AGENDA MEMO
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APPROVED BY
CITY MANAGER
HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCILTO:
FROM:OFFICE OF THE CITY MANAGER
BY: DAN HURLOCK, FIRE CHIEF
DATE: DECEMBER 10, 2024
SUBJECT: APPROVAL OF AN AGREEMENT WITH THE COUNTY OF LOS ANGELES FOR THE DISBURSEMENT OF THE 2023 STATE HOMELAND SECURITY
GRANT FUNDS
EXECUTIVE SUMMARY
The City Council will consider authorizing the acceptance of $140,860 in grant funds through the 2023 State Homeland Security Grant Program. These funds will be used to support Fire Department and Emergency Management operations by providing the equipment, training, and materials necessary to prepare for and respond to major emergency incidents. Oversight of these funds is provided by the Los Angeles County Chief Executive Office with whom this agreement is executed. All expenditures made through this grant program are fully reimbursable
RECOMMENDATION
That the City Council
Authorize the City Manager or his designee to execute an Agreement with The County of Los Angeles for the disbursement of the 2023 State Homeland Security Grant Program Funds;
Accept and appropriate $140,860 of 2023 State Homeland Security Grant Program Funds; and
Authorize the City Manager or his designee to execute any and all Amendments to the Agreement as deemed necessary, which may include acceptance of additional Grant Funds from the County of Los Angeles if they become available during the Grant Period
2,
3. BACKGROUND
Since 2002, Los Angeles area police, fire, and emergency management agencies have received State Homeland Security Grant Program (SHSGP) funds to support regional efforts in homeland security emergency preparedness. This broad topic includes training, equipment, and exercises that bolster the capabilities of local agencies to respond to large
AUTHORIZE THE FIRE CHIEF OR DESIGNEE TO EXECUTE AN AGREEMENT WITH THE COUNTY OF LOS ANGELES FOR THE DISBURSEMENT OF THE 2023 STATE HOMELAND
SECURITY (SHSP) GRANT FUNDS
DECEMBER 10, 2024
PAGE 2
scale regional incidents. The 2023 State Homeland Security Grant Program aligns with national security priorities established by the Department of Homeland Security.
Information sharing•
Protection of soft targets and crowded places
Cybersecurity
•
•
Community preparedness and resilience•
Combatting domestic terrorism and violent extremism•
Election Security•
DISCUSSION
The County of Los Angeles Chief Executive Office serves as the grant manager for the SHSP program. Prior to grant approval, local agencies develop project ledgers that detail their needs for the current grant cycle. These ledgers are combined with other agencies throughout the region and submitted to the California Governor’s Office of Emergency Services (CaIES) for programmatic approval. The SHSP 2023 grant program has been approved by CaIOES.
Following approval by CaIOES, individual agencies fall under the oversight of the grant manager. A written agreement regarding the distribution of approved grant funds is required by the Los Angeles County Chief Executive Office prior to any reimbursement (Attachment A). This agreement is similar to previous iterations of the SHSP grant, with the project ledgers updated to reflect those programs approved in the 2023 grant cycle The following City of Downey departments have been awarded funding for the following projects
Fire Department•Search and Rescue Equipment
Rescue Training
Mobilization Exercise
CERT Equipment
$48,460
$75,000
§10,400
$7,000Emergency Mgmt.
$140,860
CITY COUNCIL PRIORITIES
Fiscal Responsibility
Efficiency & Adaptability
Quality of Life, Safety and Infrastructure
AUTHORIZE THE FIRE CHIEF OR DESIGNEE TO EXECUTE AN AGREEMENT WITH THE COUNTY OF LOS ANGELES FOR THE DISBURSEMENT OF THE 2023 STATE HOMELAND
SECURITY (SHSP) GRANT FUNDS
DECEMBER 10. 2024
PAGE 2
FISCAL IMPACT
There is no impact to the General Fund. This grant has no matching fund requirement When the grant agreement is fully executed, revenue and expenditure accounts will be updated to reflect the amounts shown in the grant ledger,
ATTACHMENTS
Attachment A: State Homeland Security Program Subrecipient Agreement Grant Year 2023 Between the County of Los Angeles and the City of Downey
State Homeland Security Program
Subrecipient Agreement
Grant Year 2023
Between the
County of Los Angeles
and the
City of Downey
SUBRECIPIENT AGREEMENT
BETWEEN THE
COUNTY OF LOS ANGELES
AND
THE CITY OF DOWNEY
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 Downey. a public agency (the "Subrecipient")
WITNESS ETH
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), Assistance Listings Number (formerly Catalog of Federal Domestic Assistance Number) 97.067 - Homeland Security Grant Program directly to the California Governor's Office of Emergency Services (Cal OES) for the 2023 SHSP, Federal Award Identification No 037-00000, Federal Award dated October 18, 2023 with a performance period of September 1, 2023 to May 31, 2026. This Federal Award is not a R&D award; and WHEREAS, the Cal OES provides said funds to the County of Los Angeles, Unique Entity ID (UEI) #MKQ9AQH7R2S5, 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 2023 SHSP grant from Cal OES in the total amount of $9,481,457; and WHEREAS, the CEO now wishes to distribute 2023 SHSP grant funds to the Subrecipient in the amount of $140,860, 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 September 10, 2024 authorized the CEO to prepare and execute this Agreement.
NOW, THEREFORE, the County of Los Angeles and Subrecipient agree as follows
SECTION
INTRODUCTION
5101, Parties to this Aqreement
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 City of Downey, a public agency, having its principal office at 9102. 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
The representative of the County of Los Angeles is, unless otherwise stated in this Agreement:
Craig Hirakawa
County of Los Angeles - Chief Executive Office
500 West Temple Street, Room 796
Los Angeles, CA 90012
Phone: (213) 974-1127
[email protected],gov
Kasey Dizon
County of Los Angeles - Chief Executive Office
500 West Temple Street, Room 796
Los Angeles, CA 90012
Phone: (213) 974-1764
[email protected]
2. The representative of Subrecipient is
Name and Title:
Organizational UEI #:
Address:
City/State/Zip
Phone
Email:
With a copy to
Name and Title
Organization:
Address:
City/State/Zip
Phone
Email:
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 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
5103. 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.
5104. 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 5411.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 Lowerber Covered Transactions, attached hereto as Exhibit B and made a part hereof, as required by Executive Order 12549 in accordance with 9411 .A. 12 of this Agreement
C. Certification Regarding Drug-Free Workplace, attached hereto as Exhibit C and made a part hereof, in accordance with 5411.A. 13 of this Agreement.
D. Certification of Grant Assurances, attached hereto as Exhibit D and made a part hereof, in accordance with 5411.C of this Agreement
SECTION 1
TERM AND SERVICES TO BE PROVIDED
5201, Performance Period
The performance period of this Agreement is from September 1 , 2023 to February 28, 2026, unless the County of Los Angeles, with Cal OES approval, 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 5503, below.
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report(s). In the event the Subrecipient does not meet the Single Audit Threshold expenditure amount in a fiscal year, the Subrecipient must provide the County of Los Angeles a copy of a letter sent to State Controller's Office noting the Single Audit Threshold was not met, and its exempt status within nine months after the end of the Subrecipients fiscal year, unless otherwise approved by the County of Los Angeles
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. Monitoring will utilize a Review Instrument (sample attached hereto as Exhibit H, and subject to periodic revisions) to evaluate compliance.
H. Subrecipient must provide Corrective Action Plan(s) to CEO within thirty (30) days of any audit finding
Subrecipient use of the Los Angeles Regional Interoperable Communication System's Motorola Solutions, Incorporated Land Mobile Radio System Contract to purchase equipment is unallowable unless the Subrecipient can clearly demonstrate to CEO it meets one of the four federal exceptions to necessitate a noncompetitive procurement before issuance of any contract, amendment, or purchase order,
J Subrecipient shall not use grant funds to purchase, extend, or renew any Telecommunications and Video Surveillance services and equipment as substantial or essential component of any system, or as critical technology as part of any system which the Secretary of Defense, in consultation with Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an owned, controlled by, or connected to the People's Republic of China such as and not limited to Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities); or Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities) K Any equipment acquired pursuant to this Agreement must be authorized in the G&T Authorized Equipment List (AEL) available online at https://www.fema.gov/authorized-equipment-list and the Funding Guidelines of the 2023 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 and any added Cal OES requirements. Federal procurement requirements for the 2023 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 3.
Will be consistent with needs as identified in the State Homeland Security Strategy and will be deployed in conformance with that plan; 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
L 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
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 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, (D 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, a) 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 or County of Los Angeles 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
M. Any Planning paid pursuant to this Agreement must conform to the guidelines as listed in Exhibit F or subsequent grant year programs
N. Any Organization activities paid pursuant to this Agreement must conform to the guidelines as listed in Exhibit F.
O. Any Training paid pursuant to this Agreement must conform to the guidelines as listed in Exhibit F, 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 https://www.firstrespondertraininq.qov/frts/ .
P. Any Exercise paid pursuant to this Agreement must conform to the guidelines as listed in Exhibit F. Detailed Homeland Security Exercise and Evaluation Program Guidance is available at https://www.fema.gov/hseep
Q. Any Personnel activities paid pursuant to this Agreement must conform to the guidelines as listed in Exhibit F.
R. Subrecipient must provide to CEO a spending plan detailing the required steps and timeframes required to complete the approved projects within the grant timeframe. Suk>recipient must submit the spending plan to CEO prior to final execution of this Agreement.
S Pursuant to this Agreement, indirect costs are not reimbursable.
SECTION III
PAYMENT
5301. Payment of Grant Funds and Method of Payment
A The County of Los Angeles will reimburse Subrecipient up to the maximum grant amount of $140,860 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, organization, and planning as described in Section II of this Agreement. The grant amount represents the amount allocated to Subrecipient in the 2023 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 a Project is completed and expenses are incurred and paid with the required supporting documentation; submission can be sent immediately or at a minimum on a quarterly basis, and no later than the date stated in 5201 above. Each reimbursement request must be accompanied by the Reimbursement Form (sample attached hereto as Exhibit G, and subject to periodic revisions). All appropriate back-up documentation must be attached to the reimbursement form, including the method of procurement, bid documentation, purchase orders, invoices, report of goods received, and proof of payment.
For Training reimbursements, Subrecipient must include a copy of the cEass roster verifying training attendees, proof that prior approval was obtained from Cal OES and that a Cal OES Feedback 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 fina tangible product.
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
5301.A., above, will not be utilized. As provided in 5503, below, any increase or decrease in the grant amount specified in 5301.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 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 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
9401. 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 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. 9402. Applicable Law, Interpretation 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
5403, Inteqrated Aqreement
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
5404. 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
5405. Prohibition Against Assiqnment or Delegation
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, 5406. Permits
Subrecipient and its officers, agents and employees must obtain and maintain al 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, 9407. 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 1 1246, 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://www.justice.qov/crt .
Any subcontract entered into by the Subrecipient relating to this Agreement, to the extent allowed hereunder, will be subject to the provisions of this 5407 of this Agreement
9408. 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 indemnity 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 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
5409. 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 2
3 A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract; The subcontractor is someone with whom such person has or is negotiating any prospective employment; or
The participation of such person would be prohibited by the California Political Reform Act, California Government Code 987100 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 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.)
5411. Statutes and Requlations 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 THe 2 CFR Part 200
2. Single 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 5912101 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 Activity 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.
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
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. 554728-4763) 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. 5874); the Contract Work Hours and Safety Standards Act (40 U.S.C. 55327-333), regarding labor standards for federally-assisted construction subagreements; and the Hatch Act (5 USC 551501-1508 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 seq
9. Civil Rights
Subrecipient must, as applicabEe, 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) btle IX of the Education Amendments of 1972, as amended (20 U.S.C. 551681- 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. 5794), which prohibits discrimination on the basis of disabilities; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 556101-6107), 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; (D the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1 970 (P,L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) 59523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 55290 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. 553601 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; 0) 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. Environmenta
Subrecipient must, as applicable, comply, or has already complied, with the requirements ofntles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1 970 (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. 551451 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. 597401 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 9102(a) (P. L. 93-234).
Subrecipient must, as applicable, comply with the Wild and Scenic Rivers Act of 1 968 (16 U.S.C. 551271 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, 554801 et seq.), which prohibits the use of lead-based paint in construction or rehabilitation of residence structures Subrecipient must, as applicable, comply with the Federal Water Pollution Control Act (33 U.S.C. 51251 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 Granter 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 921000 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 1 966, as amended (16 U.S.C. 9470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 et seq.)
12. Suspension, Debarment, Ineliqibilitv and Voluntary Exclusion Subrecipient must, as applicable, comply with Title 2 CFR Part 53000, 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.
