeles may, at its discretion, take
possession of, retain and audit said records. Records, in their original
form pertaining to matters covered by this Agreement, must at all times be
retained within the County of Los Angeles unless authorization to remove
them is granted in writing by the County of Los Angeles.
7. Subcontracts and Procurement
Subrecipient must, as applicable, comply with the Federal, State and
County of Los Angeles standards in the award of any subcontracts. For
purposes of this Agreement, subcontracts include but are not limited to
purchase agreements, rental or lease agreements, third party agreements,
consultant service contracts and construction subcontracts.
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Subrecipient must, as applicable, ensure that the terms of this Agreement
with the County of Los Angeles are incorporated into all Subcontractor
agreements. The Subrecipient must submit all Subcontractor agreements
to the County of Los Angeles for review prior to the release of any funds to
the Subcontractor. The Subrecipient must withhold funds to any
Subcontractor agency that fails to comply with the terms and conditions of
this Agreement and their respective Subcontractor agreement.
8. Labor
Subrecipient must, as applicable, comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. §§4728-4763) relating to prescribed
requirements 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).
Subrecipient must, as applicable, comply with the provisions of the Davis-
Bacon Act (40 U.S.C. §§276a to 276a-7); the Copeland Act (40 U.S.C.
§276c and 18 U.S.C. §874); the Contract Work Hours and Safety
Standards Act (40 U.S.C. §§327-333), regarding labor standards for
federally-assisted construction subagreements; and the Hatch Act (5 USC
§§1501-1508 and 7324-7328).
Subrecipient must, as applicable, comply with the Federal Fair Labor
Standards Act (29 U.S.C. §201) regarding wages and hours of
employment.
None of the funds may be used to promote or deter union/labor organizing
activities. CA Gov't Code Sec. 16645 et seg.
9. Civil Rights
Subrecipient must, as applicable, comply with all Federal statutes relating
to nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88-352), which prohibits discrimination
on the basis of race, color or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and 1685-
1686), which prohibits discrimination on the basis of sex; (c) Section 504
of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of disabilities; (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which
prohibits discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on
the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public
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Agreement No. 5619
Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et
seq.), as amended, relating to non-discrimination in the sale, rental or
financing of housing; (i) any other nondiscrimination provisions in the
specific statute(s) under which application for Federal assistance is being
made; (j) the requirements of any other nondiscrimination statute(s) that
may apply to the application; and (k) P.L. 93-348 regarding the protection
of human subjects involved in research, development, and related
activities supported by this award of assistance.
10. Environmental
Subrecipient must, as applicable, comply, or has already complied, with
the requirements of Titles II and III of the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970 (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 must, as applicable, comply with environmental standards
which may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b)
notification of violating facilities pursuant to EO 11738; (c) protection of
wetlands pursuant to EO 11990; (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) conformity of Federal actions to State (Clean Air) Implementation
Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42
U.S.C. §§7401 et seq.); (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); and (i) Flood Disaster Protection
Act of 1973 §102(a) (P.L. 93-234).
Subrecipient must, as applicable, comply 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.
Subrecipient must, as applicable, comply 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.
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Subrecipient must, as applicable, comply 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.
Subrecipient must, as applicable, ensure that the facilities under its
ownership, lease or supervision that are utilized in the accomplishment of
this project are not listed in the Environmental Protection Agency's (EPA)
list of Violating Facilities and that it will notify the Federal Grantor agency
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.
By signing this Agreement, Subrecipient warrants and represents that it
will, as applicable, comply with the California Environmental Quality Act
(CEQA), Public Resources Code §21000 et seq.
Subrecipient must, as applicable, comply with the Energy Policy and
Conservation Act (P.L. 94-163, 89 Stat. 871).
Subrecipient must, as applicable, comply with the provision 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 must, as applicable, comply 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. Susoension, Debarment. Ineliqttilty and: Voluntary Exclusion
Subrecipient must, as applicable, comply with Title 2 CFR Part §3000,
regarding Suspension and Debarment, and Subrecipient must submit a
Certification Regarding Debarment, attached hereto as Exhibit B, required
by Executive Order 12549 and any amendment thereto. Said Certification
must be submitted to the County of Los Angeles concurrent with the
execution of this Agreement and must 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
must require that the language of this Certification be included in the
award documents for all sub-award at all tiers and that all subcontractors
certify accordingly.
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Agreement No. 5619
11 Druq-Free Work Dace
Subrecipient must, as applicable, comply with the federal Drug-Free
Workplace Act of 1988, 41 USC §701, Title 44 Code of Federal
Regulations (CFR) Part §17; the California Drug-Free Workplace Act of
1990, CA Gov't Code §§8350-8357, and Subrecipient must complete the
Certification Regarding Drug-Free Workplace Requirements, attached
hereto as Exhibit C, and incorporated herein by reference. Subrecipient
must require that the language of this Certification be included in the
award documents for all sub-award at all tiers and that all subcontractors
certify accordingly.
14. Lobbying Activities
Subrecipient must, as applicable, comply with 31 U.S.C.1352 and
complete the Disclosure of Lobbying Activities, (OMB 0038-0046),
attached hereto as Exhibit A, and incorporated herein by reference.
15. Miscellaneous
Subrecipient must, as applicable, comply with the Laboratory Animal
Welfare Act of 1966, as amended (P.L. 89-544, 7 USC §§2131 et seq.).
B. Statutes and Regulations Applicable To This Particular Grant Agreement
Subrecipient must 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 must, as applicable, 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 2 CFR Part 200; EO 12372; U.S. Department of Homeland Security, Office
of State and Local Government Coordination and Preparedness, Office for
Domestic Preparedness, ODP WIVID Training Course Catalogue; and DOJ Office
for Civil Rights.
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.
Provisions of Title 2, 6, 28, 44 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures; Part 20,
Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable
Research and Statistical Information; Part 23, Criminal Intelligence Systems
Operating Policies; Part 30, Intergovernmental Review of Department of Justice
Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services; Part 38, Equal Treatment of Faith-based
HOA.102204516.2
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Organizations; Part 42, Nondiscrimination/Equal Employment Opportunities
Policies and Procedures; Part 61, Procedures for Implementing the National
Environmental Policy Act; Part 63, Floodplain Management and Wetland
Protection Procedures; Part 64, Floodplain Management and Wetland Protection
Procedures; Federal laws or regulations applicable to Federal Assistance
Programs; Part 69, New Restrictions on Lobbying; Part 70, Uniform
Administrative Requirements for Grants and Cooperative Agreements (including
sub-awards) with Institutions of Higher Learning, Hospitals and other Non-Profit
Organizations; and Part 83, Government-Wide Requirements for a Drug Free
Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and Safe Streets
Act of 1968, as amended, 42 USC 3789(d), or the Juvenile Justice and
Delinquency Prevention Act, or the Victims of Crime Act, as appropriate; the
provisions of the current edition of the Office of Justice Programs Financial and
Administrative Guide for Grants, M7100.1, and all other applicable Federal laws,
orders, circulars, or regulations.
1. Travel Excenses
Subrecipient, as provided herein, will be compensated for Subrecipient's
reasonable travel expenses incurred in the performance of this
Agreement, to include travel and per diem, unless otherwise expressed.
Subrecipient's total travel for in-State and/or out-of-State and per diem
costs must be included in the contract budget(s). All travel, including out-
of-State travel, that is not included in the budget(s) will not be reimbursed
without prior written authorization from the County of Los Angeles.
Subrecipient's administrative-related travel and per diem reimbursement
costs will not be reimbursed. For programmatic-related travel costs,
Subrecipient's reimbursement rates may not exceed the amounts
established under the grant.
C. Compliance With Grant Requirements
To obtain the grant funds, the State required an authorized representative of the
County of Los Angeles to sign certain promises regarding the way the grant
funds would be spent. These requirements are included in the 2017 Notice of
Funding Opportunity and in the State's "Grant Assurances". By signing these
Grant Assurances and accepting the Notice of Funding Opportunity, the County
of Los Angeles became liable to the State for any funds that are used in
violation of the grant requirements. The State's Grant Assurances are
incorporated into this Agreement through Exhibit D. Subrecipient will be liable to
the Grantor for any funds the State determines the Subrecipient used in violation
of these Grant Assurances.
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Agreement No. 5619
Pursuant to this Agreement, Subrecipient shall execute the 2017 Certification of
Grant Assurances in Exhibit D, accepting and agreeing to abide by all
provisions, assurances, and requirements therein. Subrecipient agrees to
indemnify and hold harmless the County of Los Angeles for any sums the State
or Federal government determines Subrecipient used in violation of the Grant
Assurances.
To the extent Exhibit D conflicts with language or provisions contained in this
Agreement, or contains more restrictive requirements under Federal and State
law, Exhibit D shall control.
D. Noncompliance With Grant Requirements
Subrecipient understands that failure to comply with any of the above
assurances and requirements, including Exhibit D, may result in suspension,
termination or reduction of grant funds, and repayment by the Subrecipient to
the County of Los Angeles of any unauthorized expenditures.
§412. Federal. State and Local Taxes.
Federal, State and local taxes are the responsibility of the Subrecipient as an
independent party and not of the County of Los Angeles and must be paid prior
to requesting reimbursement. However, these taxes are an allowable expense
under the grant program.
§413. Inventions, Patents and Copvr
A. Reporting Procedure for Inventions
If any project 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, the
Subrecipient must report the fact and disclose the Invention promptly and fully to
the County of Los Angeles. The County of Los Angeles will report the fact and
disclose the Invention to the State. Unless there is a prior agreement between
the County of Los Angeles and the State, the State will determine whether to
seek protection on the Invention. The State will 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, Title 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, Title 3 CFR,
1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR
48661, Title 3 CFR, 1987 Comp., p. 262). Subrecipient hereby agrees to be
bound by the Policy, and will contractually require its personnel to be bound by
the Policy.
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Agreement No. 5619
B. Rights to Use Inventions
As applicable, County of Los Angeles will have an unencumbered right, and a
non-exclusive, irrevocable, royalty-free license to use, manufacture, improve
upon, and allow others to do so for all government purposes, any Invention
developed under this Agreement.
C. Copyright Policy
1. Unless otherwise provided by the State or the terms of this Agreement,
when copyrightable material ("Material') is developed under this
Agreement, the County of Los Angeles, at its discretion, may copyright the
Material. If the County of Los Angeles declines to copyright the Material,
the County of Los Angeles will 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 Material
developed under this Agreement.
2. The State will 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 Material developed
under this Agreement or any Copyright purchased under this Agreement.
3. Subrecipient must comply with Title 24 CFR 85.34.
D. Rights to Data
The State and the County of Los Angeles will have unlimited rights or copyright
license to any data first produced or delivered under this Agreement. "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 Title 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 State acquires the data under a copyright
license as set forth in Title 48 CFR 27.404(f)(2) instead of unlimited rights. (Title
48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
Subrecipient must require all subcontractors to comply with the obligations of this
section by incorporating the terms of this section into all subcontracts.
§414. Child Suoort Assignment Orders
Under the terms of this Agreement, Subrecipient must, as applicable, comply
with California Family Code Section 5230 et seq.
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Agreement No. 5619
§415. Minoritv. Women, And Other Business Enterprise Outreach Program
It is the policy of the County of Los Angeles to provide Minority Business
Enterprises, Women Business Enterprises and all other business enterprises an
equal opportunity to participate in the performance of all Subrecipient's contracts,
including procurement, construction and personal services. This policy applies to
all of the Subrecipient's contractors and sub-contractors.
§416. Compliance with 'Fair Chance Employment Practices
Subrecipient shall comply with fair chance employment hiring practices set forth
in California Government Code Section 12952, Employment Discrimination:
Conviction History. Subrecipient's violation of this paragraph of the Agreement t
may constitute a material breach of the Agreement. In the event of such material
breach, County of Los Angeles may, in its sole discretion, terminate the
Agreement.
§417. Method of Pavment and Reouired Information
The County of Los Angles may, at its sole discretion, determine the most
appropriate, efficient, secure, and timely form of payment provided under this
Agreement. Subrecipient further agrees that the default form of payment shall be
Electronic Funds Transfer (EFT) or direct deposit, unless an alternative method
of payment is deemed appropriate by the A-C.
Subrecipient shall provide the A-C with electronic banking and related
information for the Subrecipient and/or any other payee that the Subrecipient
designates to receive payment pursuant to this Agreement at
haps://directdepo sit,Wcountv.gov/. Such electronic banking and related
information includes, but is not limited to: bank account number and routing
number, legal business name, valid taxpayer identification number or TIN, a
working e-mail address capable of receiving remittance advices and other
payment related correspondence, and any other information that the A-C
determines is reasonably necessary to process the payment and comply with all
accounting, record keeping, and tax reporting requirements.
Any provision of law, grant, or funding agreement requiring a specific form or
method of payment other than EFT or direct deposit shall supersede this
requirement with respect to those payments. At any time during the duration of
this Agreement, the Subrecipient may submit a written request for an exemption
to this requirement and must be based on specific legal, business or operational
needs and explain why the payment method designated by the A-C is not
feasible and an alternative is necessary. The A-C, in consultation with CEO, shall
decide whether to approve exemption requests.
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Agreement No. 5619
SECTION V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS,
§501. Defaults
Should either party fail for any reason to comply with the contractual obligations
of this Agreement within the time specified by this Agreement, the non-breaching
party reserves the right to terminate the Agreement, reserving all rights under
State and Federal law.
§502. Amendments
Except as otherwise provided in this paragraph, any change in the terms of this
Agreement, including changes in the services to be performed by Subrecipient,
that are agreed to by the Subrecipient and the County of Los Angeles must be
incorporated into this Agreement by a written amendment properly signed by
persons who are authorized to bind the parties. Notwithstanding the foregoing,
any increase or decrease of the grant amount specified in §301.A., above, or any
extension of the performance period specified in §201, above, does not require a
written amendment, but may be effectuated by a written notification by the
County of Los Angeles to the Subrecipient.
SECTION VI
ENTIRE AGREEMENT
§601. Complete A reement
This Agreement contains the full and complete Agreement between the two
parties. Neither verbal agreement nor conversation or other communication with
any officer or employee of either party will affect or modify any of the terms and
conditions of this Agreement.
§602. Number of Fames and Attachments
This Agreement may be executed in two (2) duplicate originals, each of which is
deemed to be an original. This Agreement includes (25) pages and (7) Exhibits
which constitute the entire understanding and agreement of the parties.
HOA.102204516.2
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Agreement No. 5619
IN WITNESS WHEREOF, the Subrecipient and County of Los Angeles have caused
this Agreement to be executed by their duly authorized representatives.
COUNTY OF LOS ANGELES
BY
SrHI Date
Chief Executive Officer
� .
BY ` BY
CELIA ZAVAL J ;itor-Controller
N NAI(V��O
Executive Officer, Board of Supervisors A
APPROVED AS TO FORM
MARY C. WICKHAM
County Counsel
BY
Senior Deputy County Counsel
BY Greg Carpenter, City Manager
City prentative/Title (Signature) (Print Name) Date
APPR VED AS TO FORM
BY-V4)
King, A.C.A.
,
City Attorney( i aru ) (Print Name) Date
ATTEST
B k bate r ( ignaquce
HOA.102204516.2
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Agreement No. 5619
EXHIBITS
Exhibit A Certification and Disclosure Regarding Lobbying
Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit C Certification Regarding Drug-Free Workplace
Exhibit D Certification of Grant Assurances
Exhibit E Final Grant Award Letter and Project Worksheet(s)
Exhibit F 2017 Notice of Funding Opportunity
Exhibit G Reimbursement Form and Instructions
HOA.102204516.2HOA.102204516.1
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Cal OES 2-232
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INSTRUCTIONS FOR COMPLETION OF SF-LLL,
DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime Federal
recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing,
pursuant to Title 31 U.S.C. Section 1352. The filing of a form is required for each payment or agreement
to make payment to any lobbying entity 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 a covered Federal action. Use the SF-LLL-A Continuation
Sheet for additional information if the space on the form is inadequate. Complete all items that apply for
both the initial filing and material change report. Refer to the implementing guidance published by the
Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured
to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow-up report caused by a
material change to the information previously reported, enter the year and quarter in which the
change occurred. Enter the date of the last previously submitted report by this reporting entity
for this covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include
Congressional District, if known. Check the appropriate classification of the reporting entity that
designates if it is, or expects to be, a prime or sub-award recipient. Identify the tier of the
subawardee, e.g., the first subawardee of the prime is the 1 st tier. Subawards include but are
not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name,
address, city, state and zip code of the prime Federal recipient. Include Congressional District, if
known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least
one organizational level below agency name, if known. For example, Department of
Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If
known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants,
cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified
in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; sub-grant
announcement number; the contract, subgrant, or loan award number; the application/proposal
control number assigned by the Federal agency). Include prefixes, e.g.,"RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the
Federal agency, enter the Federal amount of the award/loan commitment for the prime entity
identified in item 4 or 5.
Disclosure of Lobbying Activities-Cal OES 2-232(Revised 7/8/2013)
Agreement No. 5619
Cal OES 2-232
Approved by OMB 0348-0046
10. (a.) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the
reporting entity identified in item 4 to influence the covered Federal action.
(b.) Enter the full names of the individual(s) performing services, and include full address if
different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity
(item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual)
or will be made (planned). Check all boxes that apply. If this is a material change report, enter
the cumulative amount of payment made or planned to be made.
12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-
kind contribution, specify the nature and value of the in-kind payment.
13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will
be expected to perform, and the date(s) of any services rendered. Include all preparatory and
related activity, not just time spent in actual contact with Federal officials. Identify the Federal
official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress
that were contacted.
15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his/her name, title, and telephone
number.
Public reporting burden for this collection of information is estimated to average 30 minutes per
response, including time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Send
comments regarding the burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of Management and Budget,
Paperwork Reduction Project(0348-0046), Washington, D.C. 20503.
Disclosure of Lobbying Activities-Cal OES 2-232(Revised 7/8/2013)
AgreemEEXft1 0%'VA
Cal OES 2-232
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DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
1.Type of Federal Action: 2. Status of Federal Action; 3. Report Type:
B a. contract El a. bid/offer/application E] a. initial filing
b. grant b. initial award b. material change
c. cooperative agreement c. post-award For Material Change Only:
d. loan
e. loan guarantee Year Quarter
f. loan insurance date of last report
4.-Nan a aaTJ§1 5 drses undoporting Entity: 5. If Reporting Entity in No.4 is Subawardee,
Ul y g Enter Name and Address of Prime:
350 Main Street, E1 Segundo, CA 90245
County of Los Angeles
Prime Subawardee Homeland Security Grant Adminislrationl
u 500 W. Temple Street, Room B-79-2
Tier, Ifknown: Los Angeles, CA 90012
Congressional District,if known: Congressional District,if known:
6. Federal Department/Agency: 7. Federal Program Name/Description:
Department of Homeland Security Homeland Security Grant Program
CFDA Number, if applicable:
8. Federal Action Number,if known: 9. Award Amount,if known $34,000
10.a. Name and Address of Lobbying Entity b. Individuals Performing Services
(if individual,last name,first name,MI): (last name,first name,MI-include address if different from 10a)
(attach Continuation Sheet(s)SF-LLL-A,if necessary)
N/A
N/A
11.Amount of Payment(check all that apply) 13.Type of Payment(check all that apply):
Actual J Planned _I a. retainer
12.Form of Payment(check all that apply): _� b. one-time fee
a. cash _i c. commission
b. in-kind;specify: J d. contingent fee
e. deferred
nature value
_1 f. other; specify:
14. Brief Description of Services Performed or to be Performed and Date(s)of Service, including officer(s),employee(s),or
Member(s)contacted,for Payment indicated in item 11: (attach Continuation Sheet(s)SF-LLL-A,if necessary)
15. Continuation Sheet(s)SF-LLL-A attached: Yes J No
% Information requested through this form is authorized b, Title 31 U.S.C. Section 1352. signature: 1
This disclosure of lobbying activities is a material representation of fact upon which Gr C rpenter
reliance was placed by the tier above when this transaction was made or entered into. Name:
This disclosure is required pursuant to 31 U,S.C. 1.352. This information will be Title: Ci y Manager
reported to the Congress semi-annually and will be available for public inspection, Any i Telephone: 310-524-2301
person who fails to'file the required disclosure shall be subject to a civil penalty of not. r� a d)
less than$10000 and not more than$100,000 for each such failure. Date: I R. l,*i. !
Federal Use Only: Authorized for Local Reproduction
Standard Form—LLL
Disclosure of Lobbying Activities-Cal OES 2-232(Revised 7/8/2013)
Agreement No. 5619
Approved by OMB 0348-0046
DISCLOSURE OF LOBBYING ACTIVITIES
CONCONTINUATION SHEET
Continuation of 10 a-b: additional sheets may be added if necessary
Reporting Entity:
Last Name First Name MI
Address City Zip
Last Name First Name MI
Address City Zip
Last Name First Name MI
Address City Zip
Last Name First Name MI
Address City Zip
Continuation of 14: (additional sheets may be added if necessary)
Brief Description of Services and Payments indicated in item 11:
Authorized for Local Reproduction
Standard Form—LLL-A
Disclosure of Lobbying Activities-Cal OES 2-232(Revised 7/8/2013)
Agreement No. 5619
EXHIBIT 8
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, 24 CFR Part 24 Section 24.510, Participants'
responsibilities.
(READ ATTACHED INSTRUCTIONS FOR CERTIFICATION BEFORE
COMPLETING)
1. The prospective recipient of Federal assistance funds certifies that neither it
nor its principals are presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in
this transaction by any Federal department or agency.
2. Where the prospective recipient of Federal assistance funds is unable to
certify to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal,
AGREEMENT NUMBER
City of El Segundo
CONTRACTOR/BORROWER/AGENCY
Greg Carpenter, City Manager
NAME�Aow TITLE OF AUTHORIZED REPRESENmmn
TATIVE
IT-19
SIGN RE.... .
DATE
Agreement No. 5619
INSTRUCTIONS FOR CEI TIFfCATION,
1. By signing and submitting this document,the prospective recipient of f=ederal assistance
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,"0 primary covered transactlori,o'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 on this covered transaction,
unless authorized by the department or agency with which this transaction originated,
A. 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 ail scilcitatlons 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, 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 Bion Procurement Prom,rams.,
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 form
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.
Agreement No. 5619
EXHIBIT" C
STATE OF CALIFORNIA
DRUG-FREE WORKPLACE CERTIFICATION
STD. 21
CITY OF EL SEGUNDO
COMPANY/ORGANIZATION NAME:
The contractor or grant recipient named above hereby certifies compliance with Government Code Section 8355 in
matters relating to providing a drug-free workplace. The above-named contractor or recipient will:
I. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or
use of a controlled substance is prohibited and specifying actions to be taken against employees for violations,
as required by Government Code Section 8355(a).
2. Establish a Drug-Free Awareness Program as required by Government Code Section 8355(b), to inform
employees about all of the following:
(a) The dangers of drug abuse in the workplace,
(b) The person's or organization's policy of maintaining a drug-free workplace,
(c) Any available counseling, rehabilitation and employee assistance programs, and
(d) Penalties that may be imposed upon employees for drug abuse violations..
3. Provide as required by Government Code Section 8355(c), that every employee who works on the proposed
contract or subgrant:
(a) Will receive a copy of the company's drug-free policy statement, and
(b) Will agree to abide by the terms of the company's statement as a condition of employment on the contract
or subgrant.
CERTIFICATION
I, the official named below, hereby swear that I am duly authorized legally to bind the contractor or Recipient to the above
described certification. I am fully aware that this certification, executed on the date and in the county below, is made under
penalty of perjury under the laws of the State of California.
Greg Carpenter, City Manager "" lg
OFFICAL'S NAME DATE EXECUTED
o_ e1�
EXECUTED IN THE C 'rY O
CONTRACTOR or RECE INT SIG ATURE
CI ty Ma agPIr
TITLE
FEDERAL I.D.NUMBER
Drug-Free Workplace Certification STD. 21 (Revised 7/2015)
Agreement No. 5619
STATEMENT ON THE DRUG-FREE WORKPLACE
To comply with the enactment of Senate Bill 1120, (Chapter 1170, Statutes of 1990), which established the
Drug-Free Workplace Act of 1990, the Citv of E1 Segundo
(your agency)
accordingly provides this statement of compliance.
In order to maintain funding eligibility, state agencies, along with those in receipt of grant and contractual
awards, must certify that they provide drug-free workplaces and have issued drug-free workplace statements
to their employees[Section 8355(a) of the Government Code]. Consequently, in accordance with this directive,
this statement is issued to meet this requirement.
The City of El Segundo (your agency), an agency within the State of California has adopted this
statement in compliance with legislation which addresses issues to avoid the dangers arising from drug and
alcohol abuse in the workplace. These dangers include death and injury to the employee, co-workers, or the
public resulting from accidents, dereliction of duty, poor judgment and carelessness. Substance abuse also
results in lost productivity, reduced efficiency, and increased absenteeism by the substance abuser and
interferes with the job performance of employees who do not use illegal or unauthorized substances. (Section
8355(b)(1)]
California law prohibits the unlawful manufacture, dispensation, possession, or illegal use of a controlled
substance. That prohibition extends to all places and includes the worksite of California state employees.
[Section 8355(a)]
Employees convicted of a violation of criminal drug statute, when the violation occurred at an employee's
worksite, shall report the conviction to the granting and monitoring State agency upon conviction. [Section
8356(a)(1)(2)]
In the event of the unlawful manufacture, distribution, dispensation, possession or illegal use of a controlled
substance at a State worksite, the State may take disciplinary action pursuant to the law and/or require the
satisfactory completion of a drug abuse assistance or rehabilitation program. (Section 8355(b)(4)]
The Employee Assistance Program (EAP) provides drug problem assessment and referral to appropriate
counseling and rehabilitation services. The EAP is available to all agency employees. Procedures exist to
ensure the confidentiality of EAP records. Contact your personnel office for further information.
It is the intent of the City of El Segundo (your agency)to ensure by execution of this statement of
compliance that each employee shall abide by the terms of this drug-free workplace statement. [Section
8355(c)]
Drug-Free Workplace Certification STD. 21 (Revised 7/2015)
Agreement IIT D
Cal OES
M�
OF EMERGENCY
Standard Assurances
For All Cal OES Federal Grant Programs
As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the
legal authority to apply for federal assistance and the institutional, managerial and financial capability
(including funds sufficient to pay any non-federal share of project cost) to ensure proper planning,
management and completion of the project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all
requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO);
(c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements and audit requirements for federal
grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (C.F.R.).Updates
are issued by the Office of Management and Budget (OMB) and can be found at
http://www.whitehouse.gov/omb/.