13. Druq-Free Workplace
Subrecipient must, as applicable, comply with the federal Drug-Free Workplace Act of 1988, 41 USC 9701, Title 44 Code of Federal Regulations (CFR) Part 917; the California Drug-Free Workplace Act of 1990, CA Gov't Code 598350-8357, 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. Lobbvinq Activities
Subrecipient must, as applicable, comply with 31 U.S.C.1352 and complete the Disclosure of Lobbying Activities, (0MB 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 1 966, as amended (P.L. 89-544, 7 USC 952131 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 WMD 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 ntle 2, 58607.1 (e) and CCR btle 19, 552445-2448 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 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 Expenses
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 Exhibit F and in the State's "Grant Assurances". By signing these Grant Assurances and accepting Exhibit F, 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 Granter for any funds the State determines the Subrecipient used in violation of these Grant Assurances
Pursuant to this Agreement, Subrecipient shall execute the 2023 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
5412. 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
5413. Inventions, Patents and Copyriqhts
A. Reporting Procedure for Inventions
If any project produces any invention or discovery ("Invention") patentable or otherwise under btle 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, ntle 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
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(D(2) instead of unlimited rights, (btle 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, 5414. Child Support Assignment Orders
Under the terms of this Agreement, Subrecipient must, as applicable, comply with California Family Code Section 5230 et seq
5415. Minority, Women, And Other Business Enterprise Outreach Proqram 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, 9416, 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 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
5417. Method of Payment and Required Information
The County of Los Angeles 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
https://directdeposit.lacounty.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
SECTION V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
6501. 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, Termination
This Agreement may be terminated, in whole or in part, from time to time, when such action is deemed by the County of Los Angeles, in its sole discretion, to be in its best interest. Termination of work hereunder shall be effected by notice of termination to the Subrecipient specifying the extent to which performance of work is terminated and the date upon which such termination becomes effective The date upon which such termination becomes effective shall be no less than ten (10) days after the notice is sent
5503, 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 5301.A., above, or any extension of the performance period specified in 9201, 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 V
ENTIRE AGREEMENT
5601. Complete Agreement
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,
9602. Number of Paqes and Attachments
This Agreement may be executed utilizing wet, scanned digital, and electronic signatures, each of which is deemed to be an original. This Agreement includes (27) pages and (8) Exhibits which constitute the entire understanding and agreement of the parties
[Remainder of this page intentionally left blank]
IN WITNESS WHEREOF, the Subrecipient and the County of Los Angeles have caused this Agreement to be executed by their duly authorized representatives
COUNTY OF LOS ANGELES
BY
FESIA A. DAVENPORT
Chief Executive Officer
Date
BY
EDWARD YEN
Executive Officer, Board of Supervisors
BY
OSCAR VALDEZ
Auditor-Controller
APPROVED AS TO FORM
DAVWN R. HARRISON
County Counsel
BY
Deputy County Counsel
CITY OF DOWNEY
BY
City Representative/Title (Signature)(Print Name)Date
APPROVED AS TO FORM
BY
City Attorney (Signature – if Needed)(Print Name)Date
A1–rEST
BY
City Clerk (Signature – if Needed)(Print Name)Date
EXHIBITS
Certification and Disclosure Regarding Lobbying
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower ner Covered Transactions
Certification Regarding Drug Free Workplace
Certification of Grant Assurances
Final Grant Award Letter and Project Worksheet
2023 Notice of Funding Opportunity & 2023 Cal OES Supplemental to Federal Notice of Funding Opportunity
Reimbursement Form and Instructions
Monitoring Instrument
Exhibit A
Exhibit B
Exhibit C
Exhibit D
Exhibit E
Exhibit F
Exhibit G
Exhibit H
EXHIBIT A
Cal OES
GOVERNOR'S OFFICE
OF EHEReENCY SERVICES
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative Aqreements The undersigned certifies, to the best of his or her knowledge and belief, that:
1 No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency. a Member of Congress, an officer or employee of Congress. or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation. renewal. amendment. or modification of any Federal contract. grant. loan, or cooperative agreement
2 If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form- LLL, 'Disclosure of Lobbying Activities.' in accordance with its instructions 3 The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants. loans. and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1 352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10.000 and not more than $100,000 for each such failure.
EXHIBIT A
GOVERNOR'S OFFICE
OF EHERBENCY SERVICES
Certification Regarding Lobbying
The Subrecipient, as identified below, certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure. if any. In addition, the Subrecipient understands and agrees that the provisions of 31 U.S.C. Chap. 38. Administrative Remedies for False Claims and Statements, apply to this certification and disclosure, if any.
Suk)recipient:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title Date:
EXHIBIT B
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 debaned, 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
CONTRACTOR/BORROWER/AGENCY
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE DATE
EXHIBIT B
INSTRUCTIONS FOR CERTIFICATION
By sIgnIng and submittIng thIs document, the prospectIve recIpIent of Federal a9abtanc8 Is provIdIng the certIficatIon as 8et out below.
2.Tba certIfIcatIon in thl8 clause is a materIal ropr080ntatlon of fact upon whIch reliance was I>heed when thIs tran8actlon was entered Into. If it to later determined that the prospectIve recIpIent of Federal assIstance funds knowIngly rendered an erroneous certIficatIon, in addItion to other remedl88 avaIlable to the Federal Govemment, the department or agencY wIth whIch thIs transactIon origInated may pursue available remedIes, includIng suspension and/or debarment
3 The pr08pectlv8 recIpIent of Federal 888l3tance funds shall provIde ImmedIate wrItten notIce to the person to whIch thIs agr88ment Ig entered, if at any tIme the prospectIve recipient of Federal 88slstanco funds learns that Its certIficatIon was erroneous, when submItted or has become erroneous by reason of changed cIrcumstances.
4.TIle terms 'cavered transactIon,- -debarred,- -suspended,' IneIIgIble: lower tIer covered transactIon,- -partIcIpant," "person,' ' prImary covered transatHon,- 'princIpal,- -proposal,- and \oluntanly excluded,- as used in this clause, have the meanIngs set out In the DefInItIons and Cov8rage sectIons of rules ImplementIng ExecutIve Order 12549.
5.The prospective reclpient of Federal a98i8tance 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 tran8actlon wIth a person who b deb8rred, 9u8pended, declared IneligIble, or voluntarIly excluded from partIcIpation on thIs covered tran8acUan, unless authorized by the department or a png wIth whIch thIs transactIon origInated.
6.Tba prospectIve recIpIent of Federal assIstance funds further agnes by submitting thIs proposal that it wIll Include the clause tItled "CertIficatIon RegardIng D8barm8nt, Su6penslan, Inallglbility arId Voluntary ExclusIon Lower TIer Covered TransactIons,• wIthout modifIcatIon. In all lower tIer covered transactIons and in all 90llcltatlons for lower tier covered transactIons.
7.A partIcIpant in a covered transactIon may rely upon a codifIcatIon of a prospectIve particIpant in a tower tIer covered tran8aatbn, unless it knows that the adIlatIon is erroneou8. A particIpant may decIde the method and frequency by which it cbtermin89 the eIIgIbility of Its princIpals. Each partIcIpant may, but is not required to, check the List of PartIes Excluded from Procurement or Non PmaLremant Programs.
8.NothIng contained in the foregoIng shall be construed to requIre estabIIshment of a system of ncard8 in order to nndgr in good faIth the cer$ficatlan requIred by this clause The knowledge and InformatIon of a partIcIpant b 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 partfclpant in a covered transactIon knowIngly enters Into a lower tier covered transactIon with a person who is 8u9pended, debarred, in8119itle, or voluntary excluded form partIcIpation in this transactIon, in aHttlon to other remedies avaIlable to the Federal Government, the department or agency wIth whIch thIs trans8ctlan orIgInated may pur8ue avaIlable remedIes, Including suspensIon amI/or dobarmont
EXHIBIT C
STATE OF CALIFORNIA
DRUG-FREE WORKPLACE CERTIFICATION
STD. 2‘
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
1. 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 workp[ace (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 subg rant
(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 empEoyment 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 OFFICAL’S NAME DATE EXECUTED
EXECUTED IN THE COUNTY OF
CONTRACTOR or RECEIPEINT SIGNATURE
TITLE
FEDERAL I.D. NUMBER
EXHIBIT C
STATEMENT ON THE DRUG-FREE WORKPLACE
To comply with the enactment of Senate Bill 1 120, (Chapter f 170. Statutes of 1990), which established the Drug-Free Workplace Act of 1 990, the
(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 (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. fSection 8355(b)(1 ) 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 (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)]
EXHIBIT D
EXHIBIT D
COUNTY OF LOS ANGELES
2023 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 BY
City RepresentativefTitle (sig.,t.r,)(PrInt Name)Date
APPROVED AS TO FORM
BY
City Attorney (Signature)(Print Name)Date
ArrEST
BY
City Clerk (Signature)(Print Name)Date
HO.\
EXHIBIT D
CaZ OES
GOVERNOR'S OFFICE
OF EHER6ENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster 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.
The requirements outlined in these assurances apply to Applicant and any of its subrecipients.
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) Federal Preparedness Grants Manual;
(d) California Supplement to the NOFO; and
(e) 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/ In the event Cal OES determines that changes are necessary to the subaward after a subaward has been made, including changes to period of performance or terms and conditions. Applicants will be notified of the changes in writing. Once notification has been made, any subsequent request for funds will indicate Applicant acceptance of the changes to the subaward
State and federal grant award requirements are set forth below. The Applicant hereby agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain proof of authority 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
EXHIBIT D
CaJ OES
00VERMOR'S 0FFIC£
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(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;
(d) The Applicant is authorized by the city council, governing board, or authorized body to apply for federal assistance. and the institutional, managerial and financial capability (including funds sufficient to pay the non-federal share of project cost, if any) to ensure proper planning, management and completion of the project described in this application; and
(e) The official executing this agreement is authorized by the Applicant This Proof of Authority must be maintained on file and readily available upon request
2. Period of Performance
The period of performance is specified in the Award. The Applicant is only authorized to perform allowable activities approved under the award. within the period of performance
3.Lobbying and Political Activities
As required by Section 1 352, 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
EXHIBIT D
Cal OES
GOVERNOR'S OFFICE
OF EHERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non- Disaster Grant Programs
(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 Applicant 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. gg 1 501- 1 508 and SS 7324-7328) which limit the political activities of employees whose principle employment activities are funded in whoEe 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 1 2549 and 1 2689. and 2 C.F.R. § 200.214 and codified in 2 C,F.R. Part 1 80, 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 subrecipients:
ra) 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;
Cal
GOVERNOR'S OFFICE
OF EHERGENCY SERVICES
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(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 (4) (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 state and federal statutes relating to non- discrimination. including
(a) Title VI of the Civil Rights Act of 1 964 (Public Law (P.L.) 88-352 and 42 U.S.C. §200C)d 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 1 972. (20 U.S.C. gS 1 681-1 683, and 1 685-1 686), which prohibits discrimination on the basis of sex in any federally funded educational program or activity;
rc) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. g 794). which prohibits discrimination against those with disabilities or access and functional needs; (d) Americans with Disabilities Act ( ADA) of 1990 (42 U.S.C. S 12101 et seq.), which prohibits discrimination on the basis of disability and requires buildings and structures be accessible to those with disabilities and access and functional {e) Age Discrimination Act of 1 975, (42 U,S.C. gS 6101-6107), which prohibits (f) Public Health Service Act of 1912 [42 U.S.C. §§ 290 dd–2), relating to confidentiality of patient records regarding substance abuse treatment; {g) Title VIII of the Civil Rights Act of 1 968 [42 U.S.C. S 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. Part100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units–i.e., the pub£ic and common use areas and individual apartment units (all units in buildings with elevators and ground-floor units in buildings without elevators)– discrimination on the basis of age;
needs
EXHIBIT D
CaZOES
OOVERNOR'S OFFICE
OF EHER6ENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
be designed and constructed with certain accessible features [See 24 C.F.R. S 100.201 );
(h) Executive Order 1 1 246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $1 0.000 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 1 1375. 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 S 1 0295.3. which prohibits discrimination based on domestic partnerships and those in same sex marriages; {k) Department of Homeland Security (DHS) policy to ensure the equal treatment of faith-based organizations, under which the Applicant must comply with equal treatment policies and requirements contained in 6 C.F.R Part 1 9
(1) The Applicant will comply with California’s Fair Employment and Housing Act (FEHA) [California Government Code SS 1 2940-1 2957). as applicable. 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, 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;
(m) Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made; and
(n) The requirements of any other nondiscrimination statute(s) that may apply to this application
6. Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 [41 U.S.C. S 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,
EXHIBIT D
CaZ OES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non- Disaster Grant Programs
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, incEuding (a) California Environmental Quality Act {CEQA) (California Public Resources Code gS 21000-21 1 77). to include coordination with the city or county planning agency ;
(b) CEQA Guidelines (California Code of Regulations, Title 1 4, Division 6. Chapter 3, SS 1 5000-15387);
(c) Federal Clean Water Act {CWA) {33 U.S.C. § 1 251 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. S 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 NEPAI and Executive Order 1 2898 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 11 988
(g) Executive Order 1 151 4 which sets forth national environmental standards (h) Executive Order 1 1 738 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 11 990 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 1 972 (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. 997401 et seq.); and
Cal OES
GOVERNOR'S OFFICE
OF EHER6ENCY SERVICES
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(m) Wild and Scenic Rivers Act of 1968 ( 16 U.S.C. g 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 section 1 3301 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 perform the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1 996 and 2 C.F.R., Part 200. Subpart F Audit Requirements
9.Cooperation and Access to Records
The Applicant must cooperate with any compliance reviews or investigations conducted by DHS. In accordance with 2 C.F.R. § 200.337. 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. 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 the Applicant's 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 Payment - The Applicant will comply with 31 U.S.C SS 3729-3733 which provides that Applicant shall not 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. 1 09-282), including but not limited to (a) the reporting of subawards obligating $30,000 or more in federal funds,
EXHIBIT D
Cal OES
OQVERNOR'S OFFICE
OF EHERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
and (b) executive compensation data for first-tier subawards as set forth in 2 C.F.R.
Part 1 70, Appendix A. The Applicant also agrees to comply with the requirements set forth in the government-wide financial assistance award term regarding the System for Award Management and Universal Identifier Requirements located at 2 C.F.R Part 25. Appendix A.
13. Whistleblower Protections
The Applicant must comply with statutory requirements for whistleblower protections at 10 U.S.C. g 2409, 41 U.S.C. S 4712, and 10 U.S.C. S 2324. 41 U.S.C. S 4304 and S 4310
14. Human Trafficking
The Applicant will comply with the requirements of Section 1 06(g) of the Trafficking Victims Protection Act of 2000. as amended (22 U.S.C. § 71 04) which prohibits the Applicant or its subrecipients 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. Sg 276a to 276a-7), as applicable, and the Copeland Act (40 U.S.C. S 3145 and 18 U.S.C. S 874) and the Contract WoTk Hours and Safety Standards Act (40 U.S.C. SS 327-333), regarding labor standards for federally-assisted construction contracts or subcontracts. and (b) The Federal Fair Labor Standards Act (29 U.S.C. g 201 et seq.) 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 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 wiI (a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1 970 [P.L. 91 -646)
EXHIBIT D
CaZOES
GOVERNOR'S OFFICE
OF EHERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
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 1 02(a] of the Flood Disaster Protection Act of 1 973 (P.L. 93-234) which requires federal award 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 1 966. as amended (16 U.S.C. S 470), Executive Order 1 1593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16U.S.C. g 469a-1 et seq.); and
(d) Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. S 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 wiI[ 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;
rb) 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
The Applicant is required to comply with California Vehicle Code sections 231 23 and 23123,5. These laws prohibit driving motor vehicle while using an electronic wireless communications device to write, send, or read a text-based communication.
EXHIBIT D
Cal OES
00V£RMOR'S orFlc£
OF EHER6ENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Drivers are also prohibited from the use of a wireless telephone without hands-free listening and talking, unless to make an emergency call to 91 1. law enforcement. or similar services
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. S 552, and the California Public Records Act, California Government Code 97920.000 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 {HSGP) -
PROGRAM SPECIFIC ASSURANCES L CERTIFICATIONS
21. Acknowledgment of Federal Funding from DHS
The Applicant must acknowledge its 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
22. Activities Conducted Abroad
The Applicant 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
23. 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. If the Applicant coElects PII, the Applicant is required to have a publicly-available privacy policy that describes standards on the usage and maintenance of PII they collect. The Applicant may refer to the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template as a useful resource
CaZOES
GOVERNOR'S OFFICE
OF EHER6ENCY SERVICES
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
24. Copyright
The Applicant must affix the applicable copyright notices of 1 7 U.S.C. Sg 401 or 402 and an acknowledgement of United States Government sponsorship (including the award number) to any work first produced under federal financial assistance awards.
25. 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 the Applicant 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
26. Energy Policy and Conservation Act
The Applicant must comply with the requirements of 42 U.S.C. g 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act.
27. Federal Debt Status
The Applicant is required to be non-delinquent in its repayment of any federal debt.
Examples of relevant debt include delinquent payroll and other taxes. audit disallowances. and benefit overpayments. See OMB Circular A-1 29
28. Fly America Act of 1974
The Applicant must comply with Preference for United States Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. g 41 1 02) 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 1 974 {49 U.S.C. § 401 1 8) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B-1 38942.
29. Hotel and Motel Fire Safety Act of 1 990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1 990, the Applicant 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 1 974, as amended. 15 U.S.C. S 2225a.
EXHIBIT D
Cal OES
GOVERNOR'S OFFICE
OF EHERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
30. Non-supplanting Requirement
If the Applicant receives federal financial assistance awards made under programs that prohibit supplanting by law, the Applicant must ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non- federal sources
31. Patents and Intellectual Property Rights
Unless otherwise provided by law. the Applicant is subject to the Bayh-Dole Act, Pub L. No. 96-51 7, as amended, and codified in 35 U.S.C. g 200 et seq. The Applicant is 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. S 401.14
32. SAFECOM
If the Applicant receives federal financial assistance awards made under programs that provide emergency communication equipment and its related activities, the Applicant must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications
33. Terrorist Financing
The Applicant must comply with Executive Order 1 3224 and United States law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. The Applicant is legally responsible for ensuring compliance with the Order and laws
34. Reporting of Matters Related to Recipient Integrity and Performance If the total value of the Applicant'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, the Applicant 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.
EXHIBIT D
CaZ OES
GOVERNOR'S OFFICE
OF EHER6ENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
35. USA Patriot Act of 2001
The Applicant 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. §§ 1 75-1 75c
36. Use of DHS Seal, Logo, and Flags
The Applicant 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
37. Performance Goals
In addition to the Biannual Strategy Implementation Report submission requirements outlined in the Preparedness Grants Manual, the Applicant must demonstrate how the grant-funded project addresses the core capability gap associated with each project and identified in the Threat and Hazard Identification and Risk Analysis or Stakeholder Preparedness Review or sustains existing capabilities, as applicable. The capability gap reduction or capability sustainrnent must be addressed in the Project Description of the BSIR for each project
38. Applicability of DHS Standard Terms and Conditions to Tribes The DHS Standard Terms and Conditions are a restatement of general requirements imposed upon the Applicant and flow down to any of its subrecipients as a matter of law. regulation. or executive order. If the requirement does not apply to Indian tribes or there is a federal law or regulation exempting its application to Indian tribes, then the acceptance by Tribes of. or acquiescence to, DHS Standard Terms and Conditions does not change or alter its inapplicability to an Indian tribe. The execution of grant documents is not intended to change, alter, amend, or impose additional liability or responsibility upon the Tribe where it does not already exist
39. Required Use of American Iron, Steel, Manufactured Products, and Construction Materials
The Applicant must comply with the “Build America, Buy America" Act {BABAA), enacted as part of the Infrastructure Investment and Jobs Act and Executive Order 14005. Applicants receiving a federal award subject to BABAA requirements may not use federal financial assistance funds for infrastructure projects unless:
(a) AIE iron and steel used in the project are produced in the United States – this means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States;
EXHIBIT D
Ca/ OES
GOVERNOR-S OFFICE
OF EHERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(b) All manufactured products used in the project are produced in the United States – this means the manufactured product was manufactured in the United States; and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product. unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation; and
{c) All construction materials are manufactured in the United States – this means that all manufacturing processes for the construction material occurred in the United States
The “Buy America" preference only applies to articles, materials, and supplies that are consumed in. incorporated into, or affixed to an infrastructure project. It does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a “Buy America" preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment. that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project
Per section 70914(c) of BABAA, FEMA may waive the application of a "Buy America preference under an infrastructure program in certain cases On July 1, 2022. OMB approved FEMA’s General Applicability Public Interest Waiver of the BABAA requirements to be effective for a period of six months, through January 1, 2023. Applicants will not be required to follow the BABAA requirements for FEMA awards made, and any other funding FEMA obligates, during this waiver period. For any new awards FEMA makes after January 1, 2023. as well as new funding FEMA obligates to existing awards or through renewal awards where the new funding is obligated after January 1. 2023, Applicants will be required to follow the BABAA requirements unless another waiver is requested and approved.
40. Advancing Effective, Accountable Policing and Criminal Justice Practice to Enhance Public Trust and Public Safety
The Applicant must comply with the requirements of section 1 2{c) of Executive Order 1 4074. The Applicant is also encouraged to adopt and enforce policies consistent with Executive Order 1 4074 to support safe and effective policing
E
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
IMPORTANT
The purpose of these assurances is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts. etc Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in these assurances. These assurances are binding on Applicant, its successors. transferees, assignees, etc. as well as any of its subrecipients 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 Applicant may be ineligible for award of any future grants if Cal OES determines that the Applicant: (1 ) 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 incEuded in the award documents for all subawards at all tiers. Applicants are bound by DHS Standard Terms and Conditions 2023, Version 2, hereby incorporated by reference, which can be found at: https://www.dhs.gov/publication/fy 1 5-dhs- standard-terms-and-conditions The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of the Applicant.
Applicant:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title Date
GAVIN NEWSOM
GOVERNOR
NANCY WARD
DIRECTOR
EXHIBIT E
Cat OES
00v£RNOR'S 0FFIC£
OF EHER6ENCY SERVICES
October 18, 2023
Fesia A. Davenport DELIVERED VIA E-MAIL: [email protected] Chief Executive Officer
Los Angeles County
500 West Temple Street. Room 713
Los Angeles, CA 90012
SUBJECT: NOTIFICATION OF SUBRECIPIENT SUBAWARD APPROVAL Fiscal Year (FY] 2023 Homeland Security Grant Program (HSGP) Subaward #2023-0042, Cal OES ID#037-00000
Subaward Period of Performance: 09/01 /2023-05/31 /2026 Dear Ms. Davenport:
We are pleased to announce the approval of your FY 2023 HSGP subaward in the amount of $9.481 .457
Once the completed application is received and approved, reimbursement of eligible subaward expenditures may be requested using the California Governor’s Office of Emergency Services (Cal OES) Financial Management Forms Workbook.
Failure to provide documentation in a timely manner could result in a hold on funding, pursuant to Title 2, Code of Federal Regulations {CFR). Sections 200.338(a) and 200,207(b) (1 )-(2)
This suk)award is subject to requirements in 2 CFR, Part 200. including the Notice of Funding Opportunity (NOFO), the Preparedness Grants Manual, the California Supplement to the NOFO, and all applicable federal, state. and local requirements. All activities funded with this subaward must be completed within the subaward period of performance
Subrecipients must obtain additional written approval prior to incurring costs for activities such as aviation, watercraft. allowability request logs. noncompetitive procurement, and projects requiring Environmental Planning and Historic Preservation review,
(Maamr a pP•••P
3650 SCHRIEVER AVENUE, MATHER, CA 95655
www.CaIOES.ca.gov
Fesia A. Davenport
October 18, 2023
EXHIBIT E
Your organization will be required to prepare and submit the Biannual Strategy Implementation Report to Cal OES via the FEMA Grants Reporting Tool (GRT) semi- annually for the duration of the subaward period of performance or until all activities are completed and the subaward is formally closed. Failure to submit required reports could result in subaward reduction. suspension, or termination Throughout the subaward cycle, milestones set in the GRT will be used as indicators of project feasibility, performance. and grant management capacity This information may also be used in assessing proposals in future grant opportunities.
Your dated signature is required on this letter. Please sign and return the original to your Cal OES Program Representative within 20 calendar days upon receipt and keep a copy for your records. For further assistance, please contact your Cal OES Program Representative
Sincerely,
KIM„q U)end
NANCY WARD
Director
Signature:
Email: FDavenport(a)ceo.lacounty.gov
Da+'tB IT
Fesia Davenport
Fesia A, Davenport
Los Angeles County
Date
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1 EXHIBIT F
The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year 2023 Homeland Security Grant Program
All entities wishing to do business with the federal government must have a unique entity identifier (UEI). The UEI number is issued by the SAM system. Requesting a UEI using SAM.gov can be found at https://sam .gov/content/entit}'registration.
Grants.gov registration information can be found at
https://\\ww .grants.gov/web/grants/register .html.
Planned UEI Updates in Grant Application Forms:
On April 4. 2022, the Data Universal Numbering System (DUNS) Number u'as replaced by a new, non-proprietcuT identifIer requested in, and assigned by, the System for A\yard hfarlagement (SAM.gov), This new identifIer is the Unique Entity IdentifIer (UEI) Additional informalion ccm be found on Grants.go\
https://u'bb'.grants.gov/web/grants/forms/planned-uei-updates.html Table of Contents
Planned UEI Updates in Grant Application Forms:
Program Description.............................
1. Issued By......................................
2. Assistance Listings Number
3. Assistance Listings Title..............
4. Funding Opportunity Title...........
5. Funding Opportunity Number........................................................................................
6. Authorizing Authority for Program ...... .
7. Appropriation Authority for Program .....
8. Announcement Type.....
9. Program Category
10. Program Overview, Objectives. and Priorities
11. Performance Measures,
Federal Award Information
1. Available Funding for the NOFO: $1,120,000,000
2. Projected Number of Awards: 56 .....
3. Period of Performance: 36 months ........
4, Projected Period of Performance Start Date(s): 09/1/2023
5. Projected Period of Performance End Date(s): 8/3 1/2026.
6. Funding Instrument Type: Grant
Eljgjbility Information,
1 . Eligible Applicants.
2. Applicant Eligibility Criteria
A.