Significant state and federal grant award requirements (some of which appear in the documents
listed above) are set forth below. The Applicant hereby agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain written authorization from the city council, governing board or authorized
body in support of this project. This written authorization must specify that the Applicant and the city
council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be
appropriated as required.
(b) Any liability arising out of the performance of this agreement shall be the responsibility of the
Applicant and the city council, governing board or authorized body.
(c) Grant funds shall not be used to supplant expenditures controlled by the city council,
governing board or authorized body; and
(d) The official executing this agreement is, in fact, authorized to do so.
This Proof of Authority must be maintained on file and readily available upon request.
Homeland Security Grant Program—2017 Grant Assurances Page1.
Initials
Agreement No. 5619
2. Period of Performance
The Applicant will initiate work after approval of the award and complete all work within the period of
performance specified in the grant.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons entering into
a contract, grant, loan or cooperative agreement from an agency or requests or receives from an
agency a commitment providing for the United States to insure or guarantee a loan, the Applicant
certifies that:
(a) No federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of 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.
(b) 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.
(c) 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.
The Applicant will also comply with provisions of 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.
Finally, the Applicant 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 without the express
written approval from the California Governor's Office of Emergency Services (Cal OES) or the
federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 C.F.R. §200.212 and codified in 2 C.F.R.
Part 180, Debarment and Suspension, 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. The Applicant certifies that it and its principal, subgantees, recipients or
subrecipients:
Homeland Security Grant Program—2017 Grant Assurances Pag11
initials
Agreement No. 5619
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (federal, state, or
local) transaction or contract under a public transaction; violation of federal or state antitrust
statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (federal, state, or local) with commission of any of the offenses enumerated in
paragraph (2)(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or more public
transaction (federal, state, or local)terminated for cause or default.
Where the Applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
5. Non-Discrimination and Equal Employment Opportunity
The Applicant will comply with all federal statutes relating to non-discrimination. These include, but
are not limited to, the following:
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §2000d et.
seq.) which prohibits discrimination on the basis of race, color, or national origin and
requires that recipients of federal financial assistance take reasonable steps to provide
meaningful access to persons with limited English proficiency (LEP) to their programs and
services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§1681-1683, and 1685-1686),
which prohibits discrimination on the basis of sex in any federally funded educational
program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. §794), which prohibits
discrimination against those with disabilities or access and functional needs;
(d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of
disability and requires buildings and structures be accessible to those with disabilities and
access and functional needs (42 U.S.C. §§ 12101-12213.);
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on
the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290), relating to confidentiality of patient
records regarding substance abuse treatment;
(g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §3601 et seq.), relating to
nondiscrimination in the sale, rental or financing of housing as implemented by the
Department of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on
disability discrimination includes the requirement that new multifamily housing with four or
more dwelling units—i.e., the public and common use areas and individual apartment units
Homeland Security Grant Program—2017 Grant Assurances Page 1
Initials
Agreement No. 5619
(all units in buildings with elevators and ground-floor units in buildings without elevators)—
be designed and constructed with certain accessible features (See 24 C.F.R. § 100.201); ;
(h) Executive Order 11246, which prohibits federal contractors and federally assisted
construction contractors and subcontractors, who do over $10,000 in Government business
in one year from discriminating in employment decisions on the basis of race, color, religion,
sex, sexual orientation, gender identification, or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex,
sexual orientation, gender identification, or national origin in hiring and employment in both
the United States federal workforce and on the part of government contractors;
(j) California Public Contract Code §10295.3, which prohibits discrimination based on domestic
partnerships and those in same sex marriages;
(k) DHS policy to ensure the equal treatment of faith-based organizations, under which all
applicants and recipients must comply with equal treatment policies and requirements
contained in 6 C.F.R. Part 19;
(1) Any other nondiscrimination provisions in the specific statute(s) under which application for
federal assistance is being made; and
(m)The requirements of any other nondiscrimination statute(s)which may apply to the
application.
In addition to the items listed in (a) through (m), the Applicant will comply with California's Fair
Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in
employment because of ancestry, familial status, race, color, religious creed (including religious
dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and
medical conditions related to pregnancy, childbirth, or breastfeeding), gender, gender identity,
gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical
disability, genetic information, medical condition, age, pregnancy, denial of medical and family care
leave, or pregnancy disability leave (California Government Code §§ 12940, 12945, 12945.2),
military and veteran status, and/or retaliation for protesting illegal discrimination related to one of
these categories, or for reporting patient abuse in tax supported institutions.
6. Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. §701 et seq.), the Applicant
certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined
in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, which may be prescribed
pursuant to the following, as applicable:
(a) California Environmental Quality Act(CEQA) (California Public Resources Code §§ 21000-
21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000-
15387);
Homeland Security Grant Program—2017 Grant Assurances Page 1
Initial
Agreement No. 5619
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic
structure for regulating discharges of pollutants into the waters of the United States and
regulating quality standards for surface waters;
(d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401)which regulates air emissions from
stationary and mobile sources;
(e) Institution of environmental quality control measures under the National Environmental
Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations
for Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which
focuses on the environmental and human health effects of federal actions on minority and
low-income populations with the goal of achieving environmental protection for all
communities;
(f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(g) Executive Order 11514 which sets forth national environmental standards;
(h) Executive Order 11738 instituted to assure that each federal agency empowered to enter
into contracts for the procurement of goods, materials, or services and each federal agency
empowered to extend federal assistance by way of grant, loan, or contract shall undertake
such procurement and assistance activities in a manner that will result in effective
enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive
Order 11990 which requires preservation of wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523);
(j) The Endangered Species Act of 1973, (P.L. 93-205);
(k) 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.);
(1) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section
176(c)of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.);
(m)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.
The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air
Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to §
13301 of the California Water Code for violation of waste discharge requirements or discharge
prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution.
8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will
cause to be performed the required financial and compliance audits in accordance with the Single
Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F
Audit Requirements.
9. Access to Records
In accordance with 2 C.F.R. §200.336, the Applicant will give the awarding agency, the Comptroller
General of the United States and, if appropriate, the state, through any authorized representative,
access to and the right to examine all records, books, papers, or documents related to the award.
Homeland Security Grant Program—2017 Grant Assurances Page' 1
tniti'als
Agreement No. 5619
The Applicant will require any subrecipients, contractors, successors, transferees and assignees to
acknowledge and agree to comply with this provision.
10. Conflict of Interest
The Applicant 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.
11. Financial Management
False Claims for Pavment The Applicant will comply with 31 U.S.0 §§ 3729-3733 which sets forth
that no recipient shall submit a false claim for payment, reimbursement or advance.
12. Reporting -Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability
and Transparency Act (FFATA) (P.L. 109-282), specifically(a)the reporting of subawards obligating
$25,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This
includes the provisions of FFATA, which includes requirements for executive compensation, and
also requirements implementing the Act for the non-federal entity at 2 C.F.R. Part 25 Financial
Assistance Use of Universal Identifier and Central Contractor Registration and 2 C.F.R. Part 170
Reporting Subaward and Executive Compensation Information.
13.Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower protections at 10
U.S.C. §2409, 41 U.S.C. §4712, and 10 U.S.C. §2324, 41 U.S.C. §4304 and §4310.
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(8) of the Traffickincl Victims
Protection Act of 2000, as amended (22 U.S.C. § 7104)which prohibits grant award recipients or a
subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in
effect: (2) procuring a commercial sex act during the period of time that the award is in effect: or (3)
using forced labor in the performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) The Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the Copeland Act
(40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work Hours and Safetv Standards
Act (40 U.S.C. §§ 327-333), regarding labor standards for federally-assisted construction
contracts or subcontracts; and
(b) The Federal Fair tabor Standards Act (29 U.S.C. § 201 et al.) as they apply to employees of
institutes of higher learning (IHE), hospitals and other non-profit organizations.
16.Worker's Compensation
The Applicant must comply with provisions which require every employer to be insured to protect
workers who may be injured on the job at all times during the performance of the work of this
Homeland Security Grant Program—2017 Grant Assurances Pag11
Initials
Agreement No. 5619
Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et
seq.
17. Property-Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and
Real Prooerty Acquisition Policies Act of 1970 (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 purchase;
(b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires subrecipients 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 $10,000 or more;
(c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593
(identification and protection of historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.); and
(d) Comply with the Lead-Based Paint Poisoning Prevention Act, (42 U.S.C. § 4831 and 24 CFR
Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
18. Certifications Applicable Only to Federally-Funded Construction Projects
For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other
interest in the site and facilities without permission and instructions from the awarding
agency. Will record the federal awarding agency directives and will include a covenant in the
title of real property acquired in whole or in part with federal assistance funds to assure
nondiscrimination during the useful life of the project;
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and
approval of construction plans and specifications; and
(c) Provide and maintain competent and adequate engineering supervision at the construction
site to ensure that the complete work conforms with the approved plans and specifications
and will furnish progressive reports and such other information as may be required by the
assistance awarding agency or State.
19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These
laws prohibit driving a motor vehicle while using an electronic wireless communications device to
write, send, or read a text-based communication. Drivers are also prohibited from the use of a
wireless telephone without hands-free listening and talking, unless to make an emergency call to
911, law enforcement, or similar services.
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Agreement No. 5619
20. California Public Records Act and Freedom of Information Act
The Applicant acknowledges that all information submitted in the course of applying for funding
under this program, or provided in the course of an entity's grant management activities that are
under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the
California Public Records Act, California Government Code section 6250 et seq. The Applicant
should consider these laws and consult its own State and local laws and regulations regarding the
release of information when reporting sensitive matters in the grant application, needs assessment,
and strategic planning process.
HOMELAND SECURITY GRANT PROGRAM - PROGRAM SPECIFIC ASSURANCES/
CERTIFICATIONS
21. Reporting Accusations and Findings of Discrimination
If during the past three years the recipient has been accused of discrimination on any basis the
recipient must provide a list of all such proceedings, pending or completed, including outcome and
copies of settlement agreements to the DHS Financial Assistance Office and the DHS Office for
Civil Rights and Civil Liberties (CRCL) by e-mail at crcl an.ha.dhs.aov or by mail at U.S. Department
of Homeland Security Office for Civil Rights and Civil Liberties, Building 410, Mail Stop #0190,
Washington, D.C. 20528.
If the courts or administrative agencies make a finding of discrimination on grounds of race, color,
national origin (including LEP), sex, age, disability, religion, or familial status against the recipient,
or the recipients settle a case or matter alleging such discrimination, recipients must forward a copy
of the complaint and findings to the DHS Financial Assistance Office and the CRCL by e-mail or
mail at the addresses listed above.
The United States has the right to seek judicial enforcement of these obligations.
22.Acknowledgment of Federal Funding from DHS
All recipients must acknowledge their use of 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.
23.Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States are
coordinated as necessary with appropriate government authorities and that appropriate licenses,
permits, or approvals are obtained.
24. Best Practices for Collection and Use of Personally Identifiable Information (PII)
DHS defines personally identifiable information (PII) as any information that permits the identity of
an individual to be directly or indirectly inferred, including any information that is linked or linkable to
that individual. All recipients who collect PII are required to have a publically-available privacy policy
that describes standards on the usage and maintenance of PII they collect. Recipients may also
Homeland Security Grant Program—2017 Grant Assurances Wage 1
Initials
Agreement No. 5619
find the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template a useful
resource respectively.
25. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an
acknowledgement of U.S. Government sponsorship (including the award number) to any work first
produced under federal financial assistance awards.
26. Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in 2 C.F.R. Part
200, Subpart E may not be charged to other federal financial assistance awards to overcome fund
deficiencies, to avoid restrictions imposed by federal statutes, regulations, or federal financial
assistance award terms and conditions, or for other reasons. However, these prohibitions would not
preclude recipients from shifting costs that are allowable under two or more awards in accordance
with existing federal statutes, regulations, or the federal financial assistance award terms and
conditions.
27. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. §6201 which contain policies relating
to energy efficiency that are defined in the state energy conservation plan issued in compliance with
this Act.
28. Federal Debt Status
All recipients are required to be non-delinquent in their 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.
29. Fly America Act of 1974
All recipients must comply with 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
30. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all recipients 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, as amended, 15 U.S.C. §2225a.
Homeland Security Grant Program—2017 Grant Assurances Page 1
Nn'itia9s
Agreement No. 5619
31. Non-supplanting Requirements
All recipients who receive federal financial assistance awards made under programs that prohibit
supplanting by law must ensure that federal funds do not replace (supplant) funds that have been
budgeted for the same purpose through non-federal sources.
32. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L. No. 96-517,
as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific
requirements governing the development, reporting, and disposition of rights to inventions and
patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard
patent rights clause located at 37 C.F.R. § 401.14.
33. SAFECOM
All recipients who receive federal financial assistance 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.
34.Terrorist Financing
All recipients must comply with Executive Order 13224 and U.S. law that prohibit transactions with,
and the provisions of resources and support to, individuals and organizations associated with
terrorism. Recipients are legally responsible to ensure compliance with the Order and laws.
35. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the recipient's currently active grants, cooperative agreements, and procurement
contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the
period of performance of this federal financial assistance award, you must comply with the
requirements set forth in the government-wide Award Term and Condition for Recipient Integrity
and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is
incorporated here by reference in the award terms and conditions.
36. USA Patriot Act of 2001
All recipients must comply with 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.
37. Use of DHS Seal, Logo, and Flags
All recipients must obtain permission from their DHS Financial Assistance Office, prior to using the
DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including
use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of
Coast Guard officials.
Homeland Security Grant Program—2017 Grant Assurances Page 11
Initials
Agreement No. 5619
IMPORTANT
The purpose of the assurance is to obtain federal and state financial assistance, including any and all
federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees
that state financial assistance will be extended based on the representations made in this assurance.
This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to
comply with any of the above assurances may result in suspension, termination, or reduction of grant
funds.
All appropriate documentation, as outlined above, must be maintained on file by the Applicant and
available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may
result in suspension of payments under the grant or termination of the grant or both and the
subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the
following has occurred: (1) the recipient has made false certification, or (2) violates the certification by
failing to carry out the requirements as noted above.
All of the language contained within this document must be included in the award documents for all
subawards at all tiers. All recipients are bound by the Department of Homeland Security Standard
Terms and Conditions 2017, Version 7.0, hereby incorporated by reference, which can be found at:
https://www.dhs.gov/publication/fyl 5-dhs-standard-terms-and-conditions.
The undersigned represents that he/she is authorized by the Applicant to enter into this agreement for
and on behalf of the said Applicant.
Applicant: City of E1 Se tan
Signature of Authorized Agent:
Printed Name of Authorized Agent: Grej Carpenter
City Manager
Title: Date: �F
Homeland Security Grant Program—2017 Grant Assurances Page o '11.
Wtiais,
Agreement No. 5619
EXHIBIT D
COUNTY OF LOS ANGELES
2017 CERTIFICATION OF GRANT ASSURANCES
As the duly authorized representative of the Subrecipient, I hereby certify Subrecipient's
complete acceptance of Exhibit D, and agreement to abide by all provisions,
assurances, conditions and requirements of the Grant Assurances therein.
BYkITO
Greg Carpenter, City Manager
City Signature) (Print Name) Date
APPRO
BYP WIP 1N6 A. C OAG/11-
Clty A Corney (Signatre (Print Name) Date
ATTEST
BY f�° j I�
Ci Clerk (Signature) (Print Name) Date
HOA.102204513.1
Agreement NLzXffiAft E
G,11)1�cmN,N MARK S GHfLARJ1'AA,,C(
010 V R.N�)R Dlw"Crolz
Cal OES
October 20, 2017
Sachi Hamai
Chief Executive Office
Los Angeles County
500 West Temple Street, Room 713
Los Angeles,CA 90012
SUBJECT. NOTIFICATION OF StJBRECIPIENT AWARD APPROVAL
Fiscal Year(FY)2017 Homeland Security Grant Program
Grant#2017-0083, Cal OES ID#037-00000
Subrecipient Performance Period: September 1, 2017, to May 31,2020
Dear Ms. Harnai:
The California Governor's Office of Emergency Services(Cal OES)approved your FY 2017
Homeland Security Grant Program (HSGP) award in the amount of$10,308,294. Once your
completed application is received and approved, you may request reimbursement of eligible
grant expenditures using the Cal OES Financial Management Forms Workbook available at
w-vvv,caloes.ca.aov.
0
During the review process, a Cal OES Program Representative will examine and evaluate your
FY 2017 HSGP grant application. Throughout the grant cycle, Cal OES will use performance
milestones set in the Department of Homeland Security/Federal Emergency Management
Agency Grants Reporting Tool (GRT) as indicators of performance and grant management
capacity and this information may be used in assessing future competitive grant applications. All
activities funded with this award must be completed within the Subrecipient performance period.
You are required to comply with all applicable federal, state, and local environmental and
historic preservation(EHP) requirements. Additionally, Aviatioii/Watercraft requests,
Establish/Enhance Emergency Operations Center projects,projects requiring ERP review, and
sole source procurement requests and controlled equipment requests require additional approvals
from Cal OES. Subrecipients must obtain written approval for these activities VLior to incurring
any costs, in order to be reimbursed for any related costs under this grant. Subrecipients are also
required to obtain a performance bond prior to the purchase of any equipment item over
$250,000, including any aviation or watercraft financed with homeland security dollars.
Performance bonds Must be submitted to your Program Representative no later than the time of
reimbursement.
,65()S(ImrVizia,.AVE'ENW--NIA MLR;CA 95655
Agreement No. 5619
Sachi Hamai
October 20,2017
Page 2 of 2
Following acceptance of this award, you must enter your grant information into the GRT for the
Biannual Strategy Implementation Report(BSIR)period. The GRT can be accessed online at
https://www.reporting.odp.dhs.gov/. Your agency must prepare and submit the BSIR to Cal OES
via the GRT semi-annually for the duration of the grant performance period or until you
complete all activities and the grant is formally closed. Failure to submit required reports could
result in grant reduction, suspension, or termination.
This grant is subject to all provisions of 2 CFR Part 200, Subpart F—Audit Requirements. Any
fiends received in excess of current needs, approved amounts, or those found owed as a result of
a final review or audit,must be refunded to the State within 30 days upon receipt of an invoice
from Cal OES.
Your dated signature is required on this letter. Please sign and return the original to your
Cal OES Program Representative within 20 days of receipt and keep a copy for your files.
For further assistance,please feel free to contact your Cal OES Program Representative or the
Homeland Security Grants Unit at (916) 845-8186.
Sincerely,
MARK S. GHIr ARDUCCI
Director
Sae 11t 1 lean ai Date
Los Angeles County
Agreement No. 5619
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Agreement No. WIT F
The U.S. Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year 2017 Homeland Security Grant Program (HSGP)
NOTE: Eligible recipients who plan to apply for this funding opportunity but who have
not obtained a Data Universal Numbering System (DUNS) number and/or are not
currently registered in the System for Award Management(SAN),should take immediate
action to obtain a DUNS Number, if applicable, and then to register immediately in SAM.
New registration can take an average of 7-10 business days to process in SAM. SAM must send
out some information for validation with outside parties before your registration can be
activated; this includes Taxpayer Identification Number(TIN)validation with the Internal
Revenue Service (IRS) and Commercial and Government Entity (CAGE) validation/assignment
with the Department of Defense (DoD). This timeframe may be longer if the information you
provide is flagged for manual validation by either party. If you notice your registration has had a
`Submitted' status for longer than 10 business days, and you have not otherwise been contacted
to correct or update information,please contact the Federal Service Desk at 866-606-8220 or
LTttpS:/A\,%vNvXsd.qo-y. Information on obtaining a DUNS number and registering in SAM is
available from 611,ants—oovat:
�terjitnfl, Detailed
information regarding DUNS and SAM is also provided in Section D oFtWi—sNOFO, subsection,
Content and Form of Application Submission.
A. Pro
.,.gram DescrialLon
Issued By
U.S. Department of Homeland Security(DHS), Federal Emergency Management Agency
(FEMA), Grant Programs Directorate(GPD)
Catalog of Federal Domestic Assistance(CFDA)Number
97.067
CFDA Title
Homeland Security Grant Program(HSGP)
Notice of Funding Opportunity Title
Fiscal Year 2017 Homeland Security Grant Program
• State Homeland Security Program (SHSP)
• Urban Area Security Initiative (UASI)
• Operation Stonegarden (OPSG)
NOFO Number
DHS-17-GPD-067-00-01
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)
Page 1 of 86
FY 2017 HSGP NOFO
Agreement No. 5619
Appropriation Authority for Program
Department of Homeland Security Appropriations Act, 2017 (Pub. L. No. 115-31)
Program Type
New
Program Overview, Objectives, and Priorities
Overview
The purpose of the Fiscal Year(FY) 2017 HSGP is to support state, local and tribal
efforts to prevent terrorism and other catastrophic events and to prepare the Nation for the
threats and hazards that pose the greatest risk to the security of the United States.
References to these priorities can be found throughout this document. The FY 2017
HSGP provides funding to implement investments that enhance terrorism preparedness
and serve to build, sustain, and deliver the 32 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
wliole comawiiity, inclusive of children, individuals with disabilities and others with
access and functional needs, diverse communities, and people with limited English
proficiency. The FY 2017 HSGP supports the core capabilities across the five mission
areas of Prevention, Protection, Mitigation, Response, and Recovery based on allowable
costs. The FY 2017 HSGP will provide federal funds to assist state, local, tribal, and
territorial agencies to obtain the resources required to support implementation of the
National Preparedness System (NPS) and the Goal of a secure and resilient Nation.
Among the five basic homeland security missions noted in the DHS Quadrennial
Homeland Security Review, HSGP supports the goal to Strengthen National
Preparedness and Resilience.
HSGP is comprised of three grant programs:
• State Homeland Security Program (SHSP)
• Urban Area Security Initiative (UASI)
• Operation Stonegarden(OPSG)
Together, these grant programs fund a range of activities, including planning,
organization, equipment purchase,training, exercises, and management and
administration across all core capabilities and mission areas.
Objectives
• State Homeland Security Program (SHSP): The SHSP assists state,tribal,
territorial, and local preparedness activities that address high-priority preparedness
gaps across all core capabilities that support terrorism preparedness. All supported
investments are based on capability targets and gaps identified during the Threat and
Hazard Identification and Risk Assessment(THIRA)process, and assessed in the
State Preparedness Report(SPR).
Page 2 of 86
FY 2017 HSGP NOFO
Agreement No. 5619
• Urban Area Security Initiative(UASI): The UASI program assists high-threat,
high-density Urban Areas in efforts to build, sustain, and deliver the capabilities
necessary to prevent,protect against, mitigate, respond to, and recover from acts of
terrorism.
• Operation Stonegarden (OPSG): The OPSG Program supports enhanced
cooperation and coordination among Customs and Border Protection(CBP), United
States Border Patrol (USBP), and Federal, state, local,tribal, and territorial law
enforcement agencies. The OPSG Program provides funding to supportjoint efforts
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 risk-driven, capabilities-based and outline high-priority needs
relating to terrorism preparedness. For these programs to be effective, government
officials and elected leaders, working with the whole community, must consider how to
sustain current capability levels,while also addressing potential gaps.
Priorities
The Goal defines what it means for the whole community to be prepared for all types of
disasters and emergencies. The NPS is the instrument the Nation employs to build,
sustain, and deliver core capabilities in order to achieve 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 NPS allows for the integration of preparedness efforts that build,
sustain, and deliver core capabilities and achieve the desired outcomes identified in the
Goal.
DHS/FEMA publishes the annual National Preparedness Report(NPR)to communicate
progress in building, sustaining, and delivering the core capabilities outlined in the Goal.
This analysis 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. The NPR can be found
at Ittr�:�"w�vw ,1;�wt �a.s �a�l� ��t�onaA-o.s�`a taw9� dress-'c� c. mt.
In developing applications for the FY 2017 HSGP, recipients should consider funding
projects that address core capability gaps within the NPR national areas for improvement
that relate to terrorism preparedness, including:
• Cybersecurity;
• Infrastructure Systems;
• Economic Recovery;
• Housing; and
• Natural and Cultural Resources.
Page 3 of 86
FY 2017 HSGP NOFO
Agreement No. 5619
In addition,DHS/FEMA requires recipients to prioritize investments that address
capability targets and gaps identified through the annual THIRA and SPR process. These
assessments set capability targets and measure current ability to meet those targets.
Minimum funding amounts are not prescribed by the DHS for these capability targets and
gaps; however, recipients must support state, local,tribal, regional, and national efforts in
achieving the desired outcomes of these priorities. Grant funds must clearly support
resources the recipients need to achieve the THIRA targets and close capability gaps.
iendix 11-Program f1riorities addresses additional areas where funding can be applied
to strengthen preparedness efforts.
B. Federal Award Information
Award Amounts,Important Dates, and Extensions
Available Funding for the HSGP NOFO: $1,037,000,000
StateMHomeland MSecurity
ProMgraml
lU� $40M,000,000
0M000,_POOrban Area Security Initiative $58�'0V0'000
Operation Stonegarden p $55,000,000
Total $1,037,000,000
For details on program-specific funding amounts, refer to V Y 2Q 17
Rroeraii A1J(.)c,9tioiis.
Period of Performance: Thirty-six (36)months
Extensions to the Period of Performance (PoP)are allowed. For additional information on
PoP extensions, refer to Section VI — iViditional Information of this NOFO.
Projected Period of Performance Start Date: September 1,2017
Projected Period of Performance End Date: August 31,2020
Funding Instrument: Grant
Page 4 of 86
FY 2017 HSGP NOFO
Agreement No. 5619
C. Eligibility Information
Eligible Applicants
All 56 states and territories, which includes any state of the United States,the District of
Columbia,the Commonwealth of Puerto Rico,the U.S. Virgin Islands, Guam, American
Samoa, and the Commonwealth of the Northern Mariana Islands, are eligible to apply for
SHSP funds. For those states that are eligible for UASI and OPSG funding,the State
Administrative Agency (SAA) is the only entity eligible to submit applications to
DHS/FEMA on behalf of UASI and OPSG applicants. A list of eligible UASIs and
OPSG States can be found in Aiveri(fix A. Tribal governments may not apply directly
for HSGP funding; however, funding may be available to tribes under the SHSP and
OPSG through the SAA.
Eligibility Criteria
Eligible high-risk Urban Areas for the FY 2017 UASI program 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. Sub-awards will be made by
the SAA to the designated Urban Areas identified in p)cndix A - FY 2017 11ro<-'rarrr
Allocations.
Eligible sub-recipients under the FY 2017 OPSG Program are local units of government
at the county level or equivalent level of government and Federally-recognized tribal
governments in states bordering Canada or Mexico and states and territories with
international water borders. All applicants must have active ongoing USBP operations
coordinated through a CBP sector office to be eligible for OPSG funding.
Under the FY 2017 OPSG Program, subrecipients eligible to apply for and receive a
subaward directly from the SAA are divided into three Tiers. Tier 1 entities are local
units of government at the county level or equivalent and Federally-recognized tribal
governments that are on a physical border in states bordering Canada, states bordering
Mexico, and states and territories with international water borders. Tier 2 eligible
subrecipients are those not located on the physical border or international water but are
contiguous to a Tier 1 county. Tier 3 eligible subrecipients are those not located on the
physical border or international water but are contiguous to a Tier 2 eligible subrecipient.
Tier 2 and Tier 3 eligible subrecipients may be eligible to receive funding based on
border security risk as determined by the USBP, as described in Section E of the NOFO.
Other Eligibility Criteria
National Incident Management System (NIMS) Implementation
Prior to allocation of any Federal preparedness awards in FY 2017, recipients must
ensure and maintain adoption and implementation of NIMS. FEMA describes the
specific training and activities involved in NIMS implementation in the NIMS Training
Program and the NIMS Implementation Objectives
tl�tC���r�:�""'�va��,ti,Icr°rrr�.r;���,f1'rr�rt�Cer�a�rtt�ttir�rr-Ger.rld'�r.rrc�-rrr��'I-r`e�7�xr`tirr��).
Page 5 of 86
FY 2017 HSGP NOFO
Agreement No. 5619
Incident management activities require carefully managed resources (personnel,teams,
facilities, equipment and/or supplies). Utilization of the standardized resource
management concepts such as typing, credentialing, and inventorying promote a strong
national mutual aid capability needed to support delivery of core capabilities. Recipients
should manage resources purchased or supported with FEMA grant funding according to
NIMS resource management guidance. In addition, Comprehensive Preparedness Guide
(CPG)201: Threat and Hazard Identification and Risk Assessment Guide, Second
Edition, available at lata):: Nv.fema.tz ov/t hreat-a nd-hazard-ident i ri cat i on-a nd-ri sk-
assessment. emphasizes how communities can use THIRA results to make decisions
about how to allocate limited resources.
Additional information on resource management and NIMS resource typing definitions
and job titles/position qualifications is on DHS/FEMA's website under
hu P://,vww.(cma.vyo Orcsmi rce-niana gremen t-in utual-aid.
Emergency Management Assistance Compact (EMAC) Membership
fit support of the Goal, recipients 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 tirne. All assets
supported in part or entirely with FY 2017 HSGP funding must be readily deployable and
NIMS typed when possible 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 lnfbri-nation Systems (GIS), interoperable
COMMUnications systems, capabilities as defined under the mitigation mission area of the
Goal, and fusion centers.
Law Enforcement Terrorism Prevention Activities(LETPA)
Per section 2006 of the Homeland Security Act of 2002, as amended(6 U.S.C. § 607),
DHS/FEMA is required to ensure that at least 25 percent(251/6) of grant funding
appropriated for grants awarded under HSGP's authorizing statute are used for law
enforcement terrorism prevention activities. DHS/FEMA meets this requirement, in part,
by requiring all SHSP and UASI recipients 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, as defined in 6 U.S.C. § 607. The LETPA
allocation can be from SHSP, UASI, or both. This requirement does not include award
funds from OPSG. Please refer to Apoendix ,,\ - I-Y 2017 Vro�ranl Allocations for
LETPA minimum allocations for SHSP and UASI by jurisdiction. The 25 percent(25%)
LETPA allocation is in addition to the 80 percent (80%)pass through requirement to
local units of government and Tribes, referenced below.
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 oil 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
Page 6 of 86
FY 2017 HSGP NOFO
Agreement No. 5619
as 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.
Cost Share or Match
There is no cost share or match requirement for the FY 2017 HSGP.
D. Application and Submission Inforination
Key Dates and Times
Date Posted to Grants.Lirov: June 2,2017
Application Submission Deadline: June 22,2017, 5:00 p.m. EDT
All applications must be received by the established deadline. The Non-Disaster(ND)
Grants System has a date stamp that indicates when an application is submitted.
Applicants will receive an electronic message confirming receipt of the full application.
In general, DHS/FEMA will not review applications that are not received by the deadline
or consider them for funding. DIJS/I"EMA may, however, extend the application
deadline on request for any applicant who can demonstrate that good cause exists to
Justify extending the deadline. Good cause for all extension may include technical
problems outside of the applicant's control that prevent submission of the application by
the deadline,or other exigent or emergency circumstances,
If there are technical issues, please notify the respective FEMA Headquarters (HQ)
Program Analyst before the application deadline. Applicants should contact the
Centralized Scheduling and Information Desk(CSID)for FEMA HQ Program Analyst
contact information. CSID can be reached by phone at(800)368-6498 or by e-illail at
a,,kesid(iiVis.gov, Monday through Friday, 9:00 a.m.—5:00 p.m. EDT.
Anticipated Funding Selection Date: September 1,2017
Anticipated Award Date: No later than September 30,2017
Address to Request Application Package
Application forms and instructions are available at (Imilts.uov (hard copies of the NOFO
and associated application materials are not available). To access these materials, go to
select"Applicants"then"Apply for Grants." In order to obtain the
application package, select"Download a Grant Application Package." Enter the CFDA
and/or the funding opportunity number located on the cover of this NOFO, select
"Download Package," and then follow the prompts to download the application package.
Applicants experiencing difficulties accessing information or who have any questions,
should call the Gtrants.uov customer support hotline at(800) 518-4726.
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FY 2017 HSGP NOFO
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In addition,the Telephone Device for the Deaf(TDD)and/or Federal Information Relay
Service (FIRS) number available for this Notice is: (800)462-7585.
Applications will be processed through the Grants,ww portal and DHS/FEMA's ND
Grants System.
Content and Form of Application Submission
Applying for an award under this program is a multi-step process. To ensure that an
application is submitted on time applicants are advised to start the required steps well in
advance of their submission. Failure of an applicant to comply with any of the required
steps before the application deadline may 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;
2. Applying for, updating, or verifying their Employer ID Number(EIN);
3. Updating or verifying their System for Award Management(SAM)
Registration;
4. Establishing an Authorized Organizational Representative(AOR) in
Gnuits.s,,ov;
5. Submitting an initial application in Granls.00v; and
6. Submitting the final application in the ND Grants system.
Each of the required steps associated with the application process are explained in the
sections below.
Unique Entity Identifier and System for Award Management(SAM)
Before applying for a DHS/FEMA grant at Grants.L)ov, applicants must have a DUNS
number,be registered in SAM, and be approved as an AOR. The steps for completing
these pre-application processes are outlined below.
NOTE: Applicants are encouraged to register early. The pre-application
registration processes can take four weeks or more to complete. Therefore,
registration should be done in sufficient time to ensure it does not impact the
applicant's ability to meet required submission deadlines.
Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS)Number
The DUNS number must be included in the data entry field labeled "Organizational
DUNS" on the SF-424 form. Instructions for obtaining a DUNS number can be found at
the following website:
rc�,,istration/steo-I-obtain-(ILIIIS-IlLliiibei-,htmi.
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 the DUNS number request line at 866-
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FY 2017 HSGP NOFO
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705-5711. DHS/FEMA cannot assist applicants with questions related to obtaining a
current DUNS number.
Obtain an Employer Identification Number(EIN)
DHS/FEMA requires both the EIN and a DUNS number prior to the issuance of a
financial assistance award and for grant award payment; both EIN and DUNS are also
required to register with SAM (see below). The EIN base for an organization is the
Internal Revenue Service (IRS) Tax ID number, for individuals it is their social security
number, (both the EIN and social security number are nine-digit numbers).
Organizations and individuals submitting their applications must correctly differentiate
the EIN from the DUNS number since both are nine-digit numbers. If these numbers are
not correctly identified in the application, a delay in the issuance of the funding award or
incorrect payment to a recipient organization may result.
Organizations aooklim,, for ass EIN should plan on a minimum of two full weeks to obtain
an EIN. For assistance in registering an EIN please contact the 116 lielolirie.
DHS/FEMA cannot assist applicants with questions related to obtaining a current EIN.
Register with the System for Award Management(SAM)
Applicants applying for grant funds electronically through (Q!.-agjts ov must register with
SAM. Step-by-step instructions for registering with SAM can be found here:
h�tl.�:/Jr�����w.Gr�rr�ts.�;����1�veq~��rwr"anis/�rt�C�lic<rr�tsl'�urrmrrr7ira�i�.�m�-r°e�;i:;td•vrtic.�rw�;��e -°�-r�:<.�is�er.
N�,Ith-s:rc°r7.1iui 1. All applicants must register with SAM in order to apply online. Failure
to register with the SAM will result in the application being rejected by Ciralits,2ov
during the submissions process.
Payment under any DHS/FEMA award is contingent on the recipient's having a current
SAM registration. The SAM registration process must be completed by the applicant. It
is imperative that the information provided by the applicant is correct and current. Please
ensure that the organization's name, address,DUNS number, and EIN are up to date in
SAM and that the DUNS number used in SAM is the same one used to apply for all other
DHS/FEMA awards.
SAM registration is a multi-step process including validating the EIN with the 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. SAM
sends notifications to the registered user via email 60, 30, and 15 days prior to expiration
of the SAM registration for the Entity. SAM registration may lapse due to inactivity. To
update or renew the Entity records(s) in SAM applicants will need to create a SAM User
Account and link it to the migrated Entity records.
For assistance registering,please go to SAM or call 866-606-8220. DHS/FEMA cannot
assist applicants with questions related to registering in SAM or obtaining a current
CAGE code.
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Authorized Organizational Representative(AOR)
The next step in the registration process is creating a username and password with
Qrasits.gov to become an AOR. AORs will need to know the DUNS number of the
organization for which they will be submitting applications to complete this process.
Applicants must register the individual who is able to make legally binding commitments
for the applicant organization as the AOR; this step is often missed and it is crucial for
valid submissions. To read more detailed instructions for creating a profile on
(:.ir°trnts.110V visit: I tC :rlti pa tim°.G::7rGrnts.��c�vl r°a to/ar°argt / rra luc rr�ts�� r°r*ur�iz raic�r�
rM�;�xi.sCr���ti��r�/stct�-�-rrscrr��zr�rc-�.a�rs�;rv�rrd'.N�Cr��I.
AOR Authorization
After creating a profile on Grartts.Lov, the E-Biz Point of Contact(POC)who is a
representative from the applicant organization listed as the contact for SAM, will receive
an email to grant the AOR permission to submit applications on behalf of the
organization. The E-Biz POC will then log in to Gnimats.twv and approve an individual as
the AOR,thereby granting permission to submit applications. To learn more about AOR
Authorization,visit: 1�ttr : '� �.Grarrts.m�t�vJrti c1r/ r°arts/� t�rlicr�Csl�ar°m�aarizt6or -.
rc<,istr•trtioii/stet)-4-aior-aLritlltrrizatior).lito-nl. To track an AOR status,visit:
Nett 7� .J'��,��,�Y��,�.(bio°��n�ts,�ov/�vw:h/� r°��m�t:�/�ri��C� i��r�tsl�ar�.��rr°riz�sti��r°r-r°c�i�str°�ti�rr�0*�tct�-5-tr•arcl�-Lacer°_
status.html.
Electronic Signature
Applications submitted through Grants.gov constitute an electronically signed
application. When submitting the application through Grants.gov,the name of the
applicant's AOR will be inserted into the signature line of the application.
Applicants experiencing difficulties accessing information or who have questions should
call the Grsrnts,t_)o\^ customer support hotline at(800) 518-4726 or email Grants.gov at
rnt7 i It�r:;�rmat�ort(�r�t ir'�ar�Cs.,�����w°.
The Federal awarding agency may not make a Federal award to an applicant until the
applicant has complied with all applicable DUNS and SAM requirements and, if an
applicant has not fully complied with the requirements by the time the Federal awarding
agency is ready to make a Federal award,the Federal awarding agency may determine
that the applicant is not qualified to receive a Federal award.
Submitting an Initial Application in Grants.gov
Following completion of the procedures above, all applicants must submit their initial
application through G i; ants sem. Applicants may need to first create a Grants.�,,ov user
profile by visiting the Get Registered section of the Grtrrtt: .k,_,ov website. Successful
completion of this step is necessary for DHS/FEMA to determine eligibility of the
applicant. Applicants should complete this initial step on-line which requires completing:
• Standard Form 424 (SF-424),Application for Federal Assistance, and
• G:.vr°ttrits,,,)�y Certification Regarding Lobbying Form.
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Both forms are available in the Forms tab under SF-424 Family. The initial application
cannot be started or submitted in Grants,iov unless the applicant's registration in SAM is
confirmed.
The information submitted in Grants.a,,ov will be retrieved by ND Grants,which will
allow DHS/FEMA to determine if an applicant is eligible. Applicants are encouraged
to submit their initial application in Grants.gov at least ten days before the June 22,
2017, application deadline.
Applicants experiencing difficulties accessing information should call the Girants.'Zov
customer support hotline at 800-518-4726 or email Grants.Llov at support@grants.gov.
DHS/FEMA cannot assist applicants with questions related to registering with
L1,ra 11 t S�-I m N-
Submitting the Final Application in ND Grants
After Submitting the initial application in Grants.gov, eligible applicants will be notified
by DHS/FEMA after tile initial application is submitted in Grants--ov 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.
In Nt) Grants applicants will be prompted to submit all of the information contained in
the following forms. Applicants should review these forms before applying to ensure
they have all the information required:
• Standard Form 424A, Budget Information(Non-construction);
• Standard Form 424B, Standard Assurances(Non-construction); and
• Standard Form LLL, Disclosure of Lobbying Activities.
In addition, applicants must submit copies of the following in ND Grants:
• Investment Justification; and
• Indirect Cost Agreement, if applicable.
Applicants must submit copies of the following in ND Grants, if applying for
construction projects:
• Standard Form 424C, Budget Information(Construction); and
• Standard Form 424D, Standard Assurances (Construction).
Applicants needing assistance registering for the ND Grants system should contact
or(800) 865-4076.
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HSGP Specific Application Instructions
Development of the Investment Justification (SHSP and UASI)
As part of the FY 2017 HSGP application process for SHSP and UASI funds, applicants
must develop formal investment justifications (Us)that address the proposed
investments.
Each IJ must demonstrate how proposed investments:
• Support terrorism preparedness;
• Address capability gaps identified as State priorities in the most recent SPR
(applicable to states only);
• Align resources that support targets set in the Urban Area, state, and/or regional
THIRAs and national priorities, as outlined in the NPR; and
• Engage and/or impact the whole community, including children, older adults,
pregnant women, individuals with limited English proficiency, individuals with
disabilities and others with access and functional needs, and ensure the protection
of civil rights in the building, sustainment, and delivery of core capabilities.
Each IJ must explain how the proposed investments will support the applicant's efforts
to:
• Prevent a threatened or an actual act of terrorism;
• Prepare for all hazards and threats, while explaining the nexus to terrorism
preparedness;
• Protect citizens, residents, visitors, and assets against the greatest threats and
hazards, relating to acts of terrorism; and/or
• Respond quickly to save lives, protect property and the environment, and meet
basic human needs in the aftermath of an act of terrorism or other catastrophic
incident.
Alignment of Proposed Investments to the THIRA(SHSP and UASI)
As noted above, investments and projects must clearly address capability targets
identified in the THIRA and gaps noted in the SPR.
When completing investment level information, applicants must identify the most
relevant portions of their THIRA, SPR(States only) and Capability Estimation and
explain how the proposed investment will address at least one of the identified capability
gaps. The applicant should use page numbers and reference specific sections of the
THIRA.
Development of Investments and Projects (SHSP)
• Applicants must propose at least one and include up to 10 investments.
• Applicants must propose at least one project within each investment in their IJ to
describe the activities they would plan to implement with SHSP funds. There is
no limit to the number of projects that may be submitted.
• Any projects funded with SHSP funds that are not included in the application
must subsequently be included in the first Biannual Strategy Implementation
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Report(BSIR). For further information on the BSIR, refer to Section F,
subsection llroLrani Performance Revortine Rcouirements of this NOFO.
• Of the proposed investments, recipients Wing SHSP funds are required to
propose one (1)single investment in support of a designated fusion center that
will be ftinded by SHSP ftinds. Recipients must coordinate with the fusion
center when developing a fusion center investment prior to submission.
• Recipients investing in emergency corninUllications must describe Ilow activities,
align to their Statewide Corninunication Interoperable Plan (SCID). Recipients
must coordinate with their Statewide Interoperability Coordinator(SWIC) and/or
Statewide Interoperability Governance Body(SIGB) when developing an
ernergency COMMUnications investment prior to SUbillission to ensure the project
supports the statewide strategy to improve emergency communications and is
compatible and interoperable with surrounding systems.
Development of Investments and Projects (UASI)
• Applicants must propose at least one and include up to 10 investments.
• Urban Areas must propose at least one project within each investment in their U
to describe the activities they are planning to implement with UASI funds. There
is no limit to the number of projects that may be submitted. Any projects funded
with UASI funds that are not included in the application must subsequently be
included in the first BSIR.
• Of the proposed 10 investments, Urban Areas are required to propose one,(1)
single investment in support of a designated fusion center within the Urban Area,
if applicable. Recipients 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 list of proposed investments, describe how UASI funds will be used
by the SAA to directly support the Urban Area.
• Recipients investing in emergency communications must describe how activities
align to the SCIP. Recipients must coordinate with the SWIC and/or 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.
Completing 1Js in the Grant Reporting Tool (GRT) (SHSP and UASI)
The IJ Planning Guide contains the 1.1 template and instructions for collecting the
required information for investments and projects. A rillable version of the IJ template
can be obtained frorn the FEMA HQ Program Analyst. Applicants should contact the
Centralized Scheduling and Information Desk(CSID) for FEMA FIQ Program Analyst
contact information. CSID can be reached by phone at 800-368-6498 or by e-mail at
a,skesid",ii" lhs.g —ov, Monday through Friday.9:00 a.m. 5:00 p.m. EDT. Additionally,
'(
applicants should utilize the Project Worksheet to assemble the information required for
each project, which will facilitate tile input of that information into the GRT.
For more information on how to complete 1Js, refer to the Investment Justification
Planning Guide located on fenia.swv/arants.
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Development of Concept of Operations for OPSG
As part of the FY 2017 OPSG application process, each eligible local unit of government
at the county or Federally-recognized tribal government level must develop a strategic
plan called a Concept of Operations (CONOP)/Application,which is a formal proposal of
action to address a specific situation and forms the basis for Operations Orders (discussed
below), in coordination with state and Federal law enforcement agencies,to include, but
not limited to CBP/USBP. CONOPs 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 CONOP/Application should
describe participating agencies in the Executive Summary. CONOP/Application details
should include the names of the agencies,points of contact, and individual funding
requests. All CONOPs/Applications must be developed in collaboration with the local
USBP sector office,the SAA and the local unit of government. Requests for funding in
CONOPs/Applications must be based on risks and the operational enforcement support
requirements of its corresponding USBP Sector. Sector offices will forward the
CONOPs to USBP Headquarters for vetting and coordination. Applicants will forward
corresponding OPSG Applications to the SAA for submission to FEMA. USBP
Headquarters will reconcile all submitted CONOPs with the OPSG Applications. For
more information, refer to Ainieaadix 1.) — l.°Y 2017 OPSG (: peratimis Ordcr mfenivlatc aaad.
histnictions and Ai)rendix F ,- 01: SG (,'N)erational Guidance of this NOFO.
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 lit tn://wv\vw,f",vs.:,,owh)oIicv/1ibrarvlr,co 12372,Uid0. Name and addresses of
the SPOCs are maintained at the Office of Management and Budget's home page at
Iltl; :llwr+v r. vlaitclac tasc.co de mala/ �aaacs spoc to ensure currency.
Funding Restrictions
Federal funds made available through this award may be used only 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 award, 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.
Additionally, DHS/FEMA has issued 111 407a: Use o ffiraaat Ritids I°m Colit'rol'Icd
r::mflonlent: Un�dtate fair 1�fiscal Year 2017. which has placed further restrictions on
controlled equipment. For more information on the Controlled Equipment List and
Prohibited Equipment, see AXIMidix C - 1'aiaaa:liiw (tilde iaacs.
Environmental Planning and Historic Preservation (EHP) Compliance
As a Federal agency, DHS/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 grant funded projects, comply with federal EHP regulations,
laws and Executive Orders as applicable. Recipients and sub-recipients proposing
projects that have the potential to impact the environment, including but not limited to
Page 14 of 86
FY 2017 HSGP NOFO
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construction of communication towers, modification or renovation of existing buildings,
structures and facilities, or new construction including replacement of facilities, must
participate in the DHS/FEMA EHP review process. The EHP review process involves
the submission of a detailed project description along with supporting documentation so
that DHS/FEMA may determine whether the proposed project has the potential to impact
environmental resources and/or historic properties. In some cases, DHS/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; otherwise, DHS/FEMA may not be able to fund the
project due to non-compliance with EHP laws, executive order, regulations and policies.
Additionally, all recipients are required to comply with GPD EHP Policy Guidance. This
FHP Policy Guidance can be found in FP 108-023-1 at
libr,irv/assets/`dOCLItIlCt7tl,,0'85-'176.and GPD EHP Compliance and Reference
Documentation at:
M_cSe1'v,1tiOF1-cOt)1(2 LUIRIce.
SAFECOM
Recipients and subrecipients who receive awards under HSGP that wholly or partially
provide funding for emergency communication projects and related activities must
comply with Appendix D of the SA]"ECUM Guidance (m Enieruencv Communications
Grants. Appendix D outlines requirements for any FEMA recipient using funds for
emergency communication activities. These requirements include alignment to national
and state communications plans,project coordination,and technical standards for
emergency communications technologies. The SAFECOM Guidance is intended to
ensure that Federally-funded investments are compatible, interoperable, and support the
national goals and objectives for improving emergency communications nationwide. The
signatory authority for the SAA must certify in writing to DHS/FEMA their compliance
with the SAFECOM Guidance on Emergency Communications Grants, specifically
Appendix D. This letter should be coordinated with the SWIC or SWIC equivalent for
each State.
Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes SHSP,
UASI, and OPSG). Recipients are allowed to submit an investment/project where funds
come from multiple funding sources (i.e., SHSP/IJASI); however, recipients 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/FEMA. For additional details on
restrictions on the use of funds, refer to Aonendix C, - Fitiidim, GUidelines.
Indirect (Facilities & Administrative [F&A]) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With
the exception of recipients who have never received a negotiated indirect cost rate as
described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate
agreement with their cognizant federal agency to charge indirect costs to this award. A
copy of the approved rate (a fully executed, agreement negotiated with the applicant's
Page 15 of 86
FY 2017 HSGP NOFO
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cognizant federal agency) is required at the time of application, and must be provided to
DlIS/FEMA before indirect costs are charged to the award.
Pre-award Costs
Pre-award costs are allowable only with the prior written approval of Dl-JS/FEMA and as
included in the award agreement. To request pre-award costs a written request rntist be
included with the application, signed by the Authorized Representative of the entity. 'rile
letter must outline what the pre-award costs are for, including a detailed budget break-out
of pre-award costs from the post-award costs, and A justification for approval.
Cost Principles
Costs charged to this award must be consistent with the Cost Principles for Federal
Awards located at 2 C.F.R. Part 200, Subpart E.
Direct Costs
Planning
Planning related costs are allowed under this program only as described in this NOFO.
Organization
Organization related costs are allowed under this program only as described in this
NOFO.
Equipment
Equipment related costs are allowed under this program only as described in
this NOFO.
Training
Training related costs are allowed under this program only as described in this NOFO.
Exercises
Exercise related costs are allowed under this program only as described in this NOFO.
Personnel
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order
to perform allowable HSGP planning, training, exercise, and equipment activities. Under
the OPSG Program, overtime costs are allowable only in so far as they meet the intent of
the program, Recipients and sub-recipients may not use more than 50%of their awards
to pay for personnel activities Unless a waiver is approved by FEMA, For more
int"bralation on the 50% personnel cap;, please see FP 207-093-1, Clarification on the
Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland
Security Act of 2008 (Public Law 110-412—the PRICE Act) at
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FY 2017 HSGP NOFO
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Operational Overtime
Operational Overtime costs are allowed under this program only as described in this
NOFO. Prior to use of funds for operational overtime, recipients must receive approval
from DHS/FEMA.
Travel
Domestic travel costs are allowed under this program, as provided for in this
NOFO. International travel is not an allowable cost under this program unless approved
in advance by DHS/FEMA.
Construction and Renovation
Construction and renovation costs to achieve capability targets related to preventing,
preparing for, protecting against, or responding to acts of terrorism are allowed under this
program. For construction costs to be allowed,they must be specifically approved by
DHS/FEMA in writing prior to the use of any program funds for construction or
renovation. Limits on the total amount of grant funding that may be used for construction
or renovation may apply. See Ai)i)endi C - Rindioaa GLaideline:s for additional details.
Additionally,recipients are required to submit Standard Form 424C.
Maintenance and Sustainment
Maintenance and Sustainment related costs, such as maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees are allowable as described in FEMA
Policy,Maintenance Contracts and Warranty Coverage Funded by Preparedness Grants
Policy,FP 205-402-125-1 (lattla: wwrwv.!„caa�a.acav/aaacclia-Filararv,� sNets/ lcrc �N �cnts/ 21'74).
Management and Administration (M&A) Costs
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-recipients 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,the state must still ensure that all sub-recipient award
amounts meet the mandatory minimum pass through requirements which are applicable
to each HSGP program. To meet this requirement,the percentage of 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 11I :365; lwlaanaLzcment and ALImini strahtion Costs in the C lonicland Secan°it),.
Gr,awat l)rcaf-wraasn. For additional clarification on OPSG M&A, refer to DHS/FEMA Policy
FP-207-087-1, which can be found at
�aaat.ty,ca ierw1l ecord.c o?id=7837.
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Critical Emergency Supplies
Critical emergency supplies are allowed under this program only as described in this
N0170.
Secure Identification
Secure Identification costs are allowed under this program only as described in this
NOFO.
E. AnWication Review Information
Allocations
Risk Methodology
Based upon the requirements of the Homeland Security Act of 2002, as amended,
DHS/FEMA continues to use risk to determine final HSGP allocations. DHS/FEMA
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
TheDHS/FEMArisk
methodology is focused on three 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
taking into account the potential risk of terrorism to people,critical infrastructure, and
economic security. The analysis includes threats from domestic violent extremists,
international terrorist groups, and individuals inspired by terrorists abroad.
SHSP Allocations
FY 2017 SHSP funds will be allocated based on two factors: minimum amounts as
legislatively mandated,and DHS/FEMA's risk methodology.