1 4
4 4
4 4
4 4
4 4
4 4
11 11
11 16
16 16
16 16
16 16
16 B
C
FY 2023 HSGP NOFO Back to the Top
2 EXHIBIT F
3. Other Eligibility Criteria/Restrictions..................,......................................................... 17 a. National Incident Management System (NIMS) Implementation .._______._____ 17 b. Emergency Management Assistance Compact (EMAC) Membership ..................... 17 c. Law Enforcement Terrorism Prevention Activities (LETPA) ...._.._.___.._...._._._. 18
4. Cost Share or Match................,...................................................................................... 18 Application and Submission Information.............................................................................. 19 Key Dates and Times..................................................................................................... 19 a. Application Start Date: 02/27/2023....................................................................... 19 b. Application Submission Deadline: 05/18/2023 at 5 p.m. ET.................................. 19 c. Anticipated Funding Selection Date: No later than 07/21/2023 ............................. 19 d. Anticipated Award Date: No later than 09/30/2023.............................................. 19 e. Other Key Dates ........................................................................................................ 19 1 2. Agreeing to Terms and Conditions of the Award.......................................................... 20
3. Address to Request Application Package ...................................................................... 20
4. Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for Award Management (SAM) _..___.________...__._._._.____._._.._.____._.._._._.__ 20 Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application ....__.._.____,,__.___.___...__.____ 20 5 6. Electronic Delivery ........................................................................................................ 21
7. How to Register to Apply through Grants.gov .............................................................. 22
8. How to Submit an Initial Application to FEMA via Grants.gov ................................... 22
9. Submitting the Final Application in ND Grants ............................................................ 22
10. Timely Receipt Requirements and Proof of Timely Submission .................................. 23 ll. Content and Form of Application Submission............................................................... 23 a. Standard Required Application Forms and Information ........................................... 23 b. Program-Specific Required Forms and Information ................................................. 24
12. Other Submission Requirements.................................................................................... 32
13. Intergovernmental Review............................................................................................. 33
14. Funding Restrictions and Allowable Costs.................................................................... 33 a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services ........................................ b. Pre-Award Costs.............................
c. Management and Administration (M& A) Costs
d. indirect Facilities & Administrative (F&A) Costs
e. Funds Transfer Restrictions
f. Other Direct Costs
Application Review Information
Application Evaluation Criteria
a. Programmatic Criteria ................
b. Financial Integrity Criteria
44 c . Supplemental Financial Integrity Criteria and Review ..... ,I Federal Award Administration Information
2. Pass-Through Requirements..........,
3. Administrative and National Policy Requirements.
1 Review and Selection Process ......................
1. Notice of Award
D
33 35
35 37
37 37
44 44
E
45 45
46 49
49 49
51 F.
FY 2023 HSGP NOFO Back to the Top
3 EXHIBIT F
a. DHS Standard Terms and Conditions ...
b. Ensuring the Protection of Civil Rights ......
c. Environmental Planning and Historic Preservation (EHP) Compliance. d. National Incident Management System (NIMS) Implementation e. Emergency Communications Investments .......
Reporting.
Monitoring and Oversight .
4 5
DHS Awarding AgencY Contact Information
Contact and Resource Information
a. Program Office Contact
b. Centralized Scheduling and Information Desk (CSID)....... c. Grant Programs Directorate (GPD) Award Administration Division . d. Equal Rights
e. Environmental Planning and Historic Preservation .....
Systems Information ...
a. Grants.gov ..
b. Non-Disaster (ND) Grants.
c. Payment and Reporting System (PARS).................................................................., 1 9
Additional Information .... ,
Termination Provisions
a. Noncompliance...............
b. With the Consent of the Recipient
c. Notification by the Recipient ...,
Program Evaluation ..................
Period of Performance Extensions ......................
Financial Assistance Programs for Infrastructure
a. Build America, Buy America Act .........
b. Waivers
Definitions
1 51
52 52
54 54
55 55
56 56
56 56
56 56
56 56
56 57
57 57
57 57
58 58
58 58
59 59
59 60
G,
H.
FY 2023 HSGP NOFO Back to the Top
4 EXHIBIT F
A. Program Description
1. Issued By
U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/Grant Programs Directorate (GPD)
2. Assistance Listings Number
97.067
3. Assistance Listings Title
Homeland Security Grant Program
4.Funding Opportunity Title
Fiscal Year 2023 Homeland Security Grant Program (HSGP) • State Homeland Security Program (SHSP)
• Urban Area Security Initiative (UASI)
• Operation Stonegarden (OPSG)
5. Funding Opportunity Number
DHS-23-GPD-067-00-01
6. Authorizing Authority for Program
Section 2002 of the Homeland Security Act of 2002 (Pub. L. No. 107-296, as amended) (6 U.S.C. § 603)
7. Appropriation Authority for Program
Consolidated Appropriations Act, 2023 (Pub, L. No. 117-328)
8. Announcement Type
Initial
9. Program Category
Preparedness: Community Security
10. Program Overview, Objectives, and Priorities
a. Overview
The Fiscal Year (FY) 2023 Homeland Security Grant Program (HSGP) is one of three grant programs that constitute the DHS/FEMA focus on enhancing the ability of state, local, tribal, and territorial governments, as well as nonprofits, to prevent, protect against, and respond to terrorist attacks. These grant programs are part of a comprehensive set of measures authorized by Congress and implemented by DHS to help strengthen the Nation’s communities against potential terrorist attacks. Among the five basic homeland security missions noted in the DHS Strategic Plan for Fiscal Years 2020-2024, the HSGP supports the goal to Strengthen National Preparedness and Resilience.
FY 2023 HSGP NOFO Back to the Top
5 EXHIBIT F
In FY 2023, there are three components of the HSGP
1) State Homeland Secnrity Program (SHSP): SHSP assists state, local, tribal, and territorial (SLTT) efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism. 2) Urban Area Securitl Initiative (UASI): UASI assists high-threat, high-density Urban Area efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism, 3)Operation Stonegarden (OPSG) : OPSG 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 to improve overall border security. OPSG provides funding to support joint efforts to secure the United States’ borders along routes of ingress/egress to and from international borders, to include travel corridors in states bordering Mexico and Canada. as well as states and territories with international water borders. SLTT law enforcement agencies utilize their inherent law’ enforcement authorities to support the border security mission and do not receive any additional authority by participating in OPSG
The 2022-2026 FEMA Strategic Plan outlines three goals designed to position FEMA to address the increasing range and complexity of disasters, support the diversity of communities we serve, and complement the nation’s growing expectations of the emergency management community. The HSGP supports FEMA’s efforts to achieve equitable outcomes for those we serve (Goal 1 ) and to promote and sustain a prepared nation (Goal 3) We invite our stakeholders and partners to also adopt these priorities and join us in building a more prepared and resilient nation.
Finally, for FY 2023, DHS is focused on the criticality of information sharing and collaboration to building a national culture of preparedness and protecting against terrorism and other threats to our national security. The threats to our nation have evolved during the past two decades. We now face continuous cyber threats by sophisticated actors, threats to soft targets and crowded places, and threats from domestic violent extremists who currently pose the greatest terrorism threat to the nation 1. Therefore, for FY 2023, DHS has identified six priority areas (see Section A. 10,c) related to the most serious threats to the nation, as well as required minimum funding allocations.
b. Objective
The objective of the FY 2023 HSGP is to fund SLTT efforts to prevent terrorism and prepare the Nation for threats and hazards that pose the greatest risk to the security of the United States,
IStrategic Intelligence Assessment and Data on Domestic Terrorism. Federal Bureau of Investigation and Department of Homeland Security. May 202 1
FY 2023 HSGP NOFO Back to the Top
6 EXHIBIT F
Ce Priorities
SHSP and UASI Funding Priorities
Given the evolving national security threat landscape, DHS/FEMA has evaluated the national risk profile and set priorities that help inform appropriate allocation of scarce security dollars, In assessing the national risk profile for FY 2023, six National Priority Areas pose the most concern. Due to the unique threats that the nation faces in 2023, DHS/FEMA has determined that recipients should allocate a total of 30% of their SHSP and UASI award funds across these six priority areas. As indicated below, five of the priorities have minimum spend requirements totaling 15% of SHSP and UASI awards. Recipients will have the flexibility to allocate the remaining 15% across the priorities. The following are the six priority areas for FY 2023, along with the minimum corresponding percentage of SHSP and U ASI funds that each recipient will be required to allocate
1)
2)
3)
4)
5)
6)
Enhancing the protection of soft targets/crowded places – 3% Enhancing information and intelljgence sharing and anaIYsis – 3% Combating domestic violent extremism – 3%
Enhancing cybersecurity – no minimum percent
Enhancing community preparedness and resilience – 3%
Enhancing election security – 3%
Additional information about these priority areas and how they relate to achieving anti- terrorism capabilities is included in Section D.11.b.III of this NOFO. Failure by a recipient to propose investments and projects that align with the priority areas and spending requirements will result in a recipient having a portion of their SHSP and UASI funds (up to 30%) placed on hold until they provide projects that sufficiently align to the National Priority Areas, and total at least the minimum percentages per National Priority Area (as applicable) and overall 30% of total SHSP and UASI funds.
A state or high-risk urban area must allocate the remaining 70% of their funding to addressing capability gaps (e.g.. building/sustaining capability and/or closing capability gaps) identified through their Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) process Likeu'ise, there are several enduring security needs that crosscut the homeland security enterprise to which recipients should consider allocating funding across core capability gaps and national priorities. The following are enduring needs that help recipients implement a comprehensive approach to securing communities
1 ) Effective planning2:
2) Training and awareness campaigns:
3) Equipment and capital projects: and
4) Exercises.
1Including assessment of critical infrastructure system vulnerabilities and plans to reduce consequences of disruptions. using the InfTastructure Resilience Planning Framework and Regional Resiliency Assessment Methodology produced by the Cybersecurity and Infrastructure Security Agency Fy 2023 HSGP NOFO Back to the Top
7 EXHIBIT F
The table below provides a breakdown of the FY 2023 SIISP and UASI priorities (the focus of OPSG remains unique to border security ). shou'ing the core capabilities enhanced and lifelines supported, as well as examples of eligible project types for each area. A detailed description of allowable investments for each project type is included in the Preparedness Grants Manual. DHS/FEMA anticipates that in future years, national priorities will continue to be included and will be updated as the threats evolve and as capability gaps are closed.
Applicants are strongly encouraged to begin planning to sustain existing capabilities through funding mechanisms other than DHS preparedness grants. The example project types in the table below are allowable to prepare for disasters unrelated to acts of terrorism as long as they also help achieve target capabilities related to preventing. preparing for. protecting against. or responding to acts of terrorism.
FY 2023 SHSP and U ASI Funding Priorities
All priorities in this table concern Safety and Securit\' Lifeline$i Priority Areas Core
Naiiirial Priorities
Example Project T
Lnhanc IIly
Cybersecurity
. C'\hcr-’lccurit„.
• Intelligence and information
sharing
+ Planning
• Public information and warning
• Operational coordination
• Screening. search. and detection
• Access control and identjty
verification
• Supply chain integrity and
securIty
. Risk management for protection
programs and activities
• I.ong-term vulnerability
reduction
• Situational assessment
• Infrastructure systems
• Operational communications
e Opcrational coordination
• Public information and warning
• Intelljgence and information
sharing
• Interdiction and disruption
• Screening. search. and detection
. Access control and identjty
verification
• Ph}sical protective measures
• Risk management for protection
'rograms and activities
. Intelligence and information
sharing
• Interdiction and disruption
• Planning
• Public information and warning
e C'\bcrsccLlrit\ risk assessments
• Migrating online services to the ".gov" internet domain • Projects that address vulnerabilities identified in
cvbersccuritv risk assessments
Improving cybersecurity of critical infrastructure to
meet minimum levels identified by the Cvbersecurit\
and Infrastructure Security Agency (CISA). and the
National Institute of Standards and Technology
Cvbcrsccuritv Frame\york
Adoption of cybersecurity performance goals (Cross.