Each state and territory will receive a minimum allocation under SHSP using thresholds
established in the lJonzelandSecurity Act q1'2002,as amended. All 50 States,the District
of Columbia, and the Commonwealth Of 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 q1'2002,as amended. Each, of the four territories (American Samoa, Guam,, the
Northern Mariana Islands, and the U.S. Virgin Islands) will receive a rniniMal allocation
of 0.08 percent of the total funds allocated for grants under Section 2003 and 2004 of the
Act(#'2002, as amended. For details on prograrn-specific funding
amounts, refer to A ii)endix A [N 2()l 7 Pro,-,rarn Allocations.
UASI Allocations
FY 2017 UASI funds will be allocated based on DRS/FEMA's risk methodology.
Eligible candidates for the FY 2017 UAS] program have been determined through an
analysis of relative risk of terrorism faced by the 100 most populous Metropolitan
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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 lit ws:/A� ,NN'W.CeIIS U SAUO V/P 1-0 Q I'd III S-S Ll I'Ve Y S/Met 1-0-
in icro.html. For details on program-specific funding amounts,refer to Aivend ix A- I",Y
2017 1)ro,_,rarn Mloc.idons.
OPSG Allocations
The FY 2017 OPSG Risk Assessment is designed to identify the risk to border security
and to assist with the distribution of funds for the grant program. Funding under OPSG is
distributed based on the risk to the security of the border. Entities eligible for funding are
the state, local and tribal law enforcement agencies that are located along the border of
the United States.
For the purposes of OPSG, risk is defined as the potential for an adverse outcome
assessed as a function of threats, vulnerabilities, and consequences associated with an
incident, event, or occurrence.
Based upon ongoing intelligence analysis and extensive security reviews, DHS/CBP
continues to focus the bulk of OPSG funds based upon risk analyses. The risk model
used to allocate OPSG funds considers the potential risk that certain threats pose to
border security and estimate the relative risk faced by a given area. In evaluating risk,
DHS/CBP considers intelligence, situational awareness, criminal trends, and statistical
data specific to each of the border sectors, and the potential impacts that these threats
pose to the security of the border area. For vulnerability and consequence, DHS/CBP
considers the expected impact and consequences of successful border events occurring in
specific areas.
Threat and vulnerability are evaluated based on specific operational data from DHS/CBP.
Threat components present in each of the Sectors are used to determine the overall threat
score. These components are: terrorism,criminal aliens, drug trafficking organizations,
and alien smuggling organizations.
Application Evaluation Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3321 and 41 U.S.C. §
2313 to review information available through any OMB-designated repositories of
government-wide eligibility qualification or financial integrity information. Therefore,
application evaluation criteria may include the following risk-based considerations of the
applicant: (1) financial stability; (2) quality of management systems and ability to meet
management standards; (3) history of performance in managing federal award; (4) reports
and findings from audits; and(5)ability to effectively implement statutory, regulatory, or
other requirements.
FEMA will evaluate FY 2017 HSGP applications for completeness, adherence to
programmatic guidelines, and anticipated effectiveness of the proposed investments.
FEMA's review will include verification that each IJ or project:
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• Aligns to at least one core capability identified in the Goal;
• Effectively addresses capability targets identified in the THIRA and gaps noted in
the SPR; and
+ Supports a NIMS-typed resource and whether those assets are
deployable/shareable to support emergency or disaster operations per existing
SMAC agreements.
In addition to the above, FEMA will evaluate whether proposed projects are: 1) both
feasible and effective at reducing the risks for which the project was designed; and 2)
able to be fully completed within the three-year PoP. FEMA will use the information
provided in the application and after the Submission of the first BSIR to determine the
feasibility and effectiveness of a grant project. Information that would assist in the
feasibility and effectiveness determination includes the following:
* Scope of work(purpose and objectives of the project, identification of what is
being protected, identification of core capability addressed and whether the core
capability is identified in the SPR,where applicable, as a priority);
• Desired outcomes, including expected long-term impact where applicable, and
discussion of which core capability gap it helps to close and how;
+ Summary of status of planning and design accomplished to date (e.g. included in
a capital improvement plan); and
• Project schedule.
Recipients are expected to conform, as applicable, with accepted engineering practices,
established codes, standards, modeling techniques, and best practices, and participate in
the development of case studies demonstrating the effective use of grant funds, as
requested.
Review and Selection Process
SHSP and UASI
To ensure the effectiveness of proposed investments and projects, all applications will
undergo a federal review. The federal review will be conducted by FEMA HQ Program
Analysts. FEMA HQ Program Analysts will use a checklist to verify compliance with all
administrative and eligibility criteria identified in the NOFO. All proposed investments
in core capability POETE elements must align to a capability gap in the SPR. Uswill
be reviewed at both the investment and project level. A program hold may be placed on
any investment which is found to be noncompliant.
Fusion center investments will be jointly reviewed by FEMA and the DHS Office of
Intelligence and Analysis (I&A) for compliance with HSGP NOFO requirements to
prioritize the alignment of requests with results from the annual Fusion Center
Assessment Program. If a fusion center investment does not meet the requirements, a
Fusion Center Addendum must be completed and submitted for review and approval
prior to expending funds allocated to fusion center activities.
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OPSG
Applications will be reviewed by the SAA and USBP Sector Headquarters for
completeness and adherence to programmatic guidelines and evaluated for anticipated
feasibility,need, and impact of the Operations Orders. For more information on
Operations Orders and other requirements of OPSG see A ioeiidix L' --- OPS(J Oi)eratiomtl
Guidance.
DHS/FEMA will verify compliance with all administrative and eligibility criteria
identified in the NOFO and required submission of Operations Orders and Inventory of
Operations Orders by the established due dates. DHS/FEMA and USBP will use the
results of both the risk analysis and the federal review by DHS/FEMA to make
recommendations for funding to the Secretary of Homeland Security.
FY 2017 OPSG funds will be allocated competitively based on risk-based prioritization
using the OPSG Risk Assessment described above. Final funding allocations are
determined by the Secretary,who may consider information and input from various law
enforcement offices or subject-matter experts within the Department. 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 2017 Operation Orders
to designated localities within Border States and territories. For details on program-
specific funding amounts, please refer to Zi2r)eiidix A - 1°'Y 2017 1`r(wram i\llocatioiis.
Supplemental Financial Integrity Review
Prior to making a Federal award where the Federal share is expected to exceed the
simplified acquisition threshold, currently$150,000, DHS/FEMA is required to review
and consider any information about the applicant in the Federal ANNardee Pertbriiiance
and hiteerit"NInComiation System (1'APJ1,S_'), which is also accessible through the SAM
website.
• An applicant, at its option, may review information in FAPIIS and comment on any
information about itself that a Federal awarding agency previously entered.
• DHS/FEMA will consider any comments by the applicant, in addition to the
FAPIIS information, in making a judgment about the applicant's integrity, business
ethics, and record of performance under Federal awards when completing the
review of risk posed by applicants, as described in 2 CFR§200.205.
F. Federal Award Administration Information
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 "award date" for HSGP will be the date that DHS/FEMA approves the
award. The awardee should follow the directions in the notification to confirm
acceptance of the award.
Funds will remain on hold until the recipient accepts the award through the ND Grants
system and all other conditions of award have been satisfied, or the award is other-wise
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rescinded. Failure to accept the grant award within the 90-day timeframe may result in a
loss of funds.
Recipients must accept their awards no later than 90 days from the award date. The
recipient shall notify the awarding agency of its intent to accept and proceed with work
under the award through the ND Grants system. For instructions on how to accept or
decline an award in the ND Grants system, please see the NI) (Jritas 1�eciriient Tntinitia
Manual.
Administrative and National Policy Requirements
All successful applicants for all DHS grant and cooperative agreements are required to
comply with DHS Standard Administrative Terms and Conditions, which are available
online at: M IS Standard Terms and Conditions.
The applicable DHS Standard Administrative Terms and Conditions will be those in
effect at the time the award was made.
Before accepting the award the AOR should carefully review the award package. The
award package includes instructions on administering the grant award and the terms and
conditions associated with responsibilities under Federal Awards. Recipients must accept
all conditions in this NOFO as well as any Special Terms and Conditions in the Notice of
Award to receive an award under this program.
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 SAA to make funds available to
local units of government, combinations of local units,tribal governments, or other
specific groups or organizations. Four requirements must be met to pass-through grant
funds:
• The SAA must make a firm written commitment to pass through grant funds to
sub-recipients;
• The SAA's commitment must be unconditional (i.e., no contingencies for
availability of SAA funds);
• There must be documentary evidence (i.e., award document, terms and
conditions)of the commitment; and
• The award terms must be communicated to the sub-recipient.
Timing and Amount
The SAA must pass-through at least 80 percent(80%)of the funds awarded under SHSP
and UASI to local or tribal units of government within 45 calendar days of receim of the
funds. "Receipt of the funds"occurs either when the SAA accepts the award or 15
calendar days after the SAA receives notice of the award, whichever is earlier.
SAM are sent notification of their HSGP awards via the Grant Program Directorate's
(GPD)Non-disaster(ND) Grants system. If an SAA accepts its award within 15 calendar
days of receiving notice of the award in the ND Grants system,the 45-calendar days
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pass-through period will start on the date the SAA accepted the award. Should an SAA
not accept their HSGP award within 15 calendar days of receiving notice of the award in
the ND Grants system, the 45-calendar days pass-through period will begin 15 calendar
days after the award notification is sent to the SAA via the ND Grants system.
It is important to note that the PoP start date does not directly affect the start of the 45-
calendar days pass-through period. For example, an SAA may receive notice of their
HSGP award on August 20,2017,while the PoP dates for that award are September 1,
2017 through August 31, 2019. In this example,the 45-day pass-through period will
begin on the date the SAA accepts their HSGP award or September 4, 2017 (15 calendar
days after the SAA was notified of the award),whichever date occurs first. The PoP start
date of September 1, 2017, would not affect the timing of meeting the 45-calendar-day
pass-through requirement.
Other SHSP and UASI Pass-Through Requirements
The signatory authority of the SAA must certify in writing to DHS/FEMA that pass-
through requirements have been met. A letter of intent(or equivalent)to distribute funds
is not considered sufficient. The pass-through requirement does not apply to SHSP
awards made to the District of Columbia, Guam, American Samoa,the U.S. Virgin
Islands, and the Commonwealth of the Northern Mariana Islands. The Commonwealth of
Puerto Rico is required to comply with the pass-through requirement and its SAA must
also obligate at least 80 percent(80%)of the funds to local units of government within 45
calendar days of receipt of the funds. Any UASI funds retained by the SAA must be used
to directly support the designated Urban Areas in the state. The SAA must propose an
investment describing how such UASI funds it retains will be used to directly support the
Urban Area.
Under SHSP, the SAA may retain more than 20 percent(20%)of 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, specifying the amount of funds to be
retained and the intended use of funds. States shall review their written consent
agreements yearly and ensure that they are still valid. If a written consent agreement is
already in place from previous fiscal years, DHS/FEMA will continue to recognize it for
FY 2017, unless the written consent review indicates the local government is no longer in
agreement. If modifications to the existing agreement are necessary,the SAA should
contact their assigned FEMA HQ Program Analyst.
Additional OPSG Requirements
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 budget has been reviewed and approved throligliall
official electronic mail notice issued by DfIS/FEMA rernoving this special programmatic
condition.
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Reporting
Recipients are required to submit various financial and programmatic reports as a
condition of award acceptance. Future awards and funds drawdown may be withheld if
these reports are delinquent.
Federal Financial Reporting Requirements
Federal Financial Report(FFR)
Recipients must report obligations and expenditures on a quarterly basis through the FFR
(SF-425)to DHS/FEMA. Recipients must file the FFR electronically using the Pavment
and Reporting Svsteius WARS). A FFR must be submitted quarterly throughout the POP,
including partial calendar quarters, as well as for periods where no grant award activity
occurs. Future awards and fund drawdowns may be withheld if these reports are
delinquent, demonstrate lack of progress, or are insufficient in detail.
Recipients may review the Federal Financial Reporting Form (FFR)(SF-425) at:
litt ns://Ww\v.iara tits. sh)ost-award-revorti m-,-forms.ht ni 19sortbv=1,
SF-425 OMB #4040-0014.
Financial Reporting Periods and Due Dates
The following reporting periods and due dates apply for the FFR:
October I —December 31 January 30
January I —March 31 April 30
April I —June 30 July 30
July I —September 30 October 30
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
perfort'ned in accordance with the requirements of Governrnent and Accountability
Office's (GAO) Government Auditing Standards, located at
lit t 0,//w Nvw.,-Yao.o o v/uo%/a u(1/vbkO 1.11 tin, and the requirements of Subpart F of 2 C.F.R.
Part 200, located at .2W I'
Program Performance Reporting Requirements
Performance Progress Reports (PPRs)
Recipients are responsible for providing updated performance reports on a biannual basis
as an attachment in ND Grants.
The PPR should include the following:
• A brief narrative of the overall project status;
• A summary of project expenditures; and
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FY 2017 HSGP NOFO
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A description of any potential issues that may affect project completion.
As part of the PPR, recipients will be required to report the following information related
to fusion center projects:
Progress toward addressing shortfalls identified by their annual Fusion Center
Assessment results.
Program Performance Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:
I 11 WIN !1V
gain
1
January I —June 30 J_July 30
July I —December 31 January 30
Additional Programmatic Reporting Requirements and Information
Biannual Strategy Implementation Report(BSIR)
In addition to the quarterly financial and biannual performance progress reports,
recipients are responsible for completing and submitting BSIRs through the Grants
Reporting Tool (GRT), The BSIR is due within 30 days after the end of the reporting
period (July 30 for the reporting period of January I through June 30 (the summer BSIR
report); and January '-')0 for the reporting period of July I through December 31 (winter
BSIR report), 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, 2017 (30 days after the end of the first reporting period for
the award). Subsequent BSIR reports will require recipients to report on a project-by-
project basis.
State Preparedness Report(SPR)
The SPR is an annual capability assessment. The Post-Katrina Emergency Management
Re
,lbrin Act oj'2006 (PKE"XIRA) reClUires an SPR from any state/territory receiving
Federal preparedness assistance administered by DHS/FEMA, Each state submits an
annual SPR to DHS/FEMA.
UASI recipients can complete an SPR on a voluntary basis. Completing a SPR helps
identify capability gaps and prioritize investments required to reach the THIRA targets,
resulting in a stronger investment justification. Refer to A m.)endix [3 — F'N" 2017 1 ISQ13
Prograin Priorities for additional guidance on SPR requirements.
Threat and Hazard Identification and Risk Assessment(THIRA)
States,territories, and Urban Areas should review and, if necessary, revise and update
their THIRAs on an annual basis. A single THIRA submission will support multiple
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grant awards received by ajurisdiction. This submission is valid for the entire PoP of the
individual grant award(s).
Further details on the THIRA as it relates to HSGP Program requirements can be found
in Aonendix B-ProLmmi 1"riorities. For additional guidance on THIRA,please refer to
CPG 201, Second Edition, available at M1ttp. \N,�feln a,Qo v/(J)ral 1-a lid-hazard-
Emergency Operations Plan (EOP)
Recipients 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. Recipients will use the Unified Reporting
Tool (URT)to report their compliance with this reporting requirement.
Supplemental Information Reporting Systems
In addition to ND Grants,the following information systems are used for the submission
of required reports:
Grant Reporting Tool(GRT)
The Grants Reporting Tool (GRT) is the system in which HSGP recipients will
submit their BSIR information. HSGP recipients are responsible for filing a semi-
annual BSIR report in the GRT and should register to create an account as soon as
possible. Recipients should go to the following link and follow the links to create
a new account: This report is used to track
the progress toward the completion of projects.
FY 2017 Unified Reporting Tool (URT)
The URT is DHS/FEMA's collection mechanism for THIRA, SPR,and related
preparedness information. The FY 2017 URT includes questions related to NIMS
adoption and implementation, CPG 10 1 Q compliance, and other preparedness
questions, as appropriate. Information on the URT, including when recipients
will receive the tool and how to use the tool, will be sent to recipients later in
2017.
Closeout Reporting Requirements
Within 90 days after the end of the PoP, or after an amendment has been issued to close
out a grant,whichever comes first, recipients must submit a final FFR and final progress
report detailing all accomplishments and a qualitative summary of the impact of those
accomplishments throughout the PoP, as well as the following documentation:
1) Final request for payment, if applicable;
2) SF-425 —Final FFR;
3) Final Performance Progress Report;
4) A qualitative narrative summary on the impact of those accomplishments
throughout the entire PoP submitted to the respective FEMA HQ Program
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Analyst,which includes a description of progress made in closing core capability
gaps identified in the SPR and reaching THIRA targets; and
5) Other documents required by program guidance or terms and conditions of the
award.
After these reports have been reviewed and approved by DUIS/FEMA, a close-ot,it notice
Nvill be completed. The notice MH indicate the Poll as closed, list any remaining funds
that will be de-obligated, and address the requirement of maintaining the grant records for
three years from the date of the final FFR.
In addition, any HSGP recipient that issues sub-awards to any sub-recipient is responsible
for closing out those sub-awards as described in 2 C.F.R. § 200.343. HSGP recipients
must ensure that they complete the closeout of their sub-awards in time to submit all
necessary documentation and information to DHS/FEMA during the closeout of their
own grant award.
The recipient is responsible for returning any funds that have been drawn down but
remain as unliquidated on recipient financial records.
G. DHS/FEMA Awardine A2encv Contact Information
Contact and Resource Information
Centralized Scheduling and Information Desk(CSID)
CSID is a non-emergency comprehensive management and information resource
developed by DHS/FEMA for grant stakeholders. CSID provides general information on
all DHS/FEMA grant programs and maintains a comprehensive database containing key
personnel contact information at the federal, state, and local levels. When necessary,
recipients 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 ataskcsid(ii)(His.gov, Monday through Friday, 9:00 a.m.—5:00 p.m. EST.
GPD Grant Operations Division
GPD's Grant Operations Division Business Office provides support regarding financial
matters and budgetary technical assistance. Additional guidance and information can be
obtained by contacting the FEMA Call Center at 866-927-5646 or via e-mail to ASK-
G'NflYddhs.m.
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. Contact information for the
ten FEMA Regions is available at the following websites:
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Region I
Region 11
Region III httns://\v v,vw.fe ma,gov/ret_,i orl- -dQ-de-rtid-pa-va-Ny v
Region IV Clit \v\V fe Ina.�'_Iov/rca io Ii-i v-a I-11-�,,a-kv-in s-tic-se-tti
Region V
Region VI hit I)S://W,ww 1enla,L'Ov/rei-,ion-V i-arkarlsas-lott is iaiia-lie\\,-rrtex ic!o-ok hflioira-texas
Region VII ii-ia-ks-lno-ne
Region VIII
Region IX
oacific-islands
Region X Cenia,00v/1'Cill iO,11-X-Coiitict-i'iit*orti'iit ion-ak-id-Or-\va
GPD Environmental Planning and Historic Preservation (GPD EHP)
The DHS/FEMA GPD EHP Team provides guidance and information about the EHP
review process to recipients and sub-recipients. All inquiries and communications about
GPD projects or the EHP review process, including the submittal of EHP review
materials, should be sent to EHP Technical Assistance,
including the EHP Screening Form, can be found online at:
Liance.
Systems Information
Grants.2ov. For technical assistance with Grants,
please call the customer support
hotline at(800) 518-4726.
Non-Disaster(ND) Grants. For technical assistance with the ND Grants system, please
contact or(800) 865-4076.
H. Additional Information
National Preparedness
The National Preparedness Goal defines what it means for the whole community to be
prepared for all types of disasters and emergencies. The National Preparedness System is
the instrument the Nation employs to build, sustain, and deliver core capabilities in order
to achieve the Goal of a secure and resilient Nation.
DHS/FEMA coordinates with local, state,territory, and tribal governments as well as the
private and non-profit sectors to facilitate a whole community,risk-driven, and
capabilities-based approach to preparedness. This risk-driven, capabilities-based
approach is grounded in the identification and assessment of risk through the
THIRA. For additional information on THIRA, please refer to:
Litt I)W"I'wv W.,66,11a.iw V/th reat-and-hazard-ident i ri ca I i on-a nd-ri sk-a ssessirl ell t. Recipients
should review and, if necessary, revise and update their THIRAs on an annual basis 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 at Additional details
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FY 2017 HSGP NOFO
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regarding the National Preparedness System and how it is supported by HSGP can be
found in Aonemlix B - l'i°t..)a'ram Priorities.
Active Shooter Preparedness
DHS aims to enhance national preparedness through a whole community approach by
providing the necessary products,tools, and resources to help all stakeholders prepare for
and respond to an active shooter incident. To that end,DHS has developed a
comprehensive "Active Shooter Preparedness"website,which includes a variety of
informational resources. The website address is: l�tt�as:r"lr»���° , .cllas. t °/active-slootet-
fEi
ltaw�clrt°s .
In addition,within the Homeland Security Information Network(HSIN),the Joint DHS
and FBI Countering Violent Extremism (CVE) and Active Shooter Web Portal provides a
restricted-access forum to share Unclassified For Official Use Only(FOUO), Sensitive
but Unclassified(SBU), and Law Enforcement Sensitive (LES) Information. The portal
provides users and training practitioners with accurate, appropriate, and relevant CVE
and Active Shooter training development resources, subject-matter expert information,
and outreach initiatives. It also has forums to provide feedback,products useful to
others, and allows participants to ask questions concerning CVE or the Active Shooter
Program. Persons with a job-related duty, public service interest, or who support a CVE
and/or Active Shooter program can request access into this Portal. Additional
information can be found on the DHS website at: l�ttl :// °awv.t9l�s. ��r°/cwcmta- oltall .
States,territories, and Urban Areas are encouraged to review the referenced active
shooter guidance, evaluate their preparedness needs in conjunction with, or supplemental
to,their THIRA and SPR processes, and to utilize preparedness grant funds as necessary
to address any capability gaps identified in this area.
Expanded Allowable Costs for General Purpose Equipment
HSGP allows expenditures on general purpose equipment if it aligns to and supports one
or more core capabilities identified in the Goal and has a nexus to terrorism. General
purpose equipment must be sharable through the Emergency Management Assistance
Compact(EMAC) 1 and allowable under 6 U.S.C. § 609. Examples of such general
purpose equipment may include:
• Law enforcement vehicles;
• Emergency medical services (EMS) equipment and vehicles;
• Fire service equipment and vehicles,to include hose,pump accessories, and foam
concentrate for specialized chemical, biological, radiological, nuclear, and
explosives (CBRNE) response; and
' Except for American Samoa and the Commonwealth of the Northern Mariana Islands which are not required to
belong to EMAC at this time.
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Office equipment for staff' engaged in homeland security program activity.
Equipment allowability is based on the Authorized Equipment List(AEL) but exceptions
may be considered on a case-by-case basis if(1)the equipment identified to be purchased
directly maps to a core capability contained within the Goal 3, and (2)the equipment's
purpose (when operational) falls under the permitted use of funds in accordance with the
Homeland Security Act of 2002, as amended.
Payments
DHS/FEMA uses the Paymentand Rworli[w) Svstem WARS) for financial reporting,
invoicing and tracking payments.
DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer(DD/EFT) method of
payment to recipients. To enroll in the DD/EFT, recipients must complete a Standard
Form 1199A, Direct Deposit Form.
Monitoring and Evaluation
Recipients will be monitored on an annual and as needed basis by DHS/FEMA staff, both
programmatically and financially, to ensure that the project goals, objectives,
perrorniance requirements, timelines, milestone completion, budgets, and other related
program criteria are being met.
Monitoring may be accomplished through desk-based reviews, 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.
Case Studies
As part of its grant oversight responsibility, FEMA is conducting a series of grant
effectiveness case studies jointly with grant recipients to highlight how states and urban
areas have used federal grants to improve preparedness. The purpose of the project is to
better understand the factors that jurisdictions consider when determining which grant
projects to fund, how grant recipients measure grant effectiveness, and to document key
findings and success stories that will help both grant recipients and FEMA more
effectively communicate the importance: of federal grant programs to policymakers and
the public. Although not mandatory, recipients are encouraged to participate given the
mutual benefits to be gained from this collaborative effort.
Conflict of Interest
To eliminate and reduce the impact of conflicts of interest in the sub-award process,
recipients and sub-recipients must follow their own policies and procedures regarding the
This applies to all homeland security personnel,and is not limited to management and administration staff,and
costs are to be captured outside the cap on management and administration costs.
https://www.fema.gov/media-library/assets/documents/25959
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FY 2017 HSGP NOFO
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elimination or reduction of conflicts of interest when making sub-awards. Recipients and
pass-throtigh entities are also required to follow any applicable Federal, state, local,
tribal, or territorial statutes or regulations governing conflicts of interest in the inaking of
sub-awards.
The recipient or sub-recipient must disclose to the respective Program Analyst, in
writing, any real or potential conflict of interest as defined by the Federal, state, local,
tribal or territorial statutes or regulations or their own existing policies, which may arise
during the administration of the Federal award within five days of learning of the conflict
of interest. Similarly, sub-recipients must disclose any real or potential conflict of
interest to the pass-through entity as required by the recipient's conflict of interest
policies, or any applicable Federal, state, local,tribal, or territorial statutes or
regulations.
Conflicts of interest may arise during the process of DHS/FEMA making a Federal award
in situations where an employee, officer, or agent, any members of his or her immediate
family, his or her partner has a close personal relationship, a business relationship, or a
professional relationship, with an applicant, sub-applicant, recipient, sub-recipient, or
DHS/FEMA employees.
Extensions
Extensions to this program are allowed. Extensions to the initial PoP identified in the
award will only be considered through fort-nal,written requests to the recipient's FEMA
HQ Program Analyst and must contain specific and compelling justifications as to why
an extension is required. SAAs are advised to coordinate with the FEMA 14Q 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 PoP 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 PoP
without any modification to the original Statement of Work, as described in the
investment justification and approved by DHS/FEMA.
Extension requests will be granted only due to compelling legal, policy, or operational
challenges. Extension requests will only be considered for the following reasons:
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FY 2017 HSGP NOFO
Agreement No. 5619
• Contractual commitments by the grant recipient with vendors or sub-recipients
prevent completion of the project within the existing PoP;
• The project must undergo a complex environmental review that cannot be
completed within this timeframe;
• Projects are long-term by design and therefore acceleration would compromise
core programmatic goals; and
• Where other special circumstances exist.
Recipients must submit all proposed extension requests to DHS/FEMA for review and
approval no later than 120 days prior to the end of the PoP. In accordance with GPD
policy, extensions are typically granted for no more than a six month time period.