Sector C\'bersecurit\' Performance Goals CISA)
Cybcrsecurit}’ training and planning
Enhancing the
Protection of
Soft Targets
Crowded Places
• Operational overtime. For more information on
operational overtime, see Section D. 14.f of this NOFO. • Physjcal security enhancements
Security cameras (closed-circuit television [CCTV])
Security screening equipment for people and baggage
1.ighting
Access controls
Fencing, gates, barriers, etc,
• Unmanned aircraft system detection technologies
Enhancing
information and
intelligence
• Fusion center c)pcrations (Fusion Center project \viII be required under this investment, no longer as a stand-
alone invcstnlent)
• Information sharing with all DHS components: fusion
centers; other operational. investigative. and analytic FY 2023 HS(;P NOFO Back to the Top
8 EXHIBIT F
sharMI
analysis
Core Capabilities
e Operational MMOII
• Risk management for protection
programs and activities
Example Project Types
r M1 eral la\mrMlcnt and
intelligence entities
• Cooperation with DHS officials and other entities
designated by DHS in intelligence, threat recognition,
assessment, analysis, and mitigation
• Identification, assessment, and reporting of threats of violence
• Joint intelligence analysis training and planning with DHS officials and other entities designated by DHS
e Open-source analysis of disinformation and
misinformation campaigns. targeted violence and threats to life, including tips,“leads, and online,'social media- based threats
• Sharing and leveraging intelligence and information,
including open-source analysis
• Execution and management of threat assessment
programs to identify, evaluate, and analyze indicators
and behaviors indicative of domestic violent extremists • Training and awareness programs (e.g.. through social media. suspicious activity reporting [SAR] indicators
and behaviors) to help prevent radicalization
• Training and awareness programs (e.g.. through social media. SAR indicators and behaviors) to educate the
public on misinformation and disinformation campaigns
and resources to help them identify and report potential instances of domestic violent extremism
e Establish. train. and maintain Communitv Emergency
Response Teams (CERT) and Teen CERT. with a focus
on historicaljy undeserved communities, including
procurement of appropriate tools. equipment and
training aides
o Local delivery of CERT Train-the-Trainer and CERT
Program Manager to build local program training and
maIntenance capacIty
• Provide continujty training. such as FEMA’s
Organizations Preparing for Emergency Needs training.
to faith-based organizations. local businesses, and
community-based organizations such as homeless
shelters. food pantries, nonprofit medical providers and senior care facilities to bolster their resilience to all hazards
• Partner with local school districts to deliver the Student Tools for Emergency Planning curriculum or other
educational programming to guide students on how to
create emergency kits and family communications plans
• Partner with key stakeholders to assist u'ith completing the Emergencv Financial First Aid Kit or a similar tool to bolster the disaster centric financial resilience of individuals and households
e Execute You are the Help Until the Help Arrives
workshops in concert with community-based
organizations to bolster individual preparedness
• Target youth preparedness using FEMA programing
such as Prepare with Pedro resources and Ready2Hel]
Combating
Domestic
Violent
Extremism
e Interdiction and disruption
• Intelljgence and information
sharing
+ Planning
@ Public information and warning
• Operational coordination
• Risk management for protection
programs and activities
Enhancing
Community
Preparedness and
Resilience
e Planning
e public Information and
Warning
e Community Resilience
e Risk Management for
Protection Programs and
Activities
• Mass Care Services
• Intelligence and Information
Sharing
e Risk and Disaster Resilience
Assessment
• Long Term Vulnerability
Reduction
FY 2023 HSGP NOFO Back to the Top
9 EXHIBIT F
Priority Areas Core Capabilities Example Project Types
e PromLlt,' ctl1111111111it} planning. Ctil)rdillation. and integration of children’s needs during emergencies
through workshops like FEMA’s Integrating the Needs
of Children
• Community Mapping: identify community resources and
characteristics in order to identify gaps in resources. identify hazards and vulnerabilities. and inform action to promote resilience
• Provide training and awareness programs with ke)
stakeholders (e.g., through social media, community and civic organizations) to educate the public on
misinformation and disinformation campaigns to
increase individual and communitY resilience
e Support integrated and cross-jurisdictional preparedness planning that considers ho\\' the community develops
networks of information-sharing and collaboration
among community-based organizations and government
institutions to enable a quicker recovery from multiple threats. including terrorist actions,
• Physical security planning support
• Physjcal, site security measures c .g., locks, shatter proof glass, alarms. access controls, etc
• General election security navigator support
• C) ber na\ igator support
• Cybersecurity risk assessments, training, and planning • Projects that address vulnerabilities identified in
CVbersccurit\' risk assessments
e Iterative backups, encrypted backups, network
segmentation, software to monitor scan, and endpoint
protectIon
• Distributed Denial of Service protection
• Migrating online services to the ".gov-- internet domain • Online harassment and targeting prevention services
• Public a\\'arcness preparedness campaigns discussing
election security and integrity measures.
Enhancing
Election Security
Cybersecurity
Intelljgence and information
sharing
Planning
Long-term vulnerability
reduction
Situational assessment
Infrastructure SYstems
Operational coordination
Community resilience
•
[ M
Planning HIM
e Risk management for protection
programs and activities
• Risk and disaster resilience
assessment
• Threats and hazards
identification
• Operational coordination
• Community resilience
e De\ cl,Mt of:
o Security Risk Management Plans
) Threat Mitigation Plans
Continuity of Operations Plans
Response Plans
• Efforts to strengthen governance integration
betu'een among regional partners
• Joint training and planning u-ith D1 IS officials and other entities designated by DHS
• Cybersecurit}’ training and planning
• Revision of existing plans to strengthen community
resilience in underserved communities
@ Active shooter training
• Intelligence analyst training
• SAR and terrorism indicators behaviors training
• Security training for employees
• Public awareness preparedness cain
Training and
Au'areness
e Long-term vulnerability
reduction
• Public information and warning
• Operational coordination
• Situational assessment
FY 2023 HS(;P NOFO Back to the Top
10 EXHIBIT F
Example Project TypesPriority Areas Core Capabilities
e Community resilience e Joint training and planning with DHS officials and other entities designated by DHS
• Cybersecurity training and planning
• Sharing and leveraging intelligence and information
• Targeted outreach and preparedness training for
underserved communities in conjunction with
community-based organizations
. Protection of high-risk, high-consequence areas or
systems that have been identified through risk
assessments
• Physjcal security enhancements
o Security cameras (CCTV)
o Security screening equipment for people and baggage
o Lighting
o Access Controls
• Fencing, gates, barriers, etc,
• Enhancing Weapons of Mass Destruction and“or
improvised explosive device prevention, detection, and
response capabilities
o Chemical/Biological, Radiological,
Nuclear/Explosive detection, prevention, and
resDonse equiDment
e Response exercises, including exercise planning with
community-based organizations
Equipment and
Capital Projects
. Long-term vulnerability
reduction
• infrastructure systems
• Operational communications
• Interdiction and disruption
• Screening, search and detection
• Access control and identity
verification
• Physical protective measures
Exercises e Long-term vulnerability
reduction
• Operational coordination
• Operational communications
• Community resilience
For FY 2023, each SHSP and UASI recipient is required to submit an Investment Justification (1 J) for the five National Priority Areas with associated minimum spend requirements. Each of these five investments must also account for at least the relevant minimum percentage (totaling 15%) of the applicant’s SHSP and UASI allocation. State Administrative Agencies (SAAs) may submit complete project-level information at the time of application, including the National Priority Area IJs, but are not required to do so. As a reminder, all SHSP- and UASI-funded projects must have a demonstrated nexus to achieving target capabilities related to preventing, preparing for, protecting against, and responding to acts of terrorism. However, such projects may simultaneously support enhanced preparedness for disasters unrelated to acts of terrorism.
DHS/FEMA also requires SHSP and UASI recipients (states, territories, and high-risk urban areas) to complete a THIRA/SPR and prioritize grant funding to support building capability and/or closing capability gaps or sustaining capabilities that address national priorities and/or support enduring needs. Additional information on the THIRA/SPR process, including other National Preparedness System tools and resources, can be found at National Preparedness System I FEMA,gov. Detailed information on THIRA/SPR timelines and deadlines can be found in the Preparedness Grants Manual.
OPSG Funding Priorities
FY 2023 HSGP NOFO Back to the Top
11 EXHIBIT F
The table below provides a breakdown of the FY 2023 OPSG funding priority, which remains focused on and unique to border security
FY 2023 OPSG Funding Priority
Examlpabilities LifelinesCore TPriority Areas
National Priorities
NgiHHIF DHS ICF'MIjlEAM[M1M1 aM1
information sharinginformation and
o Information sharing with all DHS components;intelligence fusion centers; other operational, investigative, andsharing and analytic entities; and other federal law enforcementanalysis, and and intelligence entities cooperation with Cooperation with DHS officials and other entities federal agencies,designated by DHS in intelligence, threat including DHS recognition, assessment, analysis, and mitigation Identification, assessment. and reporting of threats of Joint intelligence analysis training and planning with
gnated by DHSDHS officials and other entities
For FY 2023, each OPSG applicant is required to clearly articulate and identify how the Concept of Operations addresses the national priority identified above
11. Performance Measures
Performance metrics for this program
SHSP and U ASI
•
•
•
Percentage of funding allocated by the recipient to core capabilities to build or sustain national priorities identified in the section above
Percentage of funding and projects allocated by the recipient that align to capability gaps identified through the THIRA/SPR process
Percentage of projects identified by the recipient that address a capability gap in a core capability that has a target(s) rated as high
FEMA will calculate and analyze the above metrics through a review of state/territory and urban area SPR submissions and required programmatic reports.
OPSG:
• Number of contacts that occurred as a result of OPSG deployments o Number of arrests that resulted from OPSG contacts
o Value of drug seizures that resulted from OPSG contacts B. Federal Award Information
1. Available Funding for the NOFO:Sl ,120,000,000
FY 2023 HSGP NOFO Back to the Top
12 EXHIBIT F
HS(iP Programs
SHSP
UASI
OPSG
Total
FY 2023 Allocation
$415.M
8615.000
$90.000.OO
Si,120,000,o
SHSP Allocations
For FY 2023, DHS/FEMA will award SHSP funds based on DHS/FEMA's relative risk methodology and statutory minimums pursuant to the Homeland Security ,4d of 2002. as amended. THIRA/SPR results do not impact grant allocations or awards.
Each state and tenitor\’ will receive a minimum allocation under the SHSP using thresholds established in the Homeland Security .4cf of 2002, as amended. All 50 States. the District of Columbia. and the Commonwealth of Puerto Rico u’ill receive 0.35% of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Ict cd 2002, as amended. Each of the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin islands) will receive a minimum allocation of 0.08% of the total funds allocated for grants under Section 2003 and 2004 of the Homeland Security ,4ct of 2002. as amended
Each state must include a separate IJ for each of the five National Priority Areas u'ith a minimum spend requirement. All projects related to the minimum spend for the National Priority Area must be included in the IJ. For the National PrioritY Areas that have a minimum spend percentage requirement. the fUnding level in each of those National Priority Area investments must equal or exceed the percentage for that respective National Priorit} Area, calculated as a percentage of the state’s SHSP allocation in the table below. The funding levels across all six National Priority Areas must equal or exceed 30% of the total SHSP allocation
BilliE/iBE!!]i
FY 2023 SHSP ALLOCATION S
F\' 202i StatcflcrritoF\
Allocation
I
e
e
e
e
e
e
o
m+
AllocationM
Alaska
American Samoa
Arizona
$4, 847.500
$4, 847, 500
$4, 847,500
$4, 847,500
$7, 074,841
$4, 847, 500
$68,033,267
$5,085,387
California
Connecticut
FY 2023 HSGP XOFO Back to the Top
13 EXHIBIT F
StatcfFcrritor+FY 2023
Allocation
StatcfTcrritor}FY 21)23
Allocation
De la\\ l®1
District of Columbia
Florida
$4.847, 500
$5,085,387
$9,343.905
$5.288,656
$1 , 108,000
$4, 847, 500
$4, 847, 500
$13,894,910
$4, 847, 500
$4, 847, 500
$4, 847 , 500
$4, 847.500
$4, 847,500
$4.847, 500
$7.074.841
$6, 190,947
$5.085,387
$4, 847, 500
$4, 847, 500
$4, 847, 500
NoBEl BHM
Northern Mariana Islands
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
U.S. Virgin Islands
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
)
$4, 847, 500
$1 , 108.000
$6, 1 90,947
$4, 847, 500
$4, 847, 500
$8, 1 36.252
$4, 847.500
$4, 847, 500
$4.847.500
$4, 847 , 500
$4.847,500
$18,210,451
$1 , 108,000
$4, 847, 500
$4, 847, 500
$8, 1 36,252
$6, 1 90,947
$4, 847, 500
$4, 847, 500
$4,847, 500
Hawaii
Idaho
Illinois
Indiana
lou’a
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
I
UASI Allocations
Eligible candidates for the FY 2023 tJ ASI program are identified in the table below Eljgjbilitv has been determined through an anajysjs of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSA) in the United States, in accordance with the I lc)rlrelund Security Act of 21)b2 . as amended. Detailed information on VISAs is publicly available from the United States Census Bureau at Metropolitan and Micropolitan (census,gov), THIRA/SPR results do not impact grant allocations or awards.
The Metropolitan Areas Standardization and Protection (MAPS) Act of 2021 (P.L. 117-219) prohibits automatically updating core-based statistical areas. which are used to delineate VISAs, for grantmaking. The MAPS Act requires that FEMA issue notice-and-comment rulemaking to make any changes. Should changes be necessary in FY 2024. FEMA will issue notice-and-comment rulemaking within the statutorily defined guidelines, The following table identifies the U ASI allocations for each high-risk urban area based on DHS/PEM A's relative risk methodology pursuant to the Honlelund Securitv Her of 2002. as amended
FY 2023 HS(iP NOFO Back to the Top
14 EXHIBIT F
In its application, each high-risk urban area, through the state, must include a separate IJ for each of the five National Priority Areas with minimum spend requirements. All projects related to the minimum spend for the National Priority Area must be included in the IJ.
For the National Priority Areas that have a minimum spend percentage requirement. the funding level in each of those National Priority Area investments must equal or exceed the percentage for that respective National Priority Area, calculated as a percentage of the urban area's UASI allocation in the table below. The funding levels across all six National Priority Areas must equal or exceed 30% of the total UASI allocation, FY 2023 UASI ALLOCATIONS
EMI ItIMl M
Anaheim/Santa Ana Area
$5,250,000
$5,250,000
$36.493,265
$66.174,270
$3, 900, 000
$3,800,000
$16,445, 560
$3, 900, 000
$50,360,095
$ 1 , 500,000
$14,528.750
$3, 800, 000
83, 800, 000
87, 700,000
$1,500,000
$66 , 174.270
$1 ,645,333
$1 ,645,333
$3,800,000
$ 16,646,500
$5,250, 000
$5,250,000
$1 ,645,333
$3, 800,000
$5,250, 000
$18,631 ,275
$173,950,017
$3.800,000
$ 1 ,645, 333
Bay Area
Los Angeles/Long Beach Area
Riverside AreaCalifornia
Sacramento Area
Colorado
District of Columbia
San Diego Area
Den\’er Area
National Capital Region
Jacksonville Area
Miami/Fort Lauderdale AreaFloridaOrlando Area
Tampa Area
Atlanta Area
Honolulu Area
Chicago Area
Georgia
Hawaii
Illinois
Indiana
Louisiana
Maryland
Massachusetts
Michigan
Minnesota
Indianapolis Area
New Orleans Area
Baltimore Area
Boston Area
Detroit Area
T\vin Cities Area
Kansas City AreaMissouri
Nevada
New Jersey
New York
North Carolina
Ohio
St. Louis Area
Las Vegas Area
Jersey City/Newark Area
New York City Area
Charlotte Area
Cincinnati Area
FY 2023 HSGP XOFO Back to the Top
15 EXHIBIT F
State/Territory FY 2023 U ASI AllocationIFrban Area
Oregon
Pennsylvania
CIe\'eland '\rca
Portland Area
Philadelphia Area
Pittsburgh Area
Nashville Area
Austin Area
Dallas/1;on Worth/Arlington Area
Houston Area
San Antonio Area
llampton Roads Area
Seattle Area
51 ,645
$3,800
$16.646
$1 ,645
$1,500
$1.500
$ 16,646
$24,231
$3, 800
$3, 800
$6,250
333
000
500
Tennessee
333
000
000
500
000
000
000
000
-l’exas
Virginia
Washington
lullIll I F
OPSG Allocations
For FY 2023, DHS/FEMA will a\yard OPSG funds based on risk and the anticipated effectiveness of the proposed use of grant funds upon completion of the application revieu process. The FY 2023 OPSG risk assessment is designed to identify the risk to border security and to assist u'ith the distribution of funds for the grant program. Funding under OPSG is distributed based on the risk to the securitY of the border and the effectiveness of the proposed projects. Entities eligible for funding are the state. local. and tribal la\v enforcement agencies that are located along the border of the United States. DHS/TEVIA will make fInal an’ard determinations based upon a review of the anticipated effectiveness of the state's application as described in Section D. belo\\'. The THIRA/SPR process is not required for OPSG.
For the purposes of OPSG, the 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 revie\\-s. 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 securit} and estimates 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,
FY 2023 HSGP NOFO Back to the Top
16 EXHIBIT F
Effectiveness of the proposed investments will be evaluated based on the recipient’s investment strategy, budget, collaboration, and past performance,
2. Projected Number of Awards:56
36 months3. Period of Performance:
Extensions to the period of performance are allowed. For additional information on period of performance extensions, please refer to Section H of this NOFO and the Preparedness Grants Manual
FEMA awards under most programs, including this program, only include one budget period, so it will be same as the period of performance. See 2 C.F.R. § 200.1 for definitions of budget period'’ and “period of performance.
4.Projected Period of Performance Start Date(s):09/1/2023
5. Projected Period of Performance End Date(s):8/31/2026 Grant6. Funding Instrument Type:
C. Eligibility Information
1. Eligible Applicants
The SAA is the only entity eligible to submit HSGP applications to DHS/FEMA, including those applications submitted on behalf of UASI and OPSG applicants. All 56 states and territories. including any state of the United States. the District of Columbia. the Commonwealth of Puerto Rico. the U.S. Virgjn Islands. Guam. American Samoa. and the Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. Tribal governments may not apply directly for HSGP funding; however, funding may be available to tribes through the SAA
2. Applicant Eligibility Criteria
Eligible high-risk urban areas for the FY 2023 UASI program have been determined through an analysis of relative risk of terrorism faced by the 100 most populous MSAs in the United States. Subawards will be made by the SAAs to the designated high-risk urban areas.
For 2023, each SAA is strongly encouraged to re-evaluate its process for collecting and evaluating subaward applications. FEMA encourages each SAA to minimize the type and quantity of information that it collects as part of the subaward application process, in order to decrease the overall financial and time burden associated with applying for subawards under this grant program. Each SAA should review its subaward application, and reduce or eliminate the request for any information that is not needed for legal, financial, or oversight purposes
In FY 2023, OPSG eligible subrecipients are local units ofgovemment at the county level or equivalent level of government and federally recognized tribal governments in states FY 2023 HSGP NOFO Back to the Top
17 EXHIBIT F
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
In FY 2023, OPSG subrecipients eligible to apply for and receive a subaward directly from the SAAs 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. The tier structure is only applicable with regard to eligibility. OPSG funding allocations are based on the assessed border security risks as determined by the USBP
An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: 1) a current employee, personnel, offIcial, staff, or leadership at ' the non-federal entItY', and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application.
Further, the Authorized Organization Representative ( AOR) must be a duly authorized current employee. personnel, official, staff, or leadership of the recipient and provide am email address unique to the recipient at the time of application and upon any change in assignment during the period of performance, Consultants or contractors of the recipient are not permitted to be the AOR of the recipient.
3. a+
Other Eligibility Criteria/Restrictions
National Incident Management System (NIMS) Implementation Prior to allocation of any federal preparedness awards, recipients must ensure and maintain adoption and implementation of NIMS. The list of objectives used for progress and achievement reporting is on FEVIA's website at NIMS Implementation and Training b FEMA.gov.
Please see the Preparedness Grants Manual for more information on NIIUS b.Emergency Management Assistance Compact (EMAC) Membership In support of the National Preparedness Goal (the Goal), SHSP recipients must belong to, be in, or act as a temporary member of EN4AC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 2023 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 Information Systems, FY 2023 HSGP NOFO Back to the Top
18 EXHIBIT F
interoperable communications systems, capabilities as defined under the Mitigation Mission Area of the Goal. and fusion centers
C+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% of grant funding appropriated for grants awarded under HSGP’s authorizing statute are used for LETPAs. For FY 2023, DHS/FEMA is requiring that at least 35% of grant funding appropriated under HSGP is used for LETPA. DHS/FEMA meets this requirement. in part. by requiring all recipients allocate at least 35% of the combined HSGP funds allocated under SHSP and UASI tou’ards LETPAs. as defined in 6 U.S.C. § 607. The LETPA allocation can be from SHSP, UASI, or both. The 35% LETPA allocation may be met by funding projects in any combination of the six National PrioritY Areas identified above and an\' other investments. The 35% LETPA allocation requirement is in addition to the 80% pass-through requirement to local units of government and tribes. referenced below. The Preparedness Grants Manual and Information Bulletin (IB) 473 include additional information on project selection considerations and allowable activities for LETPA investments. Also see Section D. 14.f"Allowable Costs Matrix
The National Pre\’ention Frame\york describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, to thwart an initial or follow-on terrorist attack and provides guidance to ensure the Nation is prepared to identify. prevent. avoid. or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eljgjble for use as LETPA-focused funds Also. where capabilities are shared with the protection mission area. the National Protection Framework activities are also eligible. All other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator.
To ensure that DHS/FEIVIA's policy guidance on the use of LETPA funds reflects the evolving threat environment. is responsive to stakeholder feedback. is clear and easy to understand, and is applied consistently across grant recipients. DHS£FEMA \viII issue additional guidance through an Information Bulletin for the FY 2023 HSGP. This guidance will provide applicants and recipients further clarification on how to account for LETPA activities. It will also provide clarification on what should be included in the investment justifications. best practices for submitting investment justifications for LETPA claimed activities. as u’ell as information on hou- to distingujsh LETPA activities from others. The Information Bulletin will be issued concurrently or soon after the release of this NOFO.
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. For more information about operational overtime costs, see Section D. 14.f of this NOFO and the Preparedness Grants Manual.
4. Cost Share or Match
FY 2023 HSGP NOFO Back to the Top
19 EXHIBIT F
There is no cost share or match requirement for the FY 2023 HSGP D. Application and Submission Information
1. KeY Dates and Times
a. Application Start Date:02/27/2023
b. Application Submission Deadline:05/18/2023 at 5 p.m. ET All applications must be received by the established deadline The Non-Disaster (ND) Grants System has a date stamp that indicates u'hen an application is submitted. Applicants u'ill receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be noti ned of application receipt, see the subsection titled 'timely Receipt Requirements and Proof’of Timely Submission-- in Section D of this NOFO,
FEMA u’iII not review applications that are received after the deadline or consider these late applications for funding. FIIM A may. how’ever. extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant's control that prevent submission of the application by the deadline, other exigent or emergency circumstances. or statutory requirements for FEb’IA to make an au-ard.
Applicants experiencing technical problems outside of their control must notify FENI A as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the au-ard. "Timel}’ notification" means prior to the application deadline and within 48 hours after the applicant became a\\are of the issue.
A list of FEMA contacts can be found in Section G of this NOFO, -DllS Awarding Agency Contact Information.'- For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or NDGrants'Qfema.dhs.gov. Tbc ND Grants Service Desk is a\’ailable Monday through Friday. 9:00 AM – 6:00 Pbl Eastern Time (ET).
For programmatic or grants management questions, please contact your Preparedness Officer or Grants Management Specialist. If applicants do not know who to contact, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or b) e-mail at askcsid a fema.dhs.gov, Monday through Friday, 9:00 AM – 5:00 PM ET Anticipated Funding Selection Date:No later than 07/21/2023 d. Anticipated Award Date:No later than 09/30/2023
Other Key Dates
Event
nitial registration in SAM.gov
includes tJEI issuance
Suggested Deadline for Comnletion
Four weeks before actual submission deadline
FY 2023 HS(;P NOFO Back to the Top
20 EXHIBIT F
Event
Obtaining a valid Employer
Identification Number
Suggested Deadline for Completion
deadlineFour weeks before actual
Creating an account with login,gov
in SAM or updating SAM
istration
in G V
in ND Grants
Starn C
lpplication inSul)m V
Submitting the final application in
ND Grants
Four weeks before actual submission deadline
Four weeks before actual submission deadline
Four weeks before actual submission deadline
Four weeks before actual submission deadline
One week before actual submission deadline
's before actual submission deadlineThree
By the submission deadline
2. Agreeing to Terms and Conditions of the Award
By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award.
3. Address to Request Application Package
See the Preparedness Grants Manual for requesting and submitting an application Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s Non-Disaster Grants (ND Grants) System Application forms and instructions are available at Grants.gov. To access these materials, go to http://w\\x\'.grants.gov.
4.Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for Award Management (SAM)
Each applicant, unless they have a valid exception under 2 CFR 25.110, must:
1) Be registered in SAM.gov before application submission; 2) Provide a valid Unique Entity Identifier (UEI) in its application; and 3) Continue to always maintain an active System for Award Management (SAM) registration with current information during the Federal Award process if selected for award
5.Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
Applying for an award under this program is a multi-step process and requires time to complete. Applicants are encouraged to register early as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines.
Please review the table above for estimated deadlines to complete each of the steps listed, Failure of an applicant to comply with any of the required steps before the deadline for submitting an application may disqualify that application from funding, To apply for an award under this program. all applicants must FY 2023 HSGP NOFO Back to the Top
21 EXHIBIT F
a
b
C
d.
e.
f
g.
h.
J
k
Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov and Employer Identification Number (EIN) from the Internal Revenue Service; In the application, provide an UEI number;
Have an account with login.gov;
Register for, update, or verify their SAM account and ensure the account is active before submitting the application;
Create a Grants.gov account;
Add a profile to a Grants.gov account;
Establish an Authorized Organizational Representative ( AOR) in Grants.gov; Register in ND Grants
Submit an initial application in Grants.gov;
Submit the final application in ND Grants, including electronically signing applicable forms; and
Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. As part of this, applicants must also provide information on an applicant's immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.
Specific instructions on how to apply for, update, or verify an UEI number or SAM registration or establish an AOR are included below in the steps for applying through Grants.gov
Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable SAM requirements. Therefore, an applicant's SAM registration must be active not only at the time of application, but also during the application review period and when FEMA is ready to make a federal award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the duration of an active federal award. If an applicant’s SAM registration is expired at the time of application, expires during application review, or expires any other time before award, FEMA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal an’ard to another applicant, Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevents it from obtaining an UEI number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting [email protected] and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines that there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain an UEI number, if applicable, and complete SAM registration within 30 days of the federal award date
6. Electronic Delivery
FY 2023 HSGP NOFO Back to the Top
22 EXHIBIT F
DHS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS encourages or requires applicants to submit their applications online through Grants.gov, depending on the funding opportunrty
For this funding opportunity, FEMA requires applicants to submit initial applications through Grants.gov and a final application through ND Grants.
7. How to Register to Apply through Grants.gov
For information on how to register to apply through Grants.gov, please see the Preparedness Grants Manual.
8. How to Submit an Initial Application to FEMA via Grants.gov Standard Form 424 (SF-424) is the initial application for this NOFO Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each Notice of Funding Opportunity, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least seven days before the application deadline.
In Grants.gov, applicants must submit the following forms:
• SF-424, Application for Federal Assistance; and
• Grants.gov Lobbying Form, Certification Regarding Lobbying.
For further information on how to submit an initial application via Grants.gov, please see the Preparedness Grants Manual.
9.Submitting the Final Application in ND Grants
After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.