Page 32 of 86
FY 2017 HSGP NOFO
Agreement No. 5619
Appendix A — FY 2017 HSGP Program Allocations
FY 2017 SHSP Allocations
IN!
Oman=
Alabama $3,752,000
Alaska $3.752,000
American Samoa $857,600
Arizona $4,551,000
Arkansas $3,752,000
California $60,159,500
Colorado $3,963,000
Connecticut $3,962,000
Delaware $3,752,000
District of Columbia $4,124,500
Florida $11,023,500
Georgia $6,790,000
Guam $857,,600
Hawaii $3,752,000
Idaho $3,752,000
Illinois $16.3,91,500
Indiana $3,962,000
Iowa $3,752,000
ti Kansas $3,752,000
Kentucky $3,962,000
Louisiana $3,962,000 i
Maine $3,752,000
Maryland $6,136,500
Massachusetts $5,628,000
Michigan $6,641,000
Minnesota $3,962,000
Mississippi $3,752,000
Missouri $3,962,000 1
Montana $3,752,000
Nebraska $3,752,000
Nevada $3,752,000
New Hampshire $3,752,,000
New Jersey $8,337,000
New Mexico $3,752,000
New York $76,930,000
North Carolina $5,472,000
North Dakota $3,752,000
Northern Mariana Islands $857,600
Page 33 of 86
Appendix A—FY 2017 HSGP Program Allocations
Agreement No. 5619
Ohio MEEMM $7.681,000
Oklahoma $3.752,000
Oregon $1822,100
Pennsylvania $10,037,500
Puerto Rico g $3,752,000
Rhode Island $3,752,000
South Carolina $3,752,000
South Dakota $3,752,000
Tennessee $3,962,000
Texas $21,481.000
U.S. Virgin Islands $857,6010
Utah $1752,000
Vermont $3,752,000
Virginia $7,428,500
Washington $6,476,000
West Virginia $31.752,000
Wisconsin $3,962.000
wyomijig $3,752,000.
Total $402,000,000
Page 34 of 86
Appendix A—FY 2017 HSGP Program Allocations
Agreement No. 5619
FY 2017 UASI Allocations
W!1:
Arizona Phoenix Area $5,180010
California Anaheim/Santa Ana Area $5,180.000
Bay Area $27,536.000
Los Angeles/Long Beach Area $68,110,000
Riverside Area $2,837,000
Sacramento Area $
San Diego Area $16,1581,000
Colorado Denver Area $2.837,000
District of Columbia National Capital Region $52,809,000
Florida Miami/Fort Lauderdale Area $5,180,000
Tampa Area $2,837,000
Georgia Atlanta Area $8,430,000
Illinois Chicago Area $68,110,0001
Indiana Indianapolis Area $1,000,000
Baltimore Area $4,212,000 1
Massachusetts Boston Area $17.270M0
Michigan Detroit Area $5,180,000
Minnesota Twin Cities Area $5,180,000
Missouri St. Louis Area $2,837,000
Nevada Las Vegas Area $2.837,000
New Jersey Jersey City/Newark Area
New York New York City Area $178,123,000
North Carolina Charlotte Area $2,837,000
Ohio Cleveland Area $2,837,000
�on Portland Area $2,837,000
Pennsylvania Philadelphia Area $17,763,000
Pittsburgh Area $2,837,000
Texas Dallas/Fort Worth/Arlington Area $14,802.000
Houston Area $23.193.0100
San Antonio Area $1,010,001)
Utah Salt Lake City Area $1,000.0100
Virginia I-lanipton Roads Area $1,000,000
Washington Seattle Area $5.180,000
rotai $580,000,000
Page 35 of 86
Appendix A—FY 2017 HSGP Program Allocations
Agreement No. 5619
FY 2017 SHSP and UASI LETPA Minimums
IBM!
ULM=
Alabama $3,752,000 $3,752,000 $938,000
Alaska $3,752,000 $3,752,000 $938,000
American $857,600 $857,600 $214,400
Samoa
Arizona Phoenix Area
$5,180000 $5,180,000 $3,752,000
$9,731,000 $2,432,750
Arkansas Anaheim/Santa $3,752,000 $938,000
$5,180,000
Ana Area
Bay Area $27,536,000
Los
California Angeles/Long $68,110,000 $122,658,000 $60,159,500 $182,817,500 $45,704,375
Beach Area
Riverside Area $2,837,000
Sacramento $2,837,000
Area
San Diego Area $16,158,000
Colorado Denver Area $2,837,-60-0-1 $2,837,000 $3,963,000 $6,800,000 $1,700,000
Connecticut
Delaware 1:7L3,,962,000 $3,962,000 $990,500
$3,752,000 $3,752,000 $938,000
District of National Capital $52,809,000 $52,809,000 $4,124,500 $56,933,500 $14,233,375
Columbia Region
Miami/Fort
o5,180,000
Florida Lauderdale Area $8,017,000 $11,023,500 $19,040,500 $4,760,125
Tampa Area $2,837,000
Georgia Atlanta Area $8,430,000 $8,430,000 $6,790,000 $15,220,000 $3,805,000
Guam $857,600 $857,600 $214,4001
Hawaii $3,752,000 $3,752,000 $938,000
Idaho4 $3,752,000 $3,752,000 $938,000
Illinois Chicago Area $68,110,060 $68,110,000 $16,391,500 L$84,501,560 $21,125,375
Indiana Indianapolis $1,000,000 $1,000,000 $3,962,000 $4,962,000 $1,240,500
Area
Iowa $3,752,000 $3,752,000 $938,000
Kansas $3,752,000 $3,752,000 $938000
Kentucky $3,962,000 $3,962,000 $990500
:
Louisiana W $3,962,000 $3,962,000 $990,500
Maine $3,752,000 $3,752,000 $938,000
Maryland Baltimore Area $4,212,000 J $4,212,000 i $6,136,500 $10,348,500 1j2,587,125
—Massachusetts Boston Area $17,270,000 $17,270,000 $5,628,000 $22,898,000 $5,724,500
Michigan Detroit Area $5,180,000 $5,180,000 $6,641,000 $11,821000 $2,955,250
Minnesota Twin Cities $5,180,000 $5,180,000 $3,962,000 $9,142,000 $2,285,500
Area
Mississippi $3752000 $3,752000 $938,000
Missouri- St.Louis Area $2,837,000 $2,837,000 $3:962:000 $6,799:000 $1,699,750
Montana $3,752,000 $3,752,000 $938,000
Page 36 of 86
Appendix A-FY 2017 HSGP Program Allocations
Agreement No. 5619
Nebraska $3,752,000 $3,752,400 0
Nevada Las Vegas Area ' $2,837,000 $2,837,000 a $3,752,400 $6,589,400 0
New $3,752,000 $3,752,000 $938,000
Hampshire
Jersey
New Jersey City/Newark $20,034,000 $20,034,000 $8,337,000 $28,371,000 $7,092,750
Area I
New Mexico $3,752,000 $3,752,000 $938,000
Ar
ew York City
New York i rea $178,123,000 $178,123,000 $76,930,000 $255,053,000 $63,763,250
North Carolina Charlotte Area $2,837,000 $2,837,000 $5,472,000 $8,309,000 $2,077,250
North Dakota $3,752,000 $3,752,000 $938,000
Northern $857,600 $857,600 $214,400
Mariana Islands
Ohio Cleveland Area $2,837,000 $2,837,000 $7,681,000 $10,518,000 $2,629,500
Oklahoma $3,752,000 $3,752,000 $938,000
1-Oregon Portland Area $2,837,000 $2,837,000 $3,822,100 $6,659,100 $1,664,775
6 Philadelphia $17,763,000
Pennsylvania Area $20,600,000 $10,037,500 $30,637,500 $7,659,375
Puerto Rico Pittsburgh Area $2,837,000 $3,752,000 $3,752,000 $938,000
Rhode Island $3,752,000 $3,752,000 $938,000
South Carolina $3,752,000 $3,752,000 $938,000
South Dakota $3,752,000 $3,752,000 $938,000
Tennessee $3,962,000 $3,962,000 $990,500
Dallas/Fort
Worth/Arlington $14,802,000
Texas Area $38,995,000 $21,481,000 $60,476,000 $15,119,000
Houston Area $23,193,000
4 San Antonio $1,000,000
Area
U.S. Virgin $857,600 $857,600 $214,400
Islands I
Utah Salt Area Lake City $1,000,000 $1,000,000 $3,752,000 $4,752,000 $1,188,000
1 1
Vermont $3,752,000 $3,752,000 $938,000
Virginia 1 Area Hampton Roads $1,000,000 $1,000,000 $7,428,500 $8,428,500 $2,107,125 I I
Washington Seattle Area $5,180,000 $5,180,000 $6,476,000 $11,656,000 $2,914,000
West Virginia $3,752,000 $3,752,000 $938,000
Wisconsin $3,962,000 $3,962,000 $990,500
Wyoming $3,752,000 $3,752,000 $938,000
Total 580,000,000 580,000,000 402,000,000 982,000,000 245,500,000
Page 37 of 86
Appendix A—FY 2017 HSGP Program Allocations
Agreement No. 5619
FY 2017 OPSG Eligible States and Territories
Alabama Massachusetts Pennsylvania
Alaska Michigan Rhode Island
Arizona Minnesota South Carolina
California Mississippi Texas
Connecticut Montana Vermont
Delaware New 1~lanipshim 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 i Ohio Guam
Maryland Oregon Northern Mariana Islands
Note:Not all applicants are guaranteed to receive funding under the FY 2017 OPSG.
Page 38 of 86
Appendix A—FY 2017 HSGP Program Allocations
Agreement No. 5619
Appendix B — FY 2017 HSGP Program Priorities
Alignment of HSGP to the National Preparedness System
The Nation uses 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,, whole
community,risk-informed, capabilities-based approach to preparedness. Complex and far-
reaching threats and hazards require the engagement of individuals, families, communities,
private and nonprofit sectors, faith-based organizations,and all levels of government
(httv://NNm,kx.fenui.uov/who le-con?III Lin itv).
Recipients will use the components of the National Preparedness System to support building,
sustaining, and delivering these core capabilities. 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. Additional information on the National Preparedness System is available at
The FY 2017 HSGP contributes to the implementation of the National Preparedness System by
financially supporting the ability of States and local jurisdictions to build, sustain, and deliver
core capabilities identified in the Goal. The HSGP's allowable costs support efforts across the
Prevention, Protection, Mitigation, Response, and Recovery mission areas. A key focus and
requirement of the HSGP is to prevent terrorism and other catastrophic events and to prepare the
Nation for the threats and hazards that pose the greatest risk to the security of the United States,
and the greatest risks along the Nation's Borders. When applicable, funding should support
deployable assets that can be used anywhere in the Nation through automatic assistance and
IIILALial aid agreements, including but not limited to the Ernergency Management Assistance
Compact(EMAC).
Recipients are expected to consider national areas for improvement identified in the 2016
National Preparedness Report as they relate to terrorism preparedness. They include
cybersecurity; econornic recovery; housing; infrastructure systems; natural and cultural
resources; and supply chain integrity and security. Addressing these areas for improvement will
enhance preparedness nation-wide. Minimum funding amounts are not prescribed by the
Department for these priorities; however, recipients are expected to support state, local, regional,
and national efforts in achieving the desired outcomes of these priorities.
In addition, DHS/FEMA requires recipients to prioritize grant funding to address capability gaps
identified through the THIRA and SPR process. These assessments identify the jurisdiction's
capability targets, current ability to meet those targets, and capability gaps. Recipients must
prioritize grant funds to address high-priority core capabilities with low capability levels.
The FY 2017 FISGI) supports investments that improve the ability of jurisdictions nationwide to:
Page 39 of 86
Appendix B—FY 2017 HSGP Program Priorities
Agreement No. 5619
• Prevent a threatened or an actual act of terrorism;
• Protect citizens, residents,visitors, and assets against the greatest threats that pose the
greatest risk to the security of the United States;
• Mitigate the loss of life and property by lessening the impact of future catastrophic
events;
• Respond quickly to save lives, protect property and the environment, and meet basic
human needs in the aftermath of a catastrophic incident; and/or
• Recover through a focus on the timely restoration, strengthening, accessibility 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; and do so in a manner that engages the whole community while
ensuring the protection of civil rights.
The core capabilities contained in the Goal are highly interdependent and require the use of
existing preparedness networks and activities, improved training and exercise programs,
innovation, and appropriate administrative, finance, and logistics systems.
Reporting on the Implementation of the National Preparedness System
1(lentif 9
yingandAssessin Risk and Estimating Cqpabfflty Requirements
States, territories, and Urban Areas should review and, if necessary, revise and update their
THIRAs on an annual basis. A single THIRA submission will support multiple grant awards
received by a jurisdiction. This submission is valid for the entire PoP of the individual grant
award(s). The THIRA, a four-step risk assessment process, 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 tbr important corninUnity-specific
characteristics. CPG 201, Second Edition is available at
hazard-identif
In step four of the THIRA process, ajurisdiction estimates the resources required to deliver the
capability targets set in their"rl--iIRAs. Communities express resource requirements as a list of
whole community resources needed to successfully achieve their capability targets, Each
jurisdiction should decide which combination of resources is most appropriate to achieve its
capability targets.
The SPR is an annual self-assessment of state preparedness submitted by the 56 States and
territories to DHS/FEMA. The Post-Katrina Einergenqv Management Re
,form pct off"2006
(PKEMRA)requires an SPR from any state or territory receiving Federal preparedness
assistance administered by the Department of Homeland Security.
Reporting
• Urban Areas Should review and, if necessary, revise and update their'rHIRAs on
an annual basis. UASIs Should submit their updated THIRAs to the designated
SAA. THIRA updates should be in alignment with CPG 201, Second Edition.
Page 40 of 86
Appendix B—FY 2017 HSGP Program Priorities
Agreement No. 5619
Urban Areas should coordinate internally to ensure THIRAs represent all
jurisdictions within the Urban Area.
o For FY 2017, if any updates are made to an Urban Area THIRA, Step 4 of
the THIRA should be completed for all Response and Recovery core
capabilities, including the core capabilities common to multiple mission
areas.
• States and territories should review and, if necessary,revise and update their
THIRAs on an annual basis. States and territories should submit their THIRA
updates along with their annual SPR through the URT and email a copy of the
URT submission to their respective FEMA Regional Federal Preparedness
Coordinator(refer to the FENIA 1�evion websites above) and copy fema-
spr@fema.dhs.gov. THIRA submissions should be in alignment with CPG 201,
Second Edition.
o For FY 2017, SHSP recipients should complete Step 4 of the THIRA for all
Response and Recovery core capabilities, including the common core
capabilities for those mission areas.
• States and territories must submit their SPRs to FEMA no later than December 31
each year. SAAB should coordinate with eligible Urban Areas in advance of this
deadline to include the Urban Area's input when conducting the statewide SPR
assessment.
Building and Sustaining Capabilities
States are,required to prioritize grant funding for building and sustaining capabilities in areas
with capability gaps identified through the THIRA and SPR process.
Reporting
• In each HSGP recipient's BISIZ, as part of programmatic monitoring, recipients
will be required to describe how expenditures support maintenance and
sustainincilL of core capabilities. HSGP recipients will, on a proJect-by-project
basis,check one of the following:
- Building a capability acquired with HSGP funding; or
- Sustaining a capability acquired with HSGP funding.
NIMS Implementation
Recipients receiving HSGP funding are required to implement NIMS. NIMS defines a national,
interoperable approach for sharing resources, coordinating and managing incidents, and
communicating information. Incident management refers to how incidents are managed across
all homeland security activities, including prevention, protection, mitigation,response, and
recovery. FY 2017 HSGP recipients must use standardized resource management concepts for
resource typing, credentialing, and in inventory to facilitate the effective identification, dispatch,
deployment,tracking and recovery of resources.
Reporting
• Recipients report on NIMS implementation through the URT.
Page 41 of 86
Appendix B-FY 2017 HSGP Program Priorities
Agreement No. 5619
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
'To that end, DFIS/FEMA
preparedness grants will continue to SLIpport designated state and major Urban Area fusion
centers (lit to-Wwww A li;� uov/ftis i on-ce ii ter-locat i ons-and-contact-i n form at i on) and the maturation
of the Information Sharing Environment(ISE).
The national network of fusion centers (National Network)provides a mechanism for the Federal
Government to receive information from state, local, tribal, and territory partners, which helps
create a more complete threat picture at the National level. Participating in the Nationwide
Suspicious Activity Reporting(SAR) Initiative enables fusion centers to receive and analyze
suspicious activity reporting from frontline public safety personnel, the private sector, and the
public, and ensure the sharing of SAR with the Federal Bureau of Investigation's Joint Terrorism
Task Forces for further investigation.
In support of this strategic vision,the DHS/FEMA is requiring designated state and major Urban
Area fusion centers to participate in an annual assessment of their performance.
As maturation of the National Network continues to be a high-priority in FY 2017, DHS/FEMA
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. The single
investment provides states and Urban Areas a means to centrally manage and report on fusion
center related activities. Recipients must coordinate with the fusion center when developing
the fusion center investment prior to application submission. The fusion center must utilize
its individual assessment data when developing the investment. Each proposed project included
in the fusion center investment must align to, and reference, specific performance areas of the
Assessment that the funding is intended to support. Additionally, any jurisdiction or agency that
leverages HSGP funds to support intelligence- or fusion process-related activities (e.g.,
intelligence unit, real time crime information and analysis centers)must ensure efforts are
integrated and/or coordinated with the state or major Urban Area fusion center(s).
State and major Urban Area fusion centers receiving SHSP and/or UASI grant funds will be
evaluated based on compliance with the guidance and requirements for the National Network as
set forth by DHS I&A through the annual Fusion Center Assessment.
• FY2017 Fusion Center Grant requirements are listed at h al):6v%,,w,dh wv/110111clal..ld-
• DHS/FEMA approved analyst courses that meet the grant requirement are listed at
I i�ienccaiial VSt-t 1•,-t i ni 11U-COLH-ses.
Through the PPR, fusion centers will report on the compliance with measurement requirements
within the fusion centers priority through the annual Fusion Center Assessment managed by
DHS I&A and reported to FEMA.
Page 42 of 86
Appendix B—FY 2017 HSGP Program Priorities
Agreement No. 5619
Planning to Deliver Capabilities
Recipients shall develop and maintain,jurisdiction wide, all threats and hazards EOPs consistent
with CPG 101 v.2. Recipients must update their EOP at least once every two years.
Reporting
• Recipients report EOP compliance with CPG 101 v2 in the URT.
Validating Capabilities
Recipients should engage elected and appointed officials and other whole community
stakeholders to identify long-term training and exercise priorities. These priorities must address
capability targets and gaps identified through the annual THIRA and SPR processes, areas for
improvement identified from real-world events and preparedness exercises, and national areas
for improvement identified in the most recent NPR.
Recipients should document these priorities and use them to deploy a schedule of exercise events
and supporting training activities in a Multi-Year Training and Exercise Plan (TEP). Information
related to Multi-year TEPs and Training and Exercise Planning Workshops (TEPWs) can be
found on the Homeland Security Exercise and Evaluation Program (HSEEP)website at
i�ttr�s:/.Iwwv'�v.l.er���r.:;c�vlexer•cisc.
All recipients will develop and maintain a progressive exercise program consistent with HSEEP.
A progressive, multi-year exercise program is a series of increasingly complex exercises linked
to a set of common program priorities with each successive exercise building upon the previous
one until proficiency is achieved.
The NEP serves as the principal exercise mechanism for examining national preparedness and
measuring readiness. Recipients are strongly encouraged to nominate exercises into the NEP.
For additional information on the NEP, please refer to iit:t[a;.//�vNNie\,.feiiia.aov/iiatiotial-exer•cisc-
pr°oycc ani.
Reporting
• Recipients are required to develop a Multi-year TEP that identifies training and
exercise priorities and activities. The Multi-year TEP shall be submitted to
Nasi °r�'er l"c���c7.cll�s.aov no later than 90 days after the completion of the TEPW.
• Recipients are required to submit either one After Action Report/Improvement
Plan (AAR/IP) for each HSGP-funded progressive exercise series; or individual
AAR/IPs for each HSGP-funded exercise to hseep@fema.dhs.gov no more than
90 days after completion of the exercise.
• Recipients are reminded of the importance of implementing corrective actions
iteratively throughout the progressive exercise cycle. Recipients are encouraged
to use the HSEEP AAR/IP template located at ltltrs://� °�vrv,� ra.arff°era r°ci;e,
Page 43 of 86
Appendix B—FY 2017 HSGP Program Priorities
Agreement No. 5619
Supplemental SHSP Guidance
Governance
In keeping with the guiding principles of governance for all DHS/FEMA preparedness programs,
recipients must coordinate activities across preparedness disciplines and levels of government,
including state,. territorial, local, and tribal governments. A cohesive planning framework should
incorporate DHS/FEMA resources, as well as those from other Federal, state, local,tribal,
territorial, private sector, and faith-based community organizations. Specific attention should be
paid to how available preparedness funding 'sources can effectively support a whole community
approach to emergency preparedness and management and the enhancement of core capabilities.
To ensure this,the SAA must establish or reestablish a unified Senior Advisory Committee
(SAC).
Senior A dvisoilf Committee(SAA
The SAC builds upon previously established advisory bodies under HSGP(including the SHSP
and LJASI prograrns),Nonprofit Security Grant Program (NSGP), Transit Security Grant
Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies that
should be included on the SAC include: Urban Area Working Groups(UAWGs), Statewide
Interoperability Governing, Board (SIG13), Area Maritime Security Corrunittees (AM'SCs),
regional Transportation Security Working 0'roups (RTSWGs), Citizen Corps Whole
Community Councils, Disability Inclusion Working Groups, and Children's Working Groups.
SAC membership shall include at least one representative from relevant stakeholders including:
• Individuals from the counties, cities,towns,and Indian tribes within the State or high-risk
urban area, including,as appropriate, representatives of rural, high-population, and high-
threat jurisdictions;
• UASI-funded Urban Areas;
• Citizen Corps Whole Community Councils;
• Local or tribal government officials;
• Tribal organizations;
• Emergency response providers, including representatives of the fire service, law
enforcement, emergency medical services,and emergency managers;
• Public health officials and other appropriate medical practitioners;
• Individuals representing educational institutions, including elementary schools,
community colleges, and other institutions of higher education;
• State and regional interoperable communications coordinators, as appropriate;
• State and major urban area fusion centers, as appropriate; and
• Non-profit, faith based, and other voluntary organizations such as the American Red
Cross.
SACs are encouraged to develop subcommittee structures,as necessary,to address issue-or
region-specific considerations.
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The responsibilities of a SAC include:
• Integrating preparedness activities across disciplines,the private sector, non-profit
organizations, faith-based and community organizations, 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 that builds and implements preparedness initiatives
using DHS/FEMA resources, as well as other Federal, state, local,tribal, territorial, local,
private sector, and faith-based community resources;
• Management of all available preparedness funding sources to ensure their effective use of
and to minimize duplication of effort;
• Ensuring applications for SHSP and UASI funds align with the capability gaps identified
in the THIRA and SPR;
• Assist in preparation and revision of the State, regional, or local homeland security plan
or the threat and hazard identification and risk assessment, as the case may be; and
• Assist in determining effective funding priorities for SHSP grants.
SAC 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, and include representation from the stakeholder
groups and disciplines identified above.
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 SPR. SAAB
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/FEMA preparedness funding from
retaining their existing structure under separate programs; however, at a minimum,those
bodies must support and feed into the larger SAC. The composition, structure and charter
of the SAC should reflect this focus on building core capabilities, instead of simply
joining previously existing advisory bodies under other grant programs.
The SAA must ensure that appropriate representation from defined UASI-funded Urban
Areas is included on the SAC. DHS/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.
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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 DHS/FEMA with the grant application.
SAAs must work with existing Urban Areas to ensure that information for current POCs
is on file with DHS/FEMA.
Finally, DHS/FEMA recommends that organizations advocating on behalf of youth, older
adults and individuals with disabilities, individuals with limited English proficiency and
others with access and 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 should be members of the SAC (as
applicable): State Primary Care Association, 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 Coordinator for DoD 1033 Program , State Court Official,
State Emergency Medical Services(EMS)Director, State Trauma System Manager,
Statewide Interoperability Coordinator, State Citizen Corps Whole Community 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.
Senior Advisory Committee Charter
The governance of the SHSP and UASI programs through the SAC should 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 recipient's assigned FEMA HQ 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 the 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 the committee will leverage existing governatice bodies;
• A detailed description of how decisions on progranitinatic 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 cornn'l LI 11 itypreparedness
information submitted in the state's BSIR with members of SAC. SAAs are also encouraged
to share their THIRA and SPR with members of the SAC applying for other FEMA preparedness
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grants in order to enhance their understanding of statewide capability gaps. 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
projects, condLiCting 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. 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 arnong 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
Whole Community Council(s), and campus law enforcement in their program activities.
Composition
Pursuant to provisions of the Homeland Security Act of 2002, as amended, eligible Urban Areas
were determined based on an analysis of relative risk of the 100 most populous Metropolitan
Statistical Areas (MSAs), as defined by the Office of Management and Budget(OMB). MSAs
are used by DHS/FEMA to determine eligibility for participation in the program. Geographical
areas queried do not equate to minimum mandated inernbership representation of ail LJrban Area,
nor does,this guarantee funding, for geographical areas queried, (JAWGs 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
UASI Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and programmatic
administration requirements of the UASI program.
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• Identify POCs. The SAA must confirm a specific POC with the designated Urban Area.
The SAA POCs are responsible for identifying and coordinating,with tile P(.)C for the
UAWG. This information must be provided to DHS/FEMA with the grant application.
SAAB must work with existing Urban Areas to ensure that information for current POCs
is on file with DHS/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 lie part of the defined Urban Area. Tile 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 put-poses of the
UASI program, the Washington, D.C. Urban Area will consist of the National Capital
Region(NCR) as set forth in 10 U.S.C. §2674(f)(2). In coordination with the SAA,the
UAWG may redefine the geographic boundaries of an existing Urban Area through the
addition of jurisdictions to the UAWG, as it will apply to the UASI program. The SAA
POC must notify DFIS/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 itICILISive of local Whole Community Citizen Corps Council and tribal representatives.
The UAWG should also include at least one representative from each of the following significant
stakeholders:
• Local or tribal government officials;
• Emergency response providers,which shall include representatives of the fire service,
law enforcement, emergency medical services, and emergency managers;
• Public health officials and other appropriate medical practitioners;
• Individuals representing educational institutions, including elementary schools,
community colleges, and other institutions of higher education;
• State and regional interoperable communications coordinators, as appropriate; and
• State and major urban area fusion centers, as appropriate.
Members of the UAWG shall be a representative group of individuals from the counties,cities,
towns,and tribes within the State or high-risk urban area, including, as appropriate,
representatives of rural, high-population, and high-threat jurisdictions.
• In addition,the UAWG should include officials responsible for the administration of
Centers for Disease Control and Prevention (CDC)and Assistant Secretary for
Preparedness and Response's(ASPR) cooperative agreements. Finally. it must be
inclusive of members advocating oil behalf of youth, older adults, individuals with
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disabilities, individuals with limited English proficiency and others with access and
functional needs, socio-economic factors and cultural diversity.
The SAA POC must ensure that appropriate representation for the defined Urban Area is
included per this guidance. DHS/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 should support state efforts to develop the SPR,
particularly as it relates to UASI funded activities. UASI recipients can complete an SPR
on a voluntary basis and should coordinate with the respective state(s). Completing an
SPR helps to identify capability gaps and to prioritize investments required to reach the
THIRA targets, resulting in a stronger investment justification.
• Governance. The jurisdictions identified in,Ar)))endix A — 1"'Y 2017 llrot� jratn
Allocatiotis represent the candidate Urban Areas eligible to apply for funding. The
UAWG will be responsible for coordinating the development and implementation of all
program initiatives. States and Urban Areas must consider including counties within
which the cities reside, contiguous jurisdictions, MSAs, operational areas, and mutual aid
partners, as appropriate, in the governance process.
In keeping with sound project management practices, the UAWG must ensure that its
approach to critical issues such as membership, governance structure, voting rights, grant
management and administration responsibilities, and funding allocation methodologies
are formalized in a working group charter or other form of standard operating procedure
related to the UASI program governance. The charter must also outline how decisions
made in UAWG meetings will be documented and shared with UAWG members. The
UAWG charter must be on file with DHS/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 HQ 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 SPR, and subsequent updates.
UAWGs must ensure that applications for funding under the UASI Program align with
the capability gaps identified in the Urban Area THIRA.
+ 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
investments in building capabilities should focus on resource requirements identified in
the THIRA to the extent practicable. The use of funds must also be consistent with
overall UASI program guidelines,the National Preparedness System, and must develop
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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 demonstrating the integration of children, individuals with
disabilities or access and functional needs, limited English proficiency, and individuals
from underserved socio-economic populations 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 Whole
Community 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-recipients,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 DHS/FEMA immediately after the 45-day time period
allotted for the state to obligate funds to sub-recipients.
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 DHS/FEMA upon request
demonstrating how any UASI funds retained by the state are directly supporting the
Urban Area. If the SAA intends to retain any UASI funds, the SAA must prepare an
investment that demonstrates how the retained funds will be used to directly support the
designated Urban Area in the state. This investment should be included in the designated
Urban Area's IJ.
Supplemental SHSP and UASI Guidance
Collaboration with Other Federal Preparedness Programs
DHS/FEMA 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,the U. S.
Department of Health and Human Services (HHS) has two robust preparedness programs—
Centers Disease Control and Prevention (CDC) Public Health Emergency Preparedness (PHEP)
cooperative agreement program and Assistant Secretary for Preparedness and Response's
(ASPR)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 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 HSGP. States and Urban Areas should coordinate among the entire scope of
federal partners, national initiatives and grant programs to identify opportunities to leverage
resources when implementing their preparedness programs. These may include but are not
limited to: Medical Reserve Corps; Emergency Medical Services for Children grants; ASPR
HPP; CDC PHEP; CDC Cities Readiness Initiative; Strategic National Stockpile Programs;
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EMS; Department of Justice grants; the Department of Defense 1033 Program; and NPPD/Office
of Infrastructure Protection's Regional Resilience Assessment Program (RRAP). 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 USBP Sector Analysis.
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
programs that support biological and public health incident preparedness such as those
administered by the HHS ASPR,the CDC, and the U.S. Department of Transportation's (DOT)
National Highway Traffic Safety Administration.
Federal agencies participating in the Emergency Preparedness Grant Coordination process are
working to identify current preparedness activities and areas for collaboration across federal
grants with public health and healthcare preparedness components. The participating federal
agencies include:
• Department of Health and Human Services (HHS)Assistant Secretary for Preparedness
and Response(ASPR)
• Department of Homeland Security(DHS) Federal Emergency Management Agency
(FEMA)
• HHS Centers for Disease Control and Prevention (CDC)
• HHS Health Resources and Services Administration(HRSA)
• Department of Transportation(DOT)National Highway Traffic Safety Administration
(NHTSA)
Federal agencies are actively coordinating guidance and technical assistance and encourage all
recipients to actively coordinate preparedness activities for their jurisdictions. More information
on the Emergency Preparedness Grant Coordination process can be found at
17ttr :/0`wti .l`er��aa. a /���a al is-1 il�°air ',�aissa is/ala�carments/114411.
Ensuring the Protection of Civil Rights
As the Nation works towards achieving the Goal it is important to continue to protect the civil
rights of individuals. Recipients must carry out their programs and activities, including those
related to the building, sustainment, and delivery of core capabilities, in a manner that respects
and ensures the protection of civil rights for protected populations. These populations include,
but are not limited to individuals with disabilities and others with access and functional needs,
individuals with limited English proficiency, and other diverse racial and ethnic populations in
accordance with Section 504 of the Rehabilitation Act of 1973, Title VI of the Civil Rights Act
of 1964, and related statutes. The DHS Standard Terms and Conditions includes the civil rights
provisions that apply to recipients. These terms and conditions can be found at l.)l IS Stalidard
"l emis a ml t'onclitic.m, Additional information on civil rights provisions is available at:
17tha:�/�'�v��,.1`a:~r��a�.����r/a�l'kica:-cc�Gba�l, eia�k�ts•
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Collaboration with Nonprofit Organizations
SHSP and UASI recipients are encouraged to work with the nonprofit community to address
terrorism and all hazards prevention concerns, seek input on the needs of the nonprofit sector,
and support the goals of their investments.
Collaboration with Tribes
DHS/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.
Multiple Putpose or Dual-Use f
q Funds
.
For both SHSP and UASI, inany activities which SUPP011 the achievement of target capabilities
related to terrorism preparedness may simultaneously support enhanced preparedness, for other
hazards unrelated to acts of terrorism. However, all SUISP and UASI funded proJeCtS must assist
recipients and sub-recipients in achieving target capabilities related to preventing, preparing for,
protecting against, or responding to acts of terrorism.
Improving Qbersecurify
When requesting funds for cybersecrurity, applicants are encouraged to propose projects that
Would aid in implementation of all or part of the Framework for lmorcvizw,Critical Infrastructure
Cvbersecuritv ("The Framework") developed by the National Institute of Standards and
Technology (NIST). The Framework gathers existing international standards and practices to
help organizations understand, communicate,and manage their cyber risks. For organizations
that do not know where to start with developing a cybersecurity program,the Framework
provides initial guidance. For organizations with more advanced practices, the Framework offers
a way to improve their programs, such as better communication with their leadership and
suppliers about inan.,tigernent of cyber risks.
The Department of 1-iomeland 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. Additional information on the Critical
InfrastrLicture Cyber Community C' Voluntary Program can be found at www.dhs.aov/ccubedv12.
The Department of Homeland Security's Enhanced Cybersecurity Services (ECS)program is an
example of a resource that assists in protecting U.S.-based public and private entities and
combines key elements of capabilities under the "Detect" and"Protect"functions to deliver an
impactful solution relative to the outcomes of the Cybersecurity Framework. Specifically, ECS
offers intrusion prevention and analysis services that help U.S.-based companies and state, local,
tribal, and territorial governments defend their computer systems against unauthorized access,
exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat
indicators from sensitive and classified Government Furnished Information (GFI). DHS then
shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in
turn use the indicators to block certain types of malicious traffic from entering a company's
networks. Groups interested in subscribing to ECS must contract directly with a CSP in order to
receive services. Please visit littr)://www.dhs.s,,ov/enhanced-cvbcrsecut-itv-services for a current
list of ECS CSP points of contact.
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Mass Casualty Incident Preparedness and Individual Preparedness
Although the Citizen Corps Program (CCP) and Metropolitan Medical Response System
(MMRS)are no longer funded as discrete grant programs within HSGP, SAAs may include Us
funding to support 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, emergency medical services, 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. The Federal Interagency Committee on
Emergency Medical Services (FICEMS) has recommended that State and local EMS systems
improve their mass casualty incident triage capabilities through adoption of triage protocols and
systems that are based on the Model Uniforrn Core Criteria. Recipients must also demonstrate
how their investments will increase the effectiveness ofemergency preparedness planning and
response for the whole community by integrating and coordinating activities including under-
represented diverse popLilations that may be more impacted by disasters including children,
seniors, individuals with disabilities or access and functional needs, individuals with diverse
culture and language use, individuals with lower economic capacity and other underserved
populations. Further, recipients are strongly encouraged to collaborate with local, regional, and
state public health and health care partners, including Medical Reserve Corps Units Community
Emergency Response Teams(CERTs)Citizen Corps Whole Community Councils, 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, CDC Cities
Readiness Initiative, PHEP, and Strategic National Stockpile Programs.
Whole Community Preparedness
SHSP and UASI recipients should engage with the whole community to advance community and
individual preparedness and to work as a nation to build and sustain resilience. Recipients should
have a coordinating body to serve as their Citizen Corps or Whole Community Council, with
membership that may include, 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), advocacy groups for under-represented diverse populations that may be
more impacted by disasters including children, seniors, individuals with disabilities or access and
functional needs, individuals with diverse culture and language use, individuals with lower
economic capacity and other underserved populations. Recipients must also integrate program
design and delivery practices that ensure representation and services for under-represented
diverse populations that may be more impacted by disasters including children, seniors,
individuals with disabilities or access and functional needs, individuals with diverse culture and
language use, individuals with lower economic capacity and other underserved populations.
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Individual preparedness must be coordinated by an integrated body of government and
nongovernmental representatives. Recipients intist have a coordinating body to serve as their
Citizen Corps Whole Community Council, with membership that includes, but is not, firnited 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), advocacy grollps for under-
represented diverse populations that may be more impacted by disasters including children,
seniors, individuals with disabilities or access and functional needs, individuals with diverse
culture and language use, individuals with lower economic capacity and other underserved
populations.
In addition to the Citizen Corps Whole Community Councils and CERT programs,the following
preparedness programs are allowable expenses:
• Prepareathon: FEMA's Individual and Community Preparedness Division(ICPD)
launched Prepareathon(formerly America's PrepareAthon!) in 2013, with the goal of
empowering individuals and communities to take action to improve their preparedness
and resilience. The purpose of Prepareathon is to motivate people and communities to
take action to prepare for and protect themselves against disasters. Supported by FEMA,
communities conduct Prepareathon events year-round with a focus on encouraging
participants to take specific actions to protect themselves from the disasters most likely to
affect them and their community.Prepareathon events are unique to each community and
may be aligned to a particular theme in the Ready Campaign's National Seasonal
Preparedness Messaging Calendar Prepareathon is a critical
part of FEMA's overarching mission to support citizens and first responders to ensure
that as a Nation we work together to build, sustain and improve our capability to prepare
for,protect against, respond to, recover from, and mitigate all hazards.
• Youth Preparedness, Resources to support practitioners as they create and run programs
in their communities are available at One of these
resources,the Youth Preparedness Catalog, identifies over 200 existing programs,
curricula, and resources that may be of interest to those seeking an introduction to, or
learning more about, youth preparedness programs. The Catalog describes national,
regional, and state-level programs. The Catalog can be found at
III QCl ia-I i brarv/.assets/doc innents/94 77'").
Emergency Afanagement A cereditation Progran?
With ffinds provided through FY 2017, HSG,P, states have the opportunity to encourage their
local jurisdictions to pursue assessment and accreditation under the Emergency Management
Accreditation Program (EMAP).
EMAP's assessment,and accreditation of emergency management organizations against
consensus-based, American National Standards Institute (ANSI)-certified standards allows for
standardized benchmarking of critical functions necessary for an emergency management
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organization to meet the core capabilities identified in the Goal. Additional information on the
EMAP Standard is available at
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 ajoint 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 Border States and territories of the United States in accomplishing
the following objectives:
• Increase capability to prevent, protect against, and respond to border security issues;
• 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 USBP 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 any 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,
tribe, and territorial law enforcement agencies.
OPSG funds must be used to provide an enhanced law enforcement presence and to increase
operational capabilities of Federal, state, local, tribal, and territorial law enforcement,promoting
a layered, coordinated approach to law enforcement within Border States and territories of the
United States.
• Federal,State,Local,Tribal,and Territorial OPSG Integrated Planning Team
(IPT). It is required that Federal, state, local,tribal,and territorial partners establish and
maintain a formalized OPSG IPT with representation from all participating law
enforcement agencies,co-chaired by representatives from USBP, the SAA, and
participating law enforcement agencies' OPSG program representatives.
• No less than two IPT meetings must take place during every funding year:
- Prior to submitting the Concept of Operations(application)
- Prior to submitting the Campaign Plan
Coordination Requirements
All operational plans should be crafted in cooperation and coordination among Federal, state,
local, tribal, and territorial partners. Consideration will be given to applications that are
coordinated across multiple jurisdictions. All applicants must coordinate with the USBP Sector
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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 recipients will re-scope the draft Operations Order and
resubmit as a final Operations Order with an embedded budget, based on actual dollar amounts
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.
Recipients may not begin operations, obligate, or expend any funds Until the final Operations
Order and embedded budget has been approved by FEMA GPD and USBP Headquarters and any
existing special conditions and/or restrictions are removed.
Nfanagement and.4 dininistration (M.&�A)
Management and administration (M&A)activities are those directly relating to the management
and administration of OPSG funds, such as financial management and monitoring. Sub-
recipients and friendly forces may retain funding for M&A purposes; however, the total amount
retained by both the sub-recipient and friendly forces cannot exceed 5%o, I"the subrec 11,11ent
award.
Friendly forces are, local law enforcement entities that are second tier sub-recipients under
OPSG. In other words, friendly forces are entities that receive a SUbawardfrom a subrecipient
under the OPSG program. Friendly Forces must comply with all requirements Of sub-recipients
under 2 C.F.R.Part 200.
Other Requirements
National Information Exchange Model(NIEM). DHS/FEMA requires all grant recipients to
use the latest NIEM specifications and guidelines when using HSGP funds to develop, procure,
or implement homeland security information exchanges, including systems and databases. This
includes, but is not limited to the use of Extensible Markup Language (XML) and Java Script
Object Notation (JSON). Further information about NIEM specifications and guidelines is
available at httO://Nvww.nicnixov.
28 C.F.R. Part 23 Guidance. DHS/FEMA requires that any information technology system
funded or supported by these funds comply with 28 C.F.R. Part 23, Criminal Intelligence
Systems 01mrating Policies, if this regulation is determined to be applicable.
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Appendix C — FY 2017 HSGP Funding Guidelines
Recipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards).
In general,recipients should consult with their FEMA HQ Program Analyst prior to making any
investment that does not clearly meet the allowable expense criteria established by this NOFO.
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 have a nexus to terrorism preparedness and fall into the categories of
planning, organization, exercises, training, or equipment aligned to a capability gap in the SPR.
Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness
and return on investment aligned to the relevant POETE element, and FEMA encourages
recipients to provide the results of that analysis to FEMA.
Continuity of Operations
Continuity planning and operations are an inherent element of each core capability and the
coordinating structures that provide them. Continuity operations increase resilience and the
probability that organizations can perform essential functions in the delivery of core capabilities
that support the mission areas. FEMA is responsible for coordinating the implementation and
development, execution, and assessment of continuity capabilities among executive departments
and agencies. To support this role, FEMA develops and promulgates Federal Continuity
Directives (FCDs)to establish continuity program and planning requirements for executive
departments and agencies and Continuity Guidance Circulars (CGCs) for state, local,tribal, and
territorial governments, non-governmental organizations, and private sector critical infrastructure
owners and operators. This direction and guidance assists in developing capabilities for
continuing the essential functions of federal and state, local,tribal, territorial governmental
entities as well as the public/private critical infrastructure owners, operators, and regulators
enabling them.
Presidential Policy Directive 40, FCD 1, FCD 2, CGC 1, and CGC 2 outline the overarching
continuity requirements and guidance for organizations and provides guidance, methodology,
and checklists. For additional information on continuity programs, guidance, and directives,visit
http://www.fema.gov/guidance-directives and
-ro9Ell,IT1 IS.
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, and review and revision
of the THIRA, SPR, continuity of operations plans 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 C:"K.) I(D C v 2.0.
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Organization (SHSP and UASI)
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 JJ submission. All SAAB are allowed to utilize up to 50
percent (50�%)of their SHSP ftinding and all Urban Areas are allowed tip to 50 percent (50%) of
their UASI funding for personnel costs. At the request of a recipient, the FEMA Administrator
may grant a waiver of the 50 percent(50%) limitation noted above. Requests for waivers to the
personnel cap must be submitted by the authorized representative of the SAA to GPD in writing
on official letterhead,with the following information:
• Documentation explaining why the cap should be waived;
• Conditions under which the request is being submitted; and
• A budget and method of calculation of personnel costs both in percentages 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.
Organizational activities under SHSP and UASI include:
• Intelligence Analysts. Per the Personnel Reimbursement far Intelligence Cooperation
and Enhancement(PRICE)of Homeland Security Act(Pub. L. No. 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,
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— 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.
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 recipient's respective FEMA HQ Program Analyst upon request.
• 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 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/FEMA 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 and other catastrophic events,
operational overtime costs are allowable for increased protective security measures at
critical infrastructure sites or other high-risk locations and to enhance public safety
during mass gatherings and high-profile events, as determined by the recipient or sub-
recipient through intelligence threat analysis. SHSP or UASI funds for organizational
costs may be used to support select operational expenses associated with increased
security measures. in the following authorized categories:
— Backfill and overtime expenses for staffing state or major Urban Area fusion
centers;
— Hiring of contracted security for critical infrastructure sites;
— Participation in Regional Resiliency Assessment Program 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 USBP.
SHSP or UASI funds may only be spent for operational overtime costs upon prior
approval provided in writing by the FEMA Administrator per the instructions in 113 379:
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GL6dance to Swic Adiii in i8b"Mi%1c Af-,cmies to Exi)editc the Expciiditurc of Cei-tain
DI IS/1-EN/IA Grant I'Lindiii's-,.
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 DHS/FEMA
upon request demonstrating how any UASI funds retained by the state would directly
support the Urban Area.
Organization (OPSG)
• Operational Overtime Costs. OPSG funds should 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 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;
— Include an approved Operations Order from the USBP Sector office which
supports the local jurisdiction's written justification; and
— Be coordinated with the USBP Sector, SAA, and the DHS/CBP Office of the
Border Patrol (OBP).
• 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.
— OPSG funds may_support a Governor's request 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.
— Costs associated with backfill for personnel supporting operational activities are
allowable.
— As with all OPSG personnel costs, OPSG 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 recipients 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.
— Temporary or Term Appointments
o Sub-recipients may utilize temporary or term appointments for the purpose of
augmenting the law enforcement presence on the borders. However, applying
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funds toward hiring full-time or permanent sworn public safety officers is
unallowable.
• For OPSG purposes, temporary appointments are non-status appointments for
less than one year.
• For OPSG purposes,term appointments are non-status appointments for one
year, extendable for one year as necessary,
• OPSG-funded temporary or term appointments may not exceed the approved
period of performance.
• OPSG funding for temporary or term appointments may pay for salary only.
Benefits are not allowable expenses for term or temporary employees.
• OPSG remains a non-hiring program. Appropriate uses of temporary or term
appointments include:
• To carry out specific enforcement operations work for ongoing OPSG
funded patrols throughout the Sector Area of Operation;
• To staff operations of limited duration; such as OPSG enhanced
enforcement patrols targeting specific locations or criminal activity;
and,
• To fill OPSG positions in activities undergoing transition or personnel
shortages and local backfill policies (medical/military deployments)
• OPSG term and temporary appointments must have all necessary
certifications and training to enforce state and local laws. OPSG funds
will not be used to train or certify term or temporary appointments
except as otherwise stated in the OPSG section of this NOFO.
• DHS provides no guarantee of funding for temporary or term
appointments. In addition to the terms of this NOFO, sub-recipients
must follow their own applicable policies and procedures regarding
temporary or term appointments.
• Travel,Per Diem,and Lodging. OPSG funds may be used for domestic travel and per
diem, including costs associated with the deployrnent/redeployment of personnel to
border areas and for travel associated with law enforcement entities,assisting other local
jurisdictions in law enforcement activities. In addition, allowable costs include
supporting up to six month deployment of law enforcement personnel to critical
Southwest Border locations for operational activities (travel costs Must be in accordance
with applicable travel regulations).
Equipment(SHSP and UAR)
The 21 allowable prevention, protection,mitigation, response, and recovery equipment
categories and equipment standards for HSGP are listed on the Authorized Equipment I..ist
(AEI,), 'The AEL, is available at little flwww. i r)in c nt-I ist. Unless
otherwise stated, equipment must rnect all mandatory regulatory and/or DHS/FEMA-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.
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Grant funds may be used for the procurement of medical countermeasures. Procurement of
medical countermeasures must be conducted in collaboration with state, city, or local health
departments that administer Federal funds from HHS for this purpose and with existing MMRS
committees where available, in order to sustain their long-term planning for appropriate, rapid,
and local medical countermeasures, including antibiotics and antidotes for nerve agents, cyanide,
and other toxins. 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, recipients must have in place an inventory management plan to avoid
large periodic variations in supplies due to coinciding purchase and expiration dates. Recipients
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 PoP for HSGP. The cost of disposal cannot be carried over to another DHS/FEMA
grant or grant period.
EMS electronic patient care data systems should comply with the most current data standard of
the National Emergency Medical Services Information System (www,.NE1V1S1S,(U).
Equipment(OPSG)
• Equipment Marking. Because equipment purchased with OPSG funding is intended to
be used to support Operation Stonegarden activities, it must be appropriately marked to
ensure its ready identification and primary use for that purpose. When practicable, any
equipment purchased with OPSG funding shall be prominently marked as follows:
"Purchased with DHS funds for Operation Stonegarden Use"
• Fuel Cost and/or Mileage Reimbursement. There is no cap for reimbursement of fuel
and mileage costs in support of operational activities.
• Vehicle and Equipment Rentals. Allowable purchases under OPSG include patrol cars
and other mission-specific vehicles whose primary use is to increase operational
activities/patrols on or near a border nexus in support of approved border security
operations. A detailed justification must be submitted to the respective FEMA HQ
Program Analyst prior to purchase.
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
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 a TEP 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 training related to under-represented diverse
populations that may be more impacted by disasters, including children, seniors, individuals with
disabilities or access and functional needs, individuals with diverse culture and language
use, individuals with lower economic capacity and other underserved populations, should be
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identified in a TEP and addressed in the state or Urban Area training cycle. Recipients are
encouraged to use existing training rather than developing new courses. When developing new
courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation
and Evaluation model of instructional design. Recipients are also encouraged to utilize the
FEMA training courses offered through the Emergency Management Institute,the Center for
Domestic Preparedness, the National Domestic Preparedness Consortium, and other partners.
The FEMA training course catalog is found by accessing the following link:
inu.(_mv.
Exercises (SHSP and UASI)
Exercises conducted with grant funding should be managed and conducted consistent with
HSEEP. HSEEP guidance for exercise design, development, conduct, evaluation, and
improvement planning is located at littri)s:// rv\l"\N�,I'Clll�l.L-'(�)V�rexci-cise.
Maintenance and Sustainment(SHSP,UASI,and OPSG)
The use of DHS/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 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 maintenance or warranty plan must not exceed the PoP 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
recipients the ability to meet this objective,the policy set forth in GPD's 113 379: Gui(kmce to
State Administrative Aueiicies to Exnedite the Exnenditure of'Certafii DIIS/FENIA Grant
Funding allows for the expansion of eligible maintenance and sustainment costs which must be
in 1)direct support of existing capabilities; (2) must be an otherwise allowable expenditure under
the applicable grant program; (3)be tied to one of the core capabilities in the five mission areas
contained within the Goal, and(4)shareable through the Emergency Management Assistance
Compact. Additionally, eligible costs may 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 Activities Allowable Costs (SHSP and UASI)
Activities eligible for use of LETPA focused funds include but are not limited to:
• 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;
• Coordination between fusion centers and other analytical and investigative efforts
including, but not limited to Joint Terrorism Task Forces(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;
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• 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 Sornething'rm"carnpaign to raise
public awareness of indicators of terrorism and terroristii-related crime and associated
efforts to increase the sharing of information with public and private sector partners,
including nonprofit organizations. Note: MIS requires that the Office of Public Affairs
(OPA) 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. This coordination with OPA should be facilitated by the FEMA HQ Program
Analyst;
• Increase physical security, through law enforcement personnel and other protective
measures, by implementing preventive and protective measures at critical infrastructure
site or at-risk nonprofit organizations; and
• Building and sustaining preventive radiological and nuclear detection capabilities,
including those developed through the Securing the Cities initiative.
Law Enforcement Readiness (OPSG)
OPSG grant funds may be used to increase operational, material, and technological readiness of
state, local, tribal, and territorial law enforcement agencies. The Delegation of Immigration
Authority, Section 287(g) of the Immigration and Nationality Act(INA)program allows a state
or local law enforcement entity to enter into a partnership with Immigration and Customs
Enforcement (ICE), under a joint Memorandum of Agreement(MOA), in order to receive
delegated authority for immigration enforcement within their jurisdictions. OPSG grant funds
may be requested and may be approved on a case by case basis for immigration enforcement
17
training in support of tile border security mission. Requests for training will be evaluated on a
case by case basis and can only, be used for certification in the 287 (g)program provided by
DHSACE. OPSG sub-recipients with agreements under Section 287(g) of the INA (8 U.S.C.
1357(8)) to receive delegated authority for immigration enforcement within their jurisdictions
may also be reimbursed for 287(g)l related operational activities with approval from FEMA on a
case by case basis. For OPSG, sub-recipients must be authorized by USBP Headquarters and
Sectors and operational activities must be coordinated through a USBP Sector.
Federally-Led Task Forces and Investigations (SIISP and UASI)
In addition, reimbursement for operational overtime law enforcement activities related to
combating transnational crime organizations in Support of efforts to enhance capabilities for
detecting, deterring, disrupting, and preventing,acts of terrorism is an allowable expense under
SHSP and UASI on a case by case basis. Allowable:costs are limited to overtime associated with
federally requested participation in federally-led task forces and investigations, including anti-
terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security Committees
(as required by theMarilinie Transymrtalion Securi(y Act(3f'2002), DHS Border Enforcement
Security Task Forces, and Integrated Border Enforcement Teams. SHSP and UASI operational
overtime for combating transnational crime organizations require prior approval in writing by the
FEMA Administrator per the instructions in IB 379 (Guidance to State Administrative Agencies
to Expedite the Expenditure of Certain DHSIFEMA Grant Funding).