Applicants needing assistance registering for the ND Grants system should contact ndgrants( dfema.dhs.gov or (800) 865-4076, For step-by-step directions on using the ND Grants system and other guides, please see Non-Disaster Grants Management System I FEMA.gov.
In ND Grants, applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10 of this NOFO, -Content and Form of Application Submission.” The Standard Forms (SF) are auto generated in ND Grants, but applicants may access these forms in advance through the Forms tab under FY 2023 HSGP NOFO Back to the Top
23 EXHIBIT F
the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.
For additional application submission requirements, including program-specific requirements, please refer to the subsection titled "Content and Form of Application Submission“ under Section D of this NOFO
10. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants System. Please allow 24 hours for your ND Grants application tracking number to migrate,
All applications must be received in ND Grants by 5:00 PM ET on the application deadline.
Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.
11. Content and Form of Application Submission
a. Standard Required Application Forms and Information
The following forms or information are required to be submitted in either Grants.gov or ND Grants. The Standard Forms (SF) are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at SF-424 Family I Grants.Ro\'.
le GRAXTS.GOV
• SF-424, Application for Federal Assistance, initial application submitted through Grants.gov
• Grants.gov Lobbying Form, Certification Regarding Lobbying. submitted through Grants.gov
IIe ND GRANTS
• SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grants
o For construction under an award, submit SF-424C, Budget Information (Construction). submitted via the forms generated by ND Grants, in addition to or instead of SF-424A
• SF-424B, Standard Assurances (Non-Construction). submitted via the forms generated by ND Grants
FY 2023 HSGP NOFO Back to the Top
24 EXHIBIT F
o For construction under an award, submit SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B
SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants
Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13 of this NOFO. “Funding Restrictions and Allowable Costs,“ for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal mjght be available, or contact the relevant FEMA staff identified in Section G of this NOFO, "DHS Awarding Agency Contact Information“ for further instructions, •
•
Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and SF-424B) or construction forms (i.e„ SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non-construction work under this program need to submit both the construction and non- construction forms
b. Program-SpecifIc Required Forms and Information
IO IJ DEVELOPMENT: SHSP AND UASI
As part of the FY 2023 HSGP application process for SHSP and UASI funds, applicants must develop formal IJs that address the proposed investments. Failure to fulfill all of the terms contained in this section will be considered by DHS/FEMA in its evaluation of the effectiveness of the IJs submitted to meet the minimum percent spend requirement for the National Priority Areas. Failure to sufficiently align projects to the National Priority Areas and meet the minimum percent spend requirement will result in funds being placed on hold until those issues are addressed
FY 2023 SHSP and UASI applications must include one (1) IJ and at least one (1 ) respective project for each of the five National Priority Areas with a minimum spend requirement (Soft Targets/Crowded Places, Intelligence and Information Sharing, Countering Domestic Violent Extremism, Election Security, and Community Preparedness and Resilience) identified in this NOFO. Each of these IJs must also meet or exceed the minimum percent spend requirement based on the applicant’s SHSP and UASI allocation stated in this NOFO. All projects associated with the minimum spend of a National Priority Area must be submitted in the same IJ. SAAs may submit complete project- level information at the time of application but are not required to do so at the time of application. However, any SHSP or UASI application that does not include an IJ for each National Priority Area that meets the minimum spend requirement will have that funding placed on hold (up to the National Priority Area minimum percent and up to 30% of the total SHSP or UASI allocations) until those IJs and project-level details that sufficiently address the National Priority Areas are received and approved by DHS/FEMA FY 2023 HSGP NOFO Back to the Top
25 EXHIBIT F
Each IJ must demonstrate how proposed investments:
• Support terrorism preparedness; and
• Support building capability and/or closing capability gaps or sustaining capabilities identified in the community’s THIRA/SPR process,
Each IJ must explain how the proposed investments will support the applicant-s efforts to •
•
•
•
Prevent a threatened or an actual act ofterrorism;
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 and equitably to save lives, protect property and the environment, and meet basic human needs in the aftermath of an act of terrorism or other catastrophic incidents.
If not included in the application, SHSP and UASI recipients must submit complete project-level information for each SHSP and UASI IJ as part of the Biannual Strategy Implementation Report (BSIR) due by January 30, 2024. This includes 1 Js for the National Priority Areas
DHS/FEMA will evaluate the effectiveness of the projects submitted in support of the National Priority Areas, either at the time of application or as part of the December 2023 BSIR due January 30, 2024. DHS/FEMA will not reduce FY 2023 HSGP awards based on the effectiveness review but will work with recipients to ensure compliance with the National Priority Area requirements based on the results of the effectiveness review.
Recipients and subrecipients will not be permitted to expend funding under the National Priority Areas until the effectiveness of the proposed projects has been reviewed and confirmed by FEMA.
11.DE\’ELOP\IENT OF IN\’ESTNIENTS AND PROJECTS: SHSP AND UASI • Applicants must propose at least 5 and may include up to 12 investments, • Within each investment, applicants must propose at least one project to describe the activities they plan to implement with SHSP and UASI funds. There is no limit to the number of projects that may be submitted.
• Required National Priority Area I Js must include the name of the priority in the investment name for easy identification
• All requested funding must be associated with specific projects. For each project, several pieces of information must be provided to submit the project for consideration in the application, including:
o Project name;
o Project description;
o Subrecipient name, if applicable;
o Recipient type (e.g., state or local);
o Project location (zip code of the primary location of the project); FY 2023 HSGP NOFO Back to the Top
26 EXHIBIT F
o Primary core capability the project supports;
o Whether the project activities are shareable and deployable; and o Which National Priority Area (if any) the project supports.
Projects should describe how’ the proposed investment supports building capability and/or closing capability gaps or sustaining capabilities identified in the THIRA/SPR process.
FEMA encourages states to use any DHS provided assessments, such as those performed by DHS’s Protective Security Advisors and Cybersecurity Advisors, when developing their I Js
•
•
III. NATIOXALPRIORIT\- AREA IX\’ESTXIEXTS: SHSP ASD UASI States are encouraged to review the Strategic Framework for Countering Terrorism and Targeted Violence when developing investments.
•Soft Targets/Crowded Places (3%)
Soft targets and crowded places are increasingly appealing to terrorists and other violent extremist actors because of their relative accessibility and the large number of potential targets. This challenge is complicated by the prevalent use of simple tactics and less sophisticated attacks. Segments of our society are inherently open to the general public. and by nature of their purpose do not incorporate strict security measures. Given the increased emphasis by terrorists and other violent extremist actors to leverage less sophisticated methods to inflict harm in public areas, it is vital that the public and private sectors collaborate to enhance security of locations such as transportation centers, parks, restaurants, shopping centers. special event venues. polling places. and similar facilities.
The malicious use of unmanned aircraft systems poses a threat to the safety and security of the American people. communities, and institutions. Technologies to detect or mitigate unmanned aircraft systems are an allow’able use under the HSGP in accordance with the Domestic Counter-Unmanned Aircraft Systems (UAS) National Action Plan. Recipients should ensure that. prior to the testing, acquisition, installation, or use of U AS detection and/or mitigation systems, they seek the advice of counsel experienced with both federal and state criminal. surveillance. and communications law's which may apply to the use of such technologies
Given the increased risk to soft targets and crou'ded places. at least one investment must be in support of the state's and high-risk urban area's efforts to protect son targets/crow’decl places. Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for soft targets/crowded places and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments States are also encouraged to engage DHS' Protective Security Advisors' security assessments of soft targets to ensure that recommendations from those assessments are taken into consideration when allocating grant funding
Additional resources and information regarding securing soft targets and crow’ded places are available through the Cybersecurity and Infrastructure Security Aqencv and the National Institute of Standards and Technology.
FY 2023 HSGP XOFO Back to the Top
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28 EXHIBIT F
Given the rise of domestic violent extremism in recent years, at least one investment must be in support of the state's and high-risk urban area's efforts to combat the rise. influence, and spread of domestic violent extremism. Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for domestic violent extremism and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.
Additional resources and information regarding domestic violent extremism are available through Center for Prevention Programs and Partnerships I Homeland Security (dhs,gov), •Cybersecurity (no minimum percent)
Today’s world is more interconnected than ever before, but with increased cormectivjty comes increased risk of our adversaries, including terrorists, exploiting cyber vulnerabilities and weaknesses to disrupt our way of life. While not required, applicants are encouraged to submit an investment related to their ongoing or near-term high priority c}’bersecurity projects. The investment u'ill be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments. C\-bersecurity investments must support the security and functioning of critical infrastructure and core capabilities as they relate to preventing, preparing for, protecting against. or responding to acts of terrorism. Recipients and subrecipients of FY 2023 HSGP grant awards wIll be required to complete the 2023 NationwIde Cvbersecuritv Review (NCSR). enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The Chief information Officer (CIO), Chief Information Security Officer (C'ISO), or equivalent for each recipient should complete the NCSR. If there is no CIO or CISO. the most senior cybersecuHt}’ professional should complete the assessment. The NCSR is available at no cost to the user and takes approximately 2-3 hours to complete. TIle 2023 NCSR is estimated to be open from October 2023 through February 2024, The NCSR is an annual requirement for recipients and subrecipients of HSGP funds and is taken once for each fiscal year award. Additionally, FEMA recognizes that some sut>awards will not be issued until after the NCSR has closed. In such cases. such subrecipients will be required to complete the first available NCSR offered after the suba\\ard has been issued by the pass-through entity. Although not required by SLTTs that did not receive HSGP fbnds, all SLTT agencies with preparedness responsibilities are highly encouraged to participate and complete the NCSR to evaluate their cybersecurity posture. For detailed information and background on the NCSR. please see IB 439
Additional resources and information regarding cybersecurity and cybersecurity performance goals are available through the Cybersecurit)' and Infrastructure Security ARency, Cross-Sector Cybersecurity Performance Goals I CISA, and the National Institute of Standards and Technology.
• Community Preparedness and Resilience (3%)
Community organizations are the backbones of American civic life. both during "blue skies" and in the aftermath of terrorist attacks. Community organizations. such as FY 2023 HSGP NOFO Back to the Top
29 EXHIBIT F
homeless shelters, food banks, public libraries, faith-based institutions, and nonprofit medical providers must have the capabilities to withstand acts of terrorism and provide essential services. especially to members of underserved communities. in the aftermath of an attack. In addition. individual citizens and volunteer responders. such as Communit} Emergency Response Teams, are often the first on the scene after a terrorist attack. The ability of these volunteers to provide assistance to their fellow citizens prior to the arrival of professional first responders is paramount to a community's resilience. FENIA's 2022 National Household Survey recorded a 4% decline in the number of Americans that have taken at least three preparedness actions to bolster individual and household resilience. In addition, the ('OVID-19 pandemic has placed a significant burden on community-based organizations such as homeless shelters. food banks, public libraries, faith-based institutions, and nonprofit medical providers to continue to provide key services during and after disasters. including acts of terrorism. This National Prioritv Area will bolster community preparedness and resilience by in\'esting in local, community-driven capabilities.
Additionally. equity in emergency management requires proactively prioritizing actions that reinforce cultural competency, accessibility. and inclusion, as u'cII as reflect the historical context of specific groups of people. To that end, states. territories. and high- risk urban areas are strongly encouraged to explore how SHSP- and U ASI-funded activities can address the needs of underserved. at-risk communities to help ensure consistent and systematic. fair. just. and impartial treatment of all individuals before. during. and after a disaster
The focus on equity and investing in strategies that meet the needs of underserved communities u'iII strengthen the u-hole of community system of emergency management.
Substantial and ongoing prioritization of. and investment in, underserved communities is essential for the entire system to be effective and efficient. Engaging the whole community requires all members of the community to be part of the cmergenc) management team, including representatives of underserved communities. diverse community members. social and community service groups and institutions, faith-based and disability advocacy groups. academia, professional associations. the private and nonprofit sectors, and government agencies that may not traditionally have been directl} involved in emergency management. The u’hole community includes children; older adults; individuals with disabilities and others with access and functional needs; those from religious. racial, and ethnically diverse backgrounds; people with limited English proficiency; and owners of animals including household pets and service animals, These factors underpin the requirement that at least one investment must be in support of the state's and urban area's efforts to address community preparedness and resilience, Additionally. the proposed investment must meet or exceed the FY 2023 national priorit) percentage for community preparedness and resilience and \\'ill also be subject to DHS/FENIA's evaluation of the effectiveness of the proposed investments Additional resources and information regarding community preparedness and resilience are available through Individuals and C'ommunities I FEMA.gov.
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30 EXHIBIT F
•Election Security (3%)
In January 2017, DHS designated the infrastructure used to administer the Nation's elections as critical infrastructure. This desjgnation recognizes that the United States’ election infrastructure is of such vital importance to the American way of life that its incapacitation or destruction would have a devastating effect on the country. Securing election infrastructure, ensuring its continued operation in the face of threats and harassment, advancing the safety of election officials, and ensuring an election free from foreign interference are national security priorities. Threats to election systems are constantly evolving, so defending these systems requires constant vigilance. innovation. and adaptation. As such, at least one investment must be in support of the state's and high-risk urban area's efforts to enhance physical election security and/or cyber election security. Additionally. the proposed investment must meet or exceed the FY 2023 national priority percentage for election security and will also be subject to DHS/FEMA- s evaluation of the effectiveness of the proposed investments.