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Regional Border Projects(OPSG)
Recipients are encouraged to prioritize the acquisition and development of regional projects on
the borders to maximize interoperability and coordination capabilities among, federal agencies
and with state, local, and tribal law enforcement partners.
Such regional projects include:
• Communications equipment:
— Radio systems and repeaters
• Situational Awareness equipment:
— License Plate Reader Networks
— Visual detection and surveillance systems
— Sensor Systems
— Radar Systems (for air incursions)
Controlled Equipment(SHSP, UASI, and OPSG)
Grant funds may be used for the purchase of Controlled Equipment, however, because of the
nature of the equipment the potential impact on the community,there are additional and specific
requirements in order to acquire this equipment. Refer to 11 407a: Use of Grant Funds for
Controlled Eouivnient: Update for Fiscal Year 2017, for the complete Controlled Equipment List
and specific requirements for acquiring controlled equipment with DHS/FEMA grant funds.
FEMA Form 087-0-0-1: Controlled Equipment Request is available for download at
[it tos:PWvV Xv.rerna,!Dov/Ili ed ia-I i brar v/assets/d0C U Ine 11 tS/115'708..
Requirements for Small Unmanned Aircraft,System (SHSP, UASI,and OPSG)
All requests to purchase Small Unmanned Aircraft System (SUAS), with FEMA grant funding
111LISt also include a description ofthe policies and procedures in place to safeguard individuals'
privacy,civil rights,and civil liberties of the jurisdiction that will purchase,take title to,or
otherwise use the SUAS equipment.
Critical Emergency Supplies (SHSP and UASI)
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 DFISNEMA's approval ofa 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 minimunn threshold,the five-year inventory management plan
will be developed by the recipient and monitored by 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 requirements for the purchase of these supplies under UASf and monitor
development and status of the state's inventory management plan.
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SARs (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 DHS/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. See guidance on communication towers
below.
Written approval must be provided by DHS/FEMA prior to the use of any HSGP funds for
construction or renovation. When applying for construction funds, recipients must submit
evidence of approved zoning ordinances, architectural plans, and any other locally required
planning permits. Additionally, recipients are required to submit a SF-424C Budget and Budget
detail citing the project costs.
Recipients using funds for construction projects must comply with the Davis-Bacon Act(40
U.S.C. § 3141 et seq.). Recipients must ensure that their contractors or subcontractors for
construction projects pay workers no less than the prevailing wages for laborers and mechanics
employed on projects of a character similar to the contract work in the civil subdivision of the
state in which the work is to be perfortlied. Additional information regarding compliance with
the Davis-Bacon Act, including Department of Labor(DOL) wage determinations, is available
from the following website
OPSG funds may not be used for any type of construction.
Communications Towers. When applying for funds to construct communication towers,
recipients and sub-recipients 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 as soon
as possible to get approved by the end of the POP. EHP review materials should be sent to
gpdehpinfo@fema.gov.
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 are 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, SAAs should refer to-l"'ll ?117-093-1. C lari I teation on the Personnel
ReinibLirseiflent fior inteliiuence("000erationand Enliancement gal"i lonicland SecLirity_ALct of
2008 (Public I,aw110--412 — the I'MC11' Act4 , or contact their FEMA HQ Program Analyst.
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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 DI--IS/FEMA program activities as
specified inthis guidance,, This may not include new personnel who are hired to fulfill
any non-DJ-IS/FEN1A program activities under any circumstances. Hiring will always
result in a net increase of Full Tinle E.qUivalent(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
performance of DHS/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
DHS/FEMA-approved activities outside their core responsibilities. Neither overtime nor
backfill expenses are the result of an increase of FTE employees.
• 5i.qphanting. 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
recipients 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 OPack funding, such as Canine Teams, Mobile Explosive
Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as to sustain existing
OPacks. Applicants must commit to minimum training standards to be set by DIIS 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 new 0111acks-related projects, applicants must demonstrate the need for
developing a new capability at the expense of sustaining an 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 l4einisphere Travel Initiative(WHTI),
including the issuance of W1,111-compliant tribal identitication cards. More information on the
Wi..IT[ i,naybefoLiiidatlitto:,?/\�vv\N,.diis.a.ov/files/iii°()L)r,iii,is/L)c 1200693579776,shti-nor
1lttP://\VW W.L1CtV()Lill OnIC.140 V/11fin Pell Ll nl alill till 1.
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
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Appendix C—FY 2017 HSGP Funding Guidelines
Agreement No. 5619
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 (TWIG)program which promotes tamper-
resistant biometric credentials for workers who require unescorted access to secure areas of
ports, vessels, outer continental shelf facilities, and all credentialed merchant mariners; and the
credentialing of first responders which entails enhancing real-time electronic authentication of
identity and attribute(s) (qualification, certification, authorization, and/or privilege) of
emergency response/critical government personnel responding to terrorist attacks or other
catastrophic events.
States 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;
0 Reduce the cost of program implementation for individuals, states, and the Federal
Government;
0 Satisfy 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.
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 FP 207-093-1 at or
contact their FEMA HQ Program Analyst at(800) 368-6498 for guidance and clarification.
Due to the nature of OPSG, exercise expenses are not allowable costs under OPSG.
Unallowable Costs (SHSP,UASI and OPSG)
Per FEMA policy, the purchase of weapons and weapons accessories, including ammunition, is
not allowed with HSGP funds.
Prohibited Equipment(SHSP,UASI and OPSG)
Grant funds may not be used for the purchase of Prohibited Equipment. Refer to 113 407<a: Use of
(Jraaa7R l:unds 1`61-Coratj°(Med [" aaiiPinent: 1. t)&ate for Fiscal 'Year 2017.
Page 68 of 86
Appendix C—FY 2017 HSGP Funding Guidelines
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Additional Planning Assistance
FEMA's National Preparedness Directorate (NPD)offers technical assistance (TA)that is
designed to provide recipients and sub-recipients with specialized expertise to improve and
enhance the continuing development of state and local emergency management across the five
mission areas of the 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 theirjUriSdiCti011S needs. While there is no
direct cost to approvedJurisdictions for DHS/FEMA TA,jurisdictions are expected to invest
staff resources and take ownership of the resulting products and tools.
TA deliveries combine current emergency management best practices with practical
consideration of emerging trends,through discussion facilitated by DHS/FEMA contract
specialists and with the support of FEMA Region operational specialists. Additionally, peer-to-
peer representation may also be included from other jurisdictions that have recently addressed
the same planning issue.
The TA request form can be accessed at h
'LLto
systetii/f'eiiiii-teclinical-assistzitice-di vision.
Additional Training Information
Per DHS/FEMA Grant Programs Directorate Policy FP 2t.}7-008-064-I, 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-MiS 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, which must be approved in advance by the DHS Office for Civil Rights and Civil
Liberties. For additional information on review and approval requirements for training courses
funded with preparedness grants please refer to the following policy:
DHS/FEMA will conduct periodic reviews of all state,territory, and Urban Area training funded
by DHS/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, recipients 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, SAM and TPOCs are encouraged to review the N'H J)
Develoinnent (,enter(RTI)C)website.
DHS/FEMA Provided Training. These trainings include programs or courses developed for and
delivered by institutions and organizations funded by DHS/FEMA, This includes the Center ror
Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and the National
Training and Education Division's (NTED)training partner programs including, the Continuing
Page 69 of 86
Appendix C—FY 2017 HSGP Funding Guidelines
Agreement No. 5619
Training Grants,the National Domestic Preparedness Consortium (NDPC) and the Rural
Domestic Preparedness Consortium(RDPC).
,11pproved Stale and f`ederalSponsored Course Catalog. This catalog lists state and federal
.sponsored COUrSCS that fall within the DHS/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 littr)://wNvw.riu-stresi)oji(lei-tr,,tiiiiii,-,.!�-,ov.
Training Not Provided by DHSIFEAIL4, These trainings include courses that are either state
sponsored or federal sponsored(non-DHS/FEMA), coordinated and approved by the SAA or
their designated TPOC, and fall within the DHS/FEMA mission scope to prepare state, local,
tribal, and territorial personnel to prevent, protect against, mitigate, respond to, and recover from
acts of terrorism or catastrophic events.
• State Sponsored Courses. These courses are developed for and/or delivered by
institutions or organizations other than federal entities or DHS/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. 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 DHS/FEMA provided training and other Federal and state
training can be found at littp-J Vvw'fi
Training Information ReporlingS)Pstein ("R`eb-F-orms ),, Web-Forms are 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-Forrns is
not required under FY 2017 HSGP; however,the system remains available and can be accessed
through the DHS/FEMA Toolkit located at lilts w.11 rstresponderl ra i n i n L)o Oadin in in order
to support recipients in their own tracking of training.
Additional Exercise Information
Recipients that use HSGP ffinds to conduct an exercise(s) are encouraged to 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. Recipients 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 organisations included
in the plan.
• Validating Capabilities. Exercises examine and validate capabilities-based planning
across the Prevention, Protection, Mitigation, Response, and Recovery mission areas.
The extensive engagement of the whole community, including but not limited to
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examining the needs and requirements for individuals with disabilities, individuals with
limited English proficiency and others with access and functional needs, is essential to
the development of an effective and comprehensive exercise program. Exercises are
designed to be progressive—increasing in scope and complexity and drawing upon
results and outcomes from prior exercises and real-world events—to challenge
participating communities. Consistent will) Homeland Security Exercise and Evaluation
Program guidance and tools,the National Exercise Program (NEP) serves as,the principal
exercise mechanism for examining national preparedness and measuring readiness.
Exercises should align with priorities and capabilities identified in a multi-year TEP.
• �peeial 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 TER States must include all
confirmed or planned special events in the Multi-year TEP. The state or Urban Area may
plan to use SUISP or LJAS1 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.
• Role offon-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, design, and evaluation of an exercise. State, local,
tribal, and territorial jurisdictions are encouraged to develop exercises that test the
integration and use of resources provided by non-governmental entities,defined as the
private sector and private non-profit, faith-based,and community organizations.
Participation in exercises should be coordinated with local Citizen Corps Whole
Community Council(s)or their equivalents and other partner agencies.
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 sign).
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Appendix D —
FY 2017 OPSG Operations Order Template and Instructions
Operations Order Template Instructions
The OPSG Operations Order Template can be found by selecting the link for the FY 2017 HSGP
NOFO on FEMA's preparedness grants page (1rtt':is:/1"WNvev.tenui.twv/prcp,,ired r�ess-iiobi-dis aster-
111-11ts).
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,tribal, and territorial 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 as an Adobe Acrobat(*.pdf) document
• 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.
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Appendix D—FY 2017 OPSG Operations Order Template and Instructions
Agreement No. 5619
Appendix E — FY 2017 OPSG Operational Guidance
Appendix E is intended to provide operational guidance to OPSG al)plicants on the development
of a concept of operations and campaign planning, the tactical operation period,and reporting
procedures. This guidance 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.
OPSG uses an integrated approach to address transnational criminal activity. Federal, state,
local, tribal, and territorial partners are required to establish and maintain an OPSG Integrated
Planning Team (IPT)with representation from all participating law enforcement agencies, co-
chaired by representatives from USBP, the SAA, and participating local law enforcement
agencies' OPSG program representatives. USBP will provide routine monitoring and technical
expertise to each participating agency. The content of each operational plan,to include the
requested items 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 with federal, state, local,
tribal, and territorial partners,to meet the needs of the USBP Sector. Consideration will be given
to applications that are coordinated across multiple jurisdictions. All applicants must coordinate
with the CBP/USBP 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 are being 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 ensnare that OPSG partners maintain synergism and have a coordinated 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: 1)application, 2) concept of operations
to formulate a Campaign Plan, and 3)one or more tactical operational periods, which are all
developed by the IPT. All operations orders: Concept of Operations(CONOPS), Operation
Orders(00) or Campaign Plans and Fragmentary Orders(FRAGOs)except for the initial
application package shall be submitted through the CBP Stonegarden Data Management System
in MAX.gov.
Application: Please refer to Section D Avr)lication and Stil,-)niission liil"(.)i-i-natioii-iiis(rLictit)i)s
for OPSG.
Campaign Plan: 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
Page 73 of 86
Appendix E—OPSG Operational Guidance
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IPT. The campaign plan should articulate the participant agency's long-term border security
objectives and goals designed to mitigate border-security risk.
Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that
OPSG usage is commensurate to the unique risk of each border region. This may require several
short-term operations that combine to form an ongoing operational cycle, ensuring that USBP
commanders and state, local, tribal, and territorial 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 are to be used
throughout the performance period. The operations plan will project planned expenditures in the
following categories: overtime, equipment, travel, maintenance, fuel, and administrative funds.
The sub-recipient 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 sub-recipient intends to spend more than 50%of its award on
overtime over the course of the performance period, a PRICE Act waiver request must be
submitted in accordance with 113 379: (41idaiice to State Administrative Aaeti :ies to L"'x nedite the
ILAP(NIrliture t'rt`t„.;eil dii DHS1Y1,N1A Gnmt FUMlir -1.,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. Sector approved campaign plans must be
submitted to USBP Headquarters no later than 4 months after the official awards
announcement has been made.
Tactical Operational Periods: Once the sub-recipient is ready to conduct operations,the area
IPT will begin planning tactical operations. The operation order tracking number for each
operational plan will be assigned by CBP/USBP. The operation order number will remain intact
for the duration of the grant's PoP.
In the event that changes or additional funding requests to the original operational plan must be
made, a Fragmentary Order(FRAGO)will be created. These modifications will be annotated in
the annex section of the FRAGO.
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,tribal,
and territorial 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)the integration of intelligence and
border security; 4) use of targeted enforcement techniques; 5) clearly stated objectives; and 6)an
after-action meeting. A campaign should involve several tactical operational periods. These
periods require deliberate on-going planning to ensure command, staff, and unit activities
synchronize to current and future operations. The cyclical nature of the process will ensure
OPSG activities align with the fluctuating border-security threats and vulnerabilities. Planners
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Appendix E—OPSG Operational Guidance
Agreement No. 5619
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 USBP 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
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 periods inay be broken-down into three, six or twelve month
increments. 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 11"T's intent. Each tactical operational period will begin on a predetermined date and end on
a predeterm i tied date, but the dates may, be subject to change commensurate with e►nerging
security conditions. The starting date of the operational period should be established to allow,
sufficient time For the order to be submitted and approved by the corresponding USBP Sector
and in concurrence with its SAA and USBP Headquarters. The USBP Sectors will upload copies
of tactical period operations in the corresponding carnpaign plan folder in the CIDP Stonegarden
Data Management System in MAX.gov.
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Appendix E—OPSG Operational Guidance
Agreement No. 5619
The following diagrarris illustrate two different approaches for conducting operations:4
CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start FY end
M-1, Aw, M.y Jun, July Aug-t
Ji
This cycle illustrates contiguous operations. This is an example of a twelve month campaign
plan with four tactical operational periods.
Figure 1:Example of an Ongoing Synchronized Operational Cycle
CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: I FISCAL YEAR
FY start FY end
vwwO:�,
Thiscycle,illustrates operations on an as-needed basis.in response to emer4ing border
security threats-This is an example of twelve month campaign plan. with five tactical
operational periods. This sari shows overlapping operations as well as times when there
are no operations being conducted.
Figure 2: Example of a Dynamic,Unsynchronized Operational Cycle
4 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 for clarification
Page 76 of 86
Appendix E—OPSG Operational Guidance
Agreement No. 5619
111. Reporting Procedures
Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used,
and how the state, local and tribal agencies' operations have impacted border security through
the mitigation of threat or vulnerability and the overall reduction of risk. Reporting will focus
on: monitoring program performance;, determining the level of integration and information
sharing; and developing best practices for future operations. To ensure consistent reporting each
state, local and tribal agency will identify a single point of contact to represent their agency as a
member of the IPT and to coordinate the submission of reports or execute other aspects of the
grant.
The Daily Activity Report, which can be found by selecting the link for the FY 2017 HSGP
NOW on FEMA's preparedness grants page
L,rants), is to be used to submit the ongoing results and outputs frorn OPSG operations
conducted. The information and statistics included in the DAR will be delineated by agency
(friendly forces), The Daily Activity Report must be submitted to the USBP sector, or the
participating agency's OPSG coordinator within 48-!tours of the conclusion of each OPSG shift.
Sub-recipients and Sectors are responsible to ensure that DARs are submitted in the proper
format and in a timely manner. DARs will be Submitted using tile CIDP Stonegarden Data
Management System in Nvvv� %,JNIAX.Lyov. Friendly Forces receiving funding through a sub-
recipient will submit DARs within 48 hours, Border Patrol Sectors and OPSG subrecipients will
implement internal protocols to ensure operational data from sub-recipients and friendly force
DARs are properly collected following the established guidelines. USBP Sector Coordinators
will compile the results from each Daily Activity Report at the end of the month and reconcile
with the OPSG sub-recipients by the 101"day of the Following month.The USBP sector will
compile the reconciled results from the participating agencies and submit the results to USBP
I-leadquarters by the 15 1h of each following month.
In addition to the ongoing reporting of outputs, sub-recipient participants will be required to
submit After Action Reports to USBP sectors within 10 days of closing the operational POP for
that funding year. The After Action Report should carefully articulate outcomes and outputs, as
well as how the results of the operation compare with the objectives identified during the pre-
planning meeting. Failure to submit the After Action report in a timely manner may prevent the
approval Of future operations requests. All AARs and other OPSG reporting requirements will
be submitted through the CBP Stonegarden Data Management System in wwNv,MAX.L)ov.
Sectors are responsible for submitting AARs into Border Patrol Enforcement Tracking System
(BPETS) as applicable.
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 USBP sector's Chief Patrol Agent, or his/her designee,will:
► Coordinate and chair the area Integrated Planning Team's meetings;
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Appendix E—OPSG Operational Guidance
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• Coordinate with all interested and eligible state, local,tribal, and territorial 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 tile
application, which is similar to the Operations Order used by tile Border Patrols
— Forwarding the approved operation portion of the application to CBP/USBP
Headquarters, as well as to the SAA to complete the application process set by
DHS/FEMA/GPD
— Detailing what operational support the USBP Sector anticipates for specific
periods and matching the capabilities of partners to fill those gaps; and
• Following the announcement of grant awards, coordinate and chair a meeting with state,
local, tribal, and territorial agencies that received OPSG awards to develop an
individualized campaign plan. This includes:
— Working with state, local, tribal, and territorial agencies, along with other federal
law enforcement agencies to determine tile 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, tribal, and
territorial agencies and ensuring that the operation is conducted as outlined in
Section 1;
— 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;
— Providing a single point of contact to participants as a subject-matter expert in
OP,SG that can coordinate,collect, and report operational activities within the
established reporting procedures;
— Providing verification that operations are actually conducted;
— Documenting and conducting random, on-site operational verification of OPSG
patrols by sub-recipients and friendly forces;
— Verifying that sub-recipients are performing OPSG enforcement duties in
accordance with applicable grant, statute, regulatory guidance, and instructions;
and
— Ensuring that grant funds are appropriately expended to meet sector border
enforcement operational requirements and assist in enhancing sub-
recipient/friendly force capabilities in order to provide for enhanced enforcement
presence, operational integration, and intelligence sharing in border communities.
This will not be entered into the Border Patrol Enforcement Tracking System(BPETS).
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Appendix E—OPSG Operational Guidance
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The state, local or tribal agency lead, or their designee,will:
• Coordinate with the SAA on all grant management matters, including but not limited to
the development and review of operations orders, expenditure of funds, allowable costs,
reporting requirements;
• Participate as a member of the Integrated Planning Team to facilitate the application
process during the open period and ensure the application is submitted in compliance
with the grant instructions;
• Upon receiving a grant award, coordinate and meet as a member of the Integrated
Planning team to develop ail 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 11;
• Conduct operations, on an as-needed basis throughout the length of the grant
performance period;
• Integrate law enforcement partners from contiguous counties and towns into their tactical
operations to expand the layer of security be'yond existing areas;
• Ensure all required reports, including reports from friendly forces, are submitted 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-inatter
expertise in OPSG who can coordinate, collect, and report operational activities Nvithin
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-award agreement to disburse the allocated funding awarded through
DHS/FEMA/GPD;
• Generate quarterly reports to DHS/FEMA capturing the sub-recipients' obligation and
expenditure of funds;
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Appendix E—OPSG Operational Guidance
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• Determine if the grant's performance period requires additional refinement over the
federally established 36-month period; and
• Conduct audits of the program to ensure that the sub-recipients are in compliance with
program guidance.
V. Definitions (OPSG only)
Area of Interest: A specific area,areas, or facilities known to be used by transnational criminal
organizations in furtherance of their criminal activity.
!Qiwaien Plan: The first Operational Order based on the CONOP aimed at accomplishing a
strategic or operational objective within a given time and space.
C,oriceot of Overations (CONOPI: 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). It is also the operational equivalent of the OPSG grant
application.
FraRmentary Order f RAGO): A fragmentary order is a modification of the approved campaign
plan. After an operation order has been approved, any changes to a campaign plan will be
submitted as a FRAGO. Subsequent FRAGO's are permissible.
friendly Forces: Local law enforcement entities with whom OPSG sub-recipients provide
funding to support border security operations.
Inteerated Planning! Team: Group that coordinates on all aspects of OPSG application,planning,
and de-briefings.
Overational Cvcle: A deliberate on-going cycle of command, staff, and unit activities intended
to synchronize current and future operations (driven by ctirrent intelligence and short-term goals
that support the campaign).
Qperational Discitfline: The organized manner in which an organization plans, coordinates, and
executes the OPSG mission with common objectives toward a particular outcome.
Qveration/Oi)erational Order (00 : A forinal description of the action to be taken to accomplish
2_1
or satisfy a CONOP, Campaign Plan, or FRAGO. The 00 includes a detailed description of
actions to be taken and required logistical needs to execute an operation.
Performance Measure: A numerical expression that quantitatively conveys how well the
organization is doing against an associated performance goal, objective, or standard.
Risk: Potential for an adverse outcome assessed as a function of threats, vulnerabilities, and
consequences associated with an incident, event, or occurrence.
Page 80 of 86
Appendix E—OPSG Operational Guidance
Agreement No. 5619
Tactical Onerational 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.
har�,cted Enforcement: The leveraging of all available assets against a specific action,area,
individual, or organization and using those deemed most appropriate to mitigate risk.
Tareet 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.
Tier: Tier refers to the geographical location of a municipality, county or tribe with respect to
the border, i.e., Tier 1 is a county located on the border; a Tier 2 county is a county contiguous to
a Tier 1 county. A Tier 3 is a county not located on the physical border; a Tier 3 county is a
county contiguous to a Tier 2 county.
Unity of Effort: Coordination and cooperation among all organizational elements, even though
they may not be part of the same "command" structure, to achieve success.
Vulnerability: The protective measures in place are less than the protective measures needed to
mitigate risk.
Page 81 of 86
Appendix E—OPSG Operational Guidance
Agreement No. 5619
Appendix F — FY 2017 HSGP Allowable Cost Matrix
Allowable Planning Costs
pighazard/threat-specific annexes that incorporate the range of prevention, Nliumu
otection,"1!�onse,and recovery activities
Developing and implementing homeland security support programs and adopting
N
ongoing DHS/FEMA national initiatives
Developing related terrorism and other catastrophic event prevention activities jp 11911^u (i
N
Developing and enhancing plains and protocols N
Developing or conducting assessments
Niwvili Ai"
N
Hiring of( or part-time staff or contract/consultants to assist with planning
activities(not for the purpose of hiring public safety personnel fulfilling traditionalol N
public safety duties) f .....................
Materials required to conduct planning activities
10 �Gi
Traveliper them related to planning activities 111111111 hill %
.................
Overtime and backfill costs(in accordance with operational Cost Guidance) ........ ........
Issuance of WHTI-cojnpliant Tribal identification cards N N
Activities to achieve planning inclusive of people with disab0ities and others with N
access and functional needs and limited English proficiency. ....................
Coordination with Citizen Corps Councils for public information/edUcation and
Cevelopment of volunteer programs N
: N
�ate overnance structures and processes and plans for emergency communications 5
Activities to achieve planning inclusive of people with limited English proficiency
Allowable Organizational Activities
Reimbursement for select operational expenses associated with increased security N
measures at critical infrastructure sites incurred(tip to 50 percent of the allocation)
Overtime for information, investigative,and intelligence sharing activities(up to 50 wt
percent of the allocation) Ift M11110
Hiring of new staff positions/coritract(,irs/cotistittants for participation in
information/intelligence analysis and sharing groups or fusion center activities(up to1 ul N
50 percent of the allocation) ail
Allowable Equipment Categories
I Personal lam
,�rotec�i�S_Eic itipment, INTIUM aiia2k
f7n.\pI—osivc Device Mitigation and Remediatio�n—E—quipntentL N
CBRNE Operational Search and Rescue Equipment N
Information Technology
............................1,
Cybersecurity Enhancement Equipment 1,11,111,11,............ N
Interoperable Communications Equipment
Detection mg, IIJ liN jm�i
mi;
Decontamination N
Medical Z,!B
Power(e.g.,generators.batteries,power cells) V YiurtiIIV'u
CBRNE Reference Materials IN
N
9 CBRNE Incident Response Vehicles
N
Terrorism Incident Prevention Equipment,
Physical Security Enhancement Equipment
6 Current as of publication for FY 2017 Programs This list is not all-inclusive. See the respective program guidance for additional details and/or
requirements
Page 82 of 86
Appendix F—FY 2017 HSGP Allowable Cost Matrix
Agreement No. 5619
Inspection and Screening Systems
Animal Care and Foreign Animal Disease
CBRNE gill N
Prevention and Response Watercraft
CBRNE Aviation Equipment N
t uip
CBRNE LoguRR��F tnentistical S
N
Intervention Equipment(e.g.,tactical entry,crime scene processing) �Iys,11I!!
1=25 U
Other Authorized Equipment IM" "I I
AllowableTraining Costs
Overtime and backfill for emergency preparedness and response personnel attending 11 cul l
51
DI-IS/FETY[A-sponsored and approved trainin,4
classes RI�
IAV,
Overtime and backfill expenses for part-time and volunteer emergency response III
_personnel participating in DHS/FEMA training
T�
4s and
Activities to achieve training conferences inclusive of people with disabilities and others with
access and functional needs and limited English proficiency N
Full-or part-time staff or contractors/consultants
Travel wvllll"��� mem 11 ugllli
-ju
2plies maul
IIM N
Instructor certification/re-certification N
Coordination with Citizen Corps Councils in conducting training exercises N
( latero erable communications training N
Activities to achieve planning inclusive of people with limited English proficiency. YRS N
Allowable Exercise Related Costs
Design, Develop,Conduct,and Evaluate an Exercise a lull NIIMuIIvt
I� 1121111016MI004 N
Full-or part-time staff or contractors/consultants N N 01,
12
Overtime and backfill costs,including expenses for part-time and volunteer
crnergenc�L�sons�epersonnel participating in DHS/FEMA exercises N
Implementation of IISEEIII N
IN;
Activities to achieve exercises inclusive of people with disabilities and others with
I,
access and functional needs. I I 1111 N
11 4 pal
Travel imp I
Supplies
Interoperable communications exercises
Activities to achieve planning inclusive of people with limited English proficiency,
Allowable Management& Administrative Costs
Hiring of full-or part-time staff or contractors/consultants to assist with the
management of the respective grant program,application requirements,and
compliance withreporting and data collection requirementslid itu A
Development of operating plans for information collection and processing necessary
to respond to DHS/FEMA data calls
Overtime and backfill costs
Travel f IW
Meeting related expenses
Authorized office ecLuipment
N
of the grRecurring expenses such as those associated with cell phones and faxes during the Pol?
ai!
dI�elNll Ile lillVl l l �IVllllilm'dYdi!^91rolll' N
T_p!��granj.._,
Leasing or renting of space for newly hired personnel during the Pol?ofihegrani' 116
program q III N
Page 83 of 86
Appendix F—FY 2017 HSGP Allowable Cost Matrix
Agreement No. 5619
Appendix G — FY 2017 HSGP Supplemental Material
GPD collaborates with various subject-nnatter experts and acknowledges the value and expertise
these federal partner agencies provide to help shape the development and implementation of the
HSGP. This continued partnership and collaboration helps provide recipients with the greatest
number of resources required to effectively manage and implement funds as well as promote
transparency. Therefore, GPD is providing hyperlinks to information on various subjects and
policies that are relevant to the mission and intent of the DHS/FEMA and its preparedness grant
programs.
Radiological/Nuclear Detection
The Domestic Nuclear Detection Office (DNDO) is charged with coordinating the development
of the global nuclear detection and reporting architecture for a managed and coordinated
response to radiological and nuclear threats. This is achieved through planning and coordination
efforts with partners from federal, state, local,tribal,territorial, and international governments
and the private sector. To support these efforts,DNDO has developed a Radiological/Nuclear
Detection Supplemental Resource to provide guidance to stakeholders seeking to build or sustain
preventive radiological and nuclear detection capabilities using DHS/FEMA preparedness grants.
The guidance outlines integrating these capabilities with broader national preparedness
initiatives, including PPD-8 and THIRA, as well as the Global Nuclear Detection Architecture
using POETE-aligned activities. For more information please refer to
htti):�'/\vww,dlis.,-(,)v`/ptibI icat �tjrce-
t'aictiolot-,icalt'it.ictcai,-detectioti.
National Information Exchange Model(NIEM)
NIEM is a common vocabulary that enables efficient information exchange across diverse public
and private organizations.NIEM can save time and money by providing consistent,reusable data
terms and definitions and repeatable processes. To support information sharing, all recipients of
grants for projects implementing information exchange capabilities are required to use NIEM
and to adhere to the NIEM conformance rules. Visit litt'Ps://n iern,t,,ov/")n�i�ts for guidance on how
to utilize DHS/FEMA award funding for information sharing, exchange, and interoperability
activities.
The NIEM Emergency Management domain Supports emerge ncy-re lated services (including
preparing first responders and responding to disasters), information sharing, and activities such
as lionneland security and resource and communications management. The Emergency
Management domain has an inclusive governance structure that includes federal, state, local,
industry, and, where necessary, international partnerships. The NIEM Emergency Management
domain is committed to community support via technical assistance and NIEM training. For
more information on the NIEM Emergency Management domain,to request training or technical
assistance or to just get involved,visit lit(os://n iern.,-'ov/E N1.
Integrated Public Alert and Warning System (IPAWS)
The 2017 IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on
eligible public alert and warning activities and eqUillfInCrIt standards for prospective state, local,
tribal, and territorial recipients. The intent of this document is to promote consistency in policy
Page 84 of 86
Appendix G—FY 2017 HSGP Supplemental Material
Agreement No. 5619
across federal grant programs, and to ensure compatibility among federally-funded projects. For
more information on the IPAWS, please go to
I i bra rv4asse ts/doc u ill e ills/105518,.
Homeland Security Information Network
HSIN is a user-driven, web-based, information sharing platform that connects all homeland
security professionals including the Department of Homeland Security (DHS) and its federal,
state, local,tribal,territorial, international, and private sector partners across all homeland
security mission areas. FISIN is used to support daily operations, events, exercises, natural
disasters, and incidents. To support user mission needs, FISIN provides three sets of services for
secure information sharing. The first service provides a shared place for communities to securely
collaborate on homeland security issues and includes core functions such as a web conferencing
and instant messaging tools with white boarding, video, and chat services for real time
communication and situational awareness. The second set provides secure dissemination and
sharing capabilities for horneland security alerts, reports, and products. The third set allows users
to access and query a variety of shared data and services from all homeland security mission
areas and trusted federal partners. Preparedness grant funds may be used to support planning,
training and development costs associated with developing and managing, mission critical, I-ISIN
communities of interest and sites. [..,earn more about HSIN at
i,'Llidance.
GSA's State and Local Purchasing Programs
The U.S. General Services Administration(GSA)offers two efficient and effective procurement
programs for State and local and governments and certain other non-Federal entities, to purchase
products and services directly from pre-vetted contractors, to fulfill homeland security and
technology needs. The GSA Schedules(also referred to as the Multiple Award Schedules and
the Federal Supply Schedules)are long-term government-wide contracts with commercial firms
that provide access to millions of commercial products and services at volume discount pricing
Cooperative Purchasing -ov/cooperativepiti,cli�isiii,,,)
,_(www.gsa...(www.gsa.gov/cooperativepaarclaatsia•agl
Purchasing, authorized by statute, allows state and local governments to purchase
under specific GSA Federal Supply Schedule (also known as Multiple Award Schedules (MAS)
and Schedules) contracts to save time, money, and meet their everyday needs and mission.
State and local governments are authorized to purchase IT products, software and services found
under Federal Supply Schedule 70 and the IT related categories under the Consolidated
Schedule through the introduction of Cooperative Purchasing, and state and local governments
may purchase alarm and signal systems, facility management systems, firefighting and rescue
equipment, law enforcement and security equipment, marine craft and related equipment, special
put-pose clothing, and related services as,contained in Federal supply Schedule 84 (or any
amended or subsequent version of that Federal supply classification group).
Disaster Put-chasing
Disaster Purchasing, authorized by statute, allows state and local governments access to all
Federal Supply Schedules, for the purchase of products and services to facilitate disaster
preparedness or response or recovery from major disasters declared by the president under the
Page 85 of 86
Appendix G—FY 2017 HSGP Supplemental Material
Agreement No. 5619
Robert T. Stafford Disaster Relief and Emergency Assistance Act OR to facilitate recovery from
terrorism, or nuclear, biological, chemical, or radiological attack.
State,Local,Tribal and Territorial (SLTT) Cybersecurity Engagement Program
The DHS Office of Cybersecurity and Communications (CS&C), within the National Protection
and Programs Directorate, is responsible for enhancing the security, resilience, and reliability of
the Nation's cyber and communications infrastructure. CS&C works to prevent or minimize
disruptions to critical information infrastructure in order to protect the public,the economy, and
government services. CS&C leads efforts to protect the federal ".gov- domain of civilian
government networks and to collaborate with the private sector—the ".com" domain---to
increase the security of critical networks,
The DHS Sl,TT Cybersecurity Engagement Program within CS&C was established to help non-
federal public stakeholders and associations manage cyber risk. The program provides appointed
and,elected SLI"I' government officials with cybersecurity risk briefings, inrormation on
available resources, and partnership opportunities to help protect their citizens online. Through
these and related activities, the program coordinates the Department's cybersecurity efforts with
its SLTT partners to enhance and protect their cyber interests. More information on all of tile
DHS CS&C resources available to support SLTT governments is available at ht(ns:///xv",w.us-
�ov/ecubedvt2.
Regional Resiliency Assessment Program (RRAP)
The Regional Resiliency Assessment Program (RRAP) is a cooperative assessment of specific
critical infrastructure within a designated geographic area and a regional analysis of the
surrounding infrastructure that address a range of infrastructure resilience issues that could have
regionally and nationally significant consequences. rhese voluntary, non-regulatory RRAP
projects are led by the Office of Infrastructure Protection (JP), within the Departinent of
Homeland Security's National Protection and Programs Directorate, and are selected each year
by the Department with input and guidance from Federal, State, and local partners. For
additional information on the RRAP, please visit
asscssin c lit-oroin,ani.
Page 86 of 86
Appendix G–FY 2017 HSGP Supplemental Material
LOS ANGELES COUNTY/DEPARTMENT OF AUDITOR
-COfaITROLLER FIBIT G
greement No.
SHARED SERVICES DIVISION
GRANT PAYMENT REQUEST
�I
SECTION A: SUBMITTING YOUR REQUEST
Please submit @egibl supporting documents,files and completed request form at:
1.Grant Name&Year:
Grants( auditor.lac'ountv.q'ov
In the event e-mail is not available,you can mail your Grant payment request to(please do not fax or send duplicates);
Department of Auditor-Controller
Shared Services Division/Attn:Grants Unit 2f
3470 Wilshire Blvd.,Suite 812 LO—
Los Angeles,CA 90010
SECTION B; SUB RECIPIENT'S INFORMATION!
r ..
1,Sub-recipient's Name:(reimbursement check will be made payable to the name enter here) I3.Taxpayer ID#: 4.Contact's Name:
12.Mailing Address(please let us know where you want your check delivered,including attention line if necessary): 4.Contact's phone:
(4.Contact's e-mail:
SECTION C: DETAIL PAYMENT REQUEST INF
11j1 ORMATION
1.SOLUTIONAREA 2.ITEM# 3. 4.EHP required? 5.VENDOR'S INVOICE# 6.PURCHASE METHOD 7.CLAIM
(e.g.equipment,training, (e.g.17.020) PROJECT (Environmental&Historic Preservation) If services,supplies or equipment "If the purchase price is$150K or more for a Non- AMOUNT
planning,exercise) ALPHA were purchased, please attach Competitive Bid or a Sale Source,please attach (indicate the
(e.g.D) invoices (maximum of 5)andState's Prior A rov pP a1. amount per each
I indicate purchase method b line)
i NO YES(attach P y Competitive
completing numeral 6. Non-Competitive
prior State P 9 Bid?(How BidiSole Source
Approval)
man
_........_..----__.,._._.___'_._.__.._ _. _,__............_........_. _. ................... ..».». ..w...._...........................I...........
__ -- -
8.TOTAL
�ECTbNi I SUR�CIPIEITEI , „FItI4I b �C l n �. 9 N, ly
I certify that(please use the checkbox):
I I
P PP 9 9
1.1 am the duly authorized officer of the claimant herein and this claim is in all respect true and correct. All
expenditures were made in accordance with applicable laws,rules,regulations and rant conditions and STAMP WITH RECEIVED DATE HERE:
assurances.
2.All instructions for this form were followed and all the supporting documentation(per instructions)is included
with this claim.
3. I,
AUTHORIZED SIGNATURE DATE
4.
AUTHORIZED PRINTED NAME AUTHORIZED TITLE
5,
AUTHORIZED CONTACT(INFORMATION(If different from Section B): ASSIGNED INVOICE NO.:
PHONE#
E-MAIL:
NOTE:This Form is intended for Internal SSD review purpose only.
Revised on 11/20/2017
COUNTY OF LOS ANGELES
g 619
INSTRUCTIONS TO COMPLETE THE GRA
ement o
INSHARED SERVICES DI 4UE
STRUTMENT OF AUDITORNT PAYMENT RE „ S'T„
Purpose of these instructions:
To assist sub-recipients in completing the Grant Payment Request. We appreciate your participation in this program, for questions or
suggestions please use our e-mail below to contact us. Please do not send these instructions to us,they are to be used for your
guidance only.
1I EC'TIWA: GENERAL INSTRUCTION'S FOR SUBMIIS'SION'OF GRANT PAYMENT
REQUN*ST ,
.. M
In numeral 1 of this section,please enter the name and year of the grant program that you are submitting for payment. In addition, please help us
expedite the process of your Homeland Security claims by:
• Completing the Grant payment request correctly and according to these instructions.
• Submitting your Grant payment request using our e-mail-->Grants@auditor.lacounty.gov(please do not fax documents).
• Sending your Grant payment request only once(we do not require original documents and duplicates will slow down our process).
• Using the checkboxes to ensure all the required supporting documents and files accompany your Grant payment request. Supporting documents
are flagged for your convenience with a checkbox within the corresponding areas.
• Ensuring that all documents attached to your Grant payment requests are legible.
• Submitting Grant payment request timely. We do not guarantee the process of Grant payment requests that are submitted late or too close to the
final due date. Reimbursable expenditures need to be charged within the performance period of the grant and submitted to us as soon as they are
incurred.
SECTION B: SUB-RECIPIENT'S INFORMATION
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. Please enter the name of the agency requesting for payment. The name of the agency should be typed according to its signed agreement and as
you need it to appear in the payee line of the reimbursement check.
2. Please enter the complete address(street number and name,city,zip code)and attention line where you will need to receive the reimbursement
check. Please note that this is not necessary for L.A.County departments.
3. Please enter the tax ID of the governmental entity requesting payment. Please leave blank for L.A.County departments.
4. Please enter the information of the person that can assist us with detail claim questions.
In order to expedite your Grant payment request,in this area's grid, include a maximum,of five161 Invoices or reimbursements charoes(one charge
or one ilnv'oice Der line); The invoices or charges need to share the same solution area,project alpha and item#. In addition,invoices from one fiscal
year should be claimed separate from invoices of another fiscal year. For example: an invoice dated June 2015(FY 14/15)should not be combined with
an invoice dated October 2015(FY 15/16)in the same claim request.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. Enter the solution area corresponding to the claim. This information is found in the latest budget of the grant.Examples of solution areas are:
equipment,training,planning or exercise.
2. Enter the item#corresponding to the claim. This information is found in the latest budget of the grant. An example of Item#is 17.020.
3. Enter the project alpha corresponding to the claim. This information is found in the latest budget of the grant. An example of project alpha is D.
4. Check with an X under either yes or no according to the claim's Environmental&Historical Preservation(EHP) requirements from the State. EHP
approval needs to be obtained from the State prior to the start of the project on certain equipment items(see AEL description)or training/exercise
projects. Please attach the following:
a) ❑ State EHP Approval: if required by the state for your claim.
Revised on 11/20/2017
Page 1 of 4
tONthat you are claiming we vendor con p he invo QW,, 9hrte'aLO. AL60not
�5 ECI�')'he expenditures artt6rtl�ed fc��t e t
y g repurchased thru a or tractor, lease enter t that
you are responsible for following acceptable purchasing policies and for documenting your procurement process. Additionally please include the
following documentation with your claim:
a) ❑ Copy of the invoice: Please attach an invoice that provides sufficient information to be used as a cross reference with the items
described in your grant line item and AEL#. When the invoice includes items that are not being claimed or that belong to different claims
or grants,please circle and designate on the invoice the items that you are requesting for reimbursement.Each item circled must have a
project#,a funding source,and a total. Purchase orders and price quotes will not be accepted in the place of the invoice.
b) Copy of the purchase order
c) ❑ Print out of the corresponding AEL#(Authorized Equipment List number). The AEL listing can be found at:
hftps://www.rkb.us/fema_grants.cfm
d) ❑ Proof of payment of the invoice: The proof of payment for L.A.County Departments is the printout from e-CAPS showing that the check
cleared the bank.The proof of payment for other than L.A.County Department is the corresponding copy of the bank's cleared check.
e) ❑ Calculations for use tax paid: When use tax is paid,clearly show the calculations of the use tax in the invoice included in your claim,
D ❑ Proof of payment of the use tax:Please provide official documents which authenticate the remittance of the use tax to the state,the
amount and the reference to the invoice being claimed.
g) ❑ Federal Debarment Listing:Please provide a screen print out of the queried Federal Debarment Listing at
h"o,t/www.s,am.(iov/portal/public/S`AM. (you will need a username and a password;if you don't please create an account). The listing
needs to be queried prior to the selection of the vendor.
6. If you are claiming services,supplies or any other type of items purchased thru a vendor or contractor,please indicate with an X the method that you
used to acquire the items(do not leave blank or mark more than one). Please note that competitive bid,non-competitive bid or sole source are the
only valid purchasing methods.
a) ❑ Competitive Bid: for projects that received more than one bid. Please indicate number of bids received(must be more than one).
b) ❑ Non-Competitive Bid: for single bid purchases of$150„000 or more to a single vendor or a single project,please attach the approval
from the State. The approval needs to be requested from the State rior to the start of the project,
c) ❑ Sole Source: for non-bid purchases of$150,000 or more to a single vendor or a single project,please attach the approval from the State.
The approval needs'to be requested from the Stater�to the start of the project.
7. Enter the amount of your claim after you verify that your budget is sufficient to cover your request. When the amount of the budget is not sufficient,
please let your Program Coordinator know of the possible need for budget modification.
8. Enter the"Total Amount”by adding the subtotal claims included in each line.
iq;
udO II,mil iPl`". I ,11Mw:
Ieylim'luijlju iWl"um'6Vi,
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. Please read and check the box provided if you are an authorized signor.
2. Please read and check the box provided if you are an authorized signor.
3. Please sign the Grant payment request if you are an authorized signor of your agency.
4& When the authorized person is the same as the contact person in Section B you do not need to enter the authorized contact information.If the
S. authorized person and the contact person in Section B are different,please enter all the fields in this area as requested.
Revised on 11/20/2017
Page 2 of 4
I�'�„�I 4�'MAr"IMI ,U��r +�!li� ll�f!�" �'IIlw�u�lr"r;I �; � �ri' I�!I�I !'�� GR1� �"�wh ��,dV�n ;m .,, ���Illllly� �IM1uullul�l�il�;uJllm 11WV�ijVVli��, uuullulllli�lldrl
For Eguloment Claims:
a) F1 Equipment Inventory Listing(Print out&Excel File):Please include both the printout of the listing l and the corresponding excel file with
your claim. The excel file is used to submit your claim with the state and the printout as backup document for audits, If there is no serial#
for your equipment please assign a valid ID tag,or write"Consumable"(if it applies)or write N/A. please do NOT leave the corresponding
space blank. *1 Please refer to the In'structi'ons to Eggl Inty Tab for completion procedures of Equipment.Inventor rte.
Additionally,please enter the appropriate CBRNE Mission(Chemical,Biological,Radiological,Nuclear,or Explosive)in the column titled
"Equipment Description&Quantity". This only applies to vehicles with AEL#12VE-00-MISS(Vehicle Specialized Mission:CBRNE).
You need to inform us of any changes on the items above*11. This applies to each piece of equipment added in the Inventory
Listing,including when the items are disposed and/or no longer useful. We will update the master inventory listing(per grant
requirement)according to the information you give us. Please make sure that you include all the attachments that are necessary
to provide us with the requested information.
For Training Claims;
a) F-� State-Sponsored Training Reporting Form(with the tracking request#):Please add this form along with the Training Request Form
Training Officer(POC), which you completed at the website,to the claim's backup documentation. All the backup documentation
submitted for the training claim needs to agree with the training period and the detail description on the Training Reporting Form and the
line item of the Grant. Training request#'s must be obtained from the State prior to the start of the project.
b) ❑ Receipts and paid Invoices:please include the complete copy of the receipts and paid invoices with your claim for itemized costs such
as air plane tickets,hotel stays,instructor's fees,workshop cost,facilities fees,consulting services,etc. Additionally,you will need to
include the documents requested in numeral 5 under Section C.
If you are including personnel cost with your training claim,please add the following:
c) ❑ Personnel List(Print out&Excel File):Please include both the printout of the listing and the corresponding excel file with your claim.
The excel file is used to submit your claim with the state and the printout as backup document for audits.
d) ❑ Documents that certify completion of the training:please attach supporting documents that show the class name,dates of training,#
of hours of the training class,printed(name and signature of individual taking the class and approval signature from supervisor or trainer
(attach the information for backfilled positions also). Examples of documents that certify completion of training are:
Attendance sheets (signed by employee and instructor)
e Sign in sheets (same as above) * Signed training certificates
e) ❑ Summary Listing of Charges: Please use the Training Summary Sheet form provided in this claim packet that clearly shows the
breakdown of the training charges per employee and that match the total claimed. This form includes the following:employeename,
assignment, job title,date,salary, hours claimed,regular rate,overtime rate,employee benefits rate,claim amount per employee,clear
calculations of amount claimed per employee and total(equal to the amount claimed).
Please ensure that the Training Summary Sheet is verified/approved by an authorized signatory,with printed name and title,and
dated.
f) Backup for the Benefits Rate: If you are adding benefits to your claim,please make sure that you include the official calculation for the
rate used.
g) Timecards: Include a printout of the corresponding timecards. Manual timecards need to indicate the#of hours charged per day to the
grant,supervisor's signature,employee name and signature. Automatic system generated timecards need to be approved and include the
name of the employee and hours charged per day to the grant.
h) Explanation of timekeeping codes:When the supporting documentation(timesheet,payroll register,etc.)includes timekeeping codes
please provide a printout with the explanation of the usage'as detailed as possible.
J) Payroll register: The payroll register needs to clearly support and explain the amount claimed per employee. It also needs to show the
salary,hourly rate,employee benefits and overtime rate.
Revised on 11/20/2017
Page 3 of 4
j) F] Roster of backfilled positions:When you are claiming overtime for a backfilled position,please attach the backfilled roster to your claim.
The roster needs to include the name of the backfilling employees,a short description of duties performed,the corresponding employee
whose duties were covered and the dates accordingly.Please make sure that the roster is signedA (hMy ftING)dcB&e9tation
corresponding to the employee covered by the backfilling position.
For Planning Claims:
a) F� Deliverable(or final product):Please include with your claim the final product of the planning activity(deliverable)that was identified in
the grant award.
b)
Signed Certificate of Completion:The certificate of completion can be an e-mail confirming that the planning activity was completed.
c) 7 Invoices:if your planning claim includes charges invoiced by vendors,please see requirements and documents you need to attach to your
claim forum under Section C(numeral 5 and numeral 6).
d) F� Supporting Documentation for Personnel Cost: When your planning claim includes personnel cost, please see d)to i)under Training
Claim(supporting documents needed)and add to the documentation.
For Exercise Claims:
a) F7 Proof of Slate Approval of After Action Report(AAR): In order for,your AAR to be approved you have to submit it to the State using the
ODP Portal(',see link below),within 90 days after completion of the exercise. You need to notify the State when the AAR is uploaded so
they can proceed with the approval process.
https://hseep.dhs.gov/DHS_SSO/
b) F-1 Invoices: If your exercise claim includes charges invoiced by vendors please see requirements and documents you need to attach to your
claim form under Section C(numeral 5 and numeral 6).
c) F-1 Supporting Documentation for Personnel Cost: When your exercise claim includes personnel cost,please see d)to i)under Training
Claim(supporting documents needed)and add to the documentation.
For Oraanization Claims:Please see above b1 and cl under Exercise Claims
Revised on 11/20/2017
Page 4 of 4
Agreement No. 5619
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Agreement No. 5619
Equipment Inventory Listing
Procedures for Completion
OBJECTIVE: Toprovide onequipment inventory listing that links the State
Homeland Security Workbook,tnthe Equipment Ledger and hothe
Equipment Listing hosimplify the tracking and accountability;and(o
eliminate duplication and confusion.
Field Date Element Procedure
(1) Grant Name GHSPorEMPG
(2) Sub-Recipient Name nfyour agency
<3> Date nfReport Date report completed{1}
(4) Grant Year Grant Year uffunds used»opurchase equipment
(5) Project Line Project Line(from Grant Workbook)
(6) Project Alpha Project Alpha character(from Grant Workbook)
(7) AEL No. Authorized Equip Listing No(from Grant Workbook)
(8) Description Description ofthe equipment
(9) Serial#orOther|D# Serial#orOther identification#used
<10> Gafecnmoonou|t Fill out either hyYes, No,orN/A
(11) Source nfProperty Funding source,Le,SM8P. EMPG.etc.
(12) Title Holder Name ofagency(City/Departmant)
<18> Vendor Name Name nfthe vendor
(14) Invoice Number Invoice number
(15) Acquisition Date Date equipment acquired
(16) Acquisition Cost Cost o[the individual equipment item
(17) Y6ofFed Part Fed participation inthe cost ofequipment
(18) Location Location ofequipment
(19) Use&Condition Use&condition{2}
(20) Disposition data Date ofdisposition
(21) Sale Price Sale price, Ifapplicable,o,N/A for not applicable
The Equipment Inventory LimUnQMAstbecompleted inits entirety tomeet the objective
ofthe form.
Note{1}: This date should hethe date the physical inventory ufequipment was
taken and the results reconciled with the equipment records(at least
once every two yeos>.
(2) Indicate: N=New, D=Deployed,O=Out mf Service, L=Lost&S=Stolen
Pimthbwtion
Copy maintained insub-recipient file
Copy forwarded unShared Services Division
Agreement No. 5619
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Agreement No. 5619
8. Notes on Persunnel Cost:
In general, costs associated with:
❑ Work performed under contract for a specific deliverable DOES NOT count against the
personnel cap, however,
❑ Work performed under contract for an undefined period, such as for personnel costs
supporting operational activities, including general planning, training or exercise
activities DO count against the personnel cap; and
❑ Work performed by all non-contractor personnel, including for full-or part-time staff and
operational overtime DO count against the personnel cap.
The following examples would not count towards the personnel cap.
❑ Vendor installation of a radio tower;
❑ Vendor training on new equipment purchased;
❑ Contractor hired to create an Emergency Operations Plan;
❑ Contractor hired to provide deliveries of ICS 400; and
❑ Contractor hired to assist with planning, training, evaluating, and reporting the
effectiveness of a specific exercise.
The followiin e+ jxamples would count towards the personnel cap:,
❑ Contractor hired to be the State's WMD training instructor with no specific deliverables
under contract;
❑ Contractor hired to facilitate unidentified number of exercises throughout the
performance period;
❑ Contractor hired to be the part-time auditor of Homeland Security Grants throughout the year; and
❑ Contractor hired to be an intelligence analyst.