The SAA must include the State's Chief Election Official for all projects and matters related to the election security National Priority Area. Any activities proposed that could be used to suppress voter registration or turnout will not be approved.
Additional resources and information regarding election securitY are available through the Cybersecurit}’ and Infrastructure Security Agency
IV, DE\rELOPXI ENT OF FUSION CENTER PROJECTS: SHSP AND UASI Each applicant must identify a fusion center project that will • Indicate aljgrurlent to a desjgnated Fusion Center; and . Provide both a brief narrative description and funding itemization for the proposed project activities that directly support the designated fusion center.
The descriptive narrative and the financial itemization should align improvement or sustainment requests with fusion center activities as they relate to the Fusion Center Performance Measures found in the Preparedness Grants Manual Sample Fusion Center Funding ltemization
A sample project description and funding itemization are belou'. For the itemized projects. clearly identify the anticipated fusion center performance improvement or sustainment as a result of the proposed funding
The X Fusion enhancement project \vin fund:
• Salaries. benefUs. and training+r X number of Fusion Center intelligence analysIS • Travel costs associated with fusion center analyst training • This project will directly sustain the Center's current capabilities and performance and directly aligns with per.f'ormance measures 2023.XXX • We anticipate seeing an improvement in the quality and quantity of analytic production and responses to requests for injbrmation as a direct result of the funding of this project
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31 EXHIBIT F
The funding itcmization for a fusion center project should include the amount and percent of each relevant solution area. As an example
edSolution Area and Amount of Propos
Fundingm \WIID]I @
S200.000
S2fir).Ofit)
SI 0.000Truinin
F_\cruises SO
I nol)Total:s420.non
V COXIPLETIXG IRIS 1\ THE GRANT REPORTING TOOI, (GRT): SHSP AXDUAS I In the Related Documents section of the Grants.go\’ posting. applicants can Hnd the 1 J template and instructions for collecting the required information for investments and projects.
Additionally, applicants should utilize the Project Worksheet located in Grants.gov posting to assemble the information required for each project, u’hich u'ill facilitate the input of that information into the GRT
Applicants must ensure the appropriate National Priority Area -Investment Type" (Orerrfen Tab In\cstnrctrt in.for nrcltiotr Sect ion ) is selected for the corresponding National Priorit} \rea
VI.DE\’ELOPNI ENT OF CONCEPT OF OPERATIONS FOR OPS(;
As part of the FY 2023 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. in coordination u-ith 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 la\\' enforcement agencies that are eligible to participate in OPSG operational activities, and the CONOP/Application should describe participating agencies in the Executive Summary.
CC)NOP/Application details should include the names of the agencies. points of contact, and individual funding requests. All CONOPs/Applications must be developed in collaboration u'ith the local USBP sector oftlce. the SAA. and the local unit of government. Requests for funding in C-ONOPs/Applications must be based on risks and the operational enforcement support requirements of its corresponding USBP Sector. as well as the national priorities identifIed below’. USBP Sector offices will forward the CONOPs to USBP lleadquarters for vetting and coordination. Applicants will forward corresponding OPSG Applications to the SAA for submission to FEMA. USBP Headquarters u'ill reconcile all submitted CONOPs u-ith the OPSG Applications. FEMA \all review- and evaluate all CONOPs and OPSG Applications and funding u'ill be allocated based on the review and selection criteria identified in this NOFO
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32 EXHIBIT F
OPSG Applicants will be required to clearly articulate and identify how the CONOPs will address the national priority identified below:
• Information and Intelligence Sharing and Cooperation
Effective border security operations rely on access to, analysis of, and the timely sharing of open source, unclassified, and classified information, suspicious activity reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism, threats to life, targeted violence, and other threats within the DHS mission space.
Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure partners, stakeholders, and senior leaders receive actionable intelligence and information necessary to inform their decisions and operations. One critical, statutorily required mission of DHS is to deliver intelligence and information to federal, state, local, and tribal governments and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including both international and domestic terrorism, cybersecurity, transnational organized crime, economic security, border security, immigration enforcement, and other areas, while upholding privacy, civil rights and civil liberties protections, is critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism, and other threats to life and criminal acts of targeted violence, Given the importance of information sharing and collaboration to effective homeland security solutions, the CONOP must support the recipient’s efforts to enhance information sharing and cooperation with DHS and other federal agencies. Applicants must justify persuasively how they will contribute to the information sharing and collaboration purposes of the OPSG program and a culture of national preparedness.
Additional resources and information regarding collaboration and information sharing are available through the Department's Office of Intelligence and Analysis.
VII DETAILED Budget
Applicants must provide budget summary worksheets for all funds requested at the time of application. The budget summary worksheets must be complete, reasonable, and cost- effective in relation to the proposed project and should provide the basis of computation of all project-related costs (including management and administrative costs) and any appropriate narrative. FEMA must be able to thoroughly evaluate the projects being submitted based on the information provided. FEMA must be able to determine how much funding is being passed through to subrecipients for each sub-program (UASI, SHSP, OPSG). Consequently, applicants must provide an appropriate level of detail within the budget summary worksheets to clarify what will be purchased and spent. Sample budget summary worksheets are available on the grants.gov posting for the HSGP in the Related Documents tab and may be used as a guide to assist applicants in the preparation of budgets and budget narratives.
12. Other Submission Requirements
Fusion Center Investments
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33 EXHIBIT F
Of the proposed SHSP- and U ASI-funded investments, one single project must be in support of a designated fusion center. Recipients must coordinate with the fusion center when developing a fusion center project prior to submission. See additional information on how to develop the fusion center projects below and in the Preparedness Grants Manual.
Emergency Communications Investments
All emergency communications investments must describe how such activities align with needs identified in their Statewide Communication Interoperability Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governing Body (SIGB) when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. Effective project alignment will require advance coordination with the SWIC and consultation wIth governing bodies such as the SIGB or Statewide Interoperability Executive Committee, as they serve as the primary steering group for the statewide interoperability strategy. Additionally, recipients should consult subject matter experts serving on governance bodies, such as broadband experts, chief information officers, representatives from utilities, or legal and financial experts, when developing proposals. The investment name must include the words "emergency communications” to easily identify any emergency communications investments
13. 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 Executive Orders 1 National Archives and Intergovernmental Review (SPOC List) (whitehouse.gov)).
14. Funding Restrictions and Allowable Costs
All costs charged to awards covered by this NOFO must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, the terms and conditions of the award, or the Preparedness Grants Manual. This includes. among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards under this program is the same as the period of performance).
Federal funds made available through this award may be used for the purpose set forth in this NOFO, the Preparedness Grants Manual, and the terms and conditions of the 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 awards, 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. See the Preparedness Grants Manual for more information on funding restrictions and allowable costs, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services
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34 EXHIBIT F
Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 fFY 2019NDAA), Pub. L. No. 115-232 (2018) and 2 C,F.R. §§ 200.216, 200.327, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons,
Guidance is available at Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, FEMA Policy #405-143-1, or superseding document
Additional guidance is available at Contract Provisions Guide: Navigating Appendix II to Part 200 - Contract Provisions for Non-Federal Entjty Contracts Under Federal Awards (fema.gov).
Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:
•
•
•
Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system;
Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.
I, REPLACEMENT EQUIPNIENT AND SERVICES
FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of the NOFO and the Preparedness Grants Manual.
11.DEFINITIONS
Per section 889(D(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:
Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities); 1 ii. For the purpose of public safety, security of Government facilities. physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities)
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35 EXHIBIT F
Telecommunications or video surveillance services provided by such entities or using such equipment; or
Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People-s Republic of China.
IV
Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of"covered telecommunications equipment or services.“ See 2 C.F.R. § 200.471 b.Pre-Award Costs
Pre-award costs are allowable only with the prior written approval of DHS/FEMA and as included in the award agreement. To request pre-award costs, a written request must be included with the application, signed by the AOR of the entity. The 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.
Management and Administration (M&A) Costs
M& A costs are allowed. Recipients may use a maximum of up to 5% of HSGP funds awarded for their M&A, and any funds retained are to be used solely for M& A purposes associated with the HSGP award. Subrecipients may also use a maximum of up to 5% of the funding passed through by the state solely for M& A purposes associated with the HSGP award. M& A activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. M&A expenses must be based on actual expenses or known contractual costs. M& A requests that are simple percentages of the award. without supporting justification, u’ill not be allo\\td or considered for reimbursement.
M& A costs are not operational costs. They are the necessary costs incurred in direct support of the grant or as a result of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, responding to official informational requests from state and federal oversight authorities, including completing the Civil Rights Evaluation Tool as required by DHS, and grant performance measurement or evaluation activities. Please see the Preparedness Grants Manual for additional information on direct costs,
Recipients or subrecipients may apply or credit M& A funding toward the recipient’s requirement to allocate funding toward the National Priority Areas. For example, if a recipient spends 85,000 to manage or administer its funding dedicated toward its soft targets/crowded places investment, the recipient may credit that funding toward its requirement to allocate at least 3% of its award to the enhancing the protection of soft targets and crowded places National Priority Area
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36 EXHIBIT F
A state's HSGP funds for M& A calculation purposes includes the total of its SHSP, UASI, and OPSG awards. While the SAA may retain up to 5% of this total for M& A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum pass-through requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed through to local or tribal jurisdictions must be based on the state's total HSGP award prior to withholding any M& A In retaining these funds. states may retain a maximum of 2.5% of the OPSG allocation which must be withheld from the pass-through to each subrecipient county or tribe in an equal percentage. The SAA may also retain additional funding from its SHSP award to manage and administer the OPSG award. but that additional amount is also capped at an amount equal to 2.5% of the OPSG award. Examples applying this principle:
SAA 1
Total award: $6.000,000
SHSP: $1.000.000 OPSG: 82.500.000 UASI: $2.500.000
M&A Maximum: 5300.000 (50/, of $6.000.000)
Maximum M&A for SHSP = 550.000
Maximum M&A for OPSG = $125.000. Of that amount, $62.500 (2.5%) may be retained from the OPSG allocation. and the other 862,500 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $50,000 available to manage the SHSP allocation Maximum M&A for UASI = $125.000
SAA 2
Total a\yard: 54.500.000
SHSP: $3.500,000 OPSG: 81.000,000
M&A Maximum: 8225,000 (50/, of 54.500,000)
Maximum M&A for SHSP = $175,000
Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5%) may be retained from the OPSG allocation, and the other 825,000 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the 8175,000 available to manage the SHSP allocation HSGP recipients are also reminded that any M& A charged to a recipient's or subrecipient's UASI funding must be directly allocable to administration of the UASI grant program and cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding Similarly, any M& A charged to a recipient's or subrecipient's SHSP or OPSG funding cannot be used to cover M&A costs directly allocable to UASI funding Please note. IB 365: Management and Administration Costs in the Homeland Securitv Grant Program and DHS/FEMA Policy 207-087-1 do not apply to awards made in FY 2023 under this NOFO. Please also reference IB 416 for additional clarifIcation on OPSG M&A. but to the extent that th_ere is any conflict between IB 416 and this NOFO. the requirements of this NOFO will apply to FY 2023 awards made under this NOFO, FY 2023 HSGP NOFO Back to the Top
37 EXHIBIT F
d.Indirect Facilities & Administrative (F&A) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200. including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R.
Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wIsh to charge the de minimis rate must reach out to the FEMA Grants Management Specialist for further instructions. Applicants \\ Ilo n’ish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants Management Specialist for further instructions. Post-au-ard requests to charge indirect costs u'ill be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon on the dc minimis rate or cost allocation plan, as applicable.
Ce Funds Transfer Restrictions
The recipient is prohibited from transferring funds bet\\’een programs (includes SHSP. UASI and OPSG). Recipients can submit an investment/project where funds come from multiple funding sources (e.g.. SHSP and UASI). how'e\'er. recipients are not allowed to divert funding from one program to another due to the risk-based funding allocations. u'hich u’ere made at the discretion of DHS/FEMA
f. Other Direct Costs
I. PLAXXIXG
Planning costs are allo\vcd under this program. Please see the Preparedness Grants Manual for more information
II. ORGAXIZATIOX
Organization costs are allow-ed under this program. Please see the Preparedness Grants Manual for more information
III. EQt’lP>l£xT
Equipment costs are allowed under this program. Please see the Preparedness Grants Manual for more information
General Purpose Equipment
HSGP allow’s 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 preparedness.
General purpose equipment. like all equipment funded under the HSGP. must be sharable through the EMAC3 and allowable under 6 U.S.C. $ 609. and any other applicable provision of the Horn elund Securily HcI of 2002, as amended. Examples of such general-purpose 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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38 EXHIBIT F
equipment may include
0 0
0 Law- enforcement/general use vehicles (OPSG only):
Emergency medical services equipment and vehicles;
Fire service equipment and vehicles, to include hose, pump accessories. and foam concentrate for specialized chemical/biological/radiological/nuclear/explosive (CBRNE) response;
Interoperability of data systems, such as computer aided dispatch (CAD) and record management systems (RMS); and
Office equipment for staff+ engaged in homeland security program activity.0 •Controlled Equipment
For decades. the federal government has provided equipment to state, local. and tribal law enforcement agencies (LEAs) through federal grants. Some federal grant programs have assisted LEAs as they carry out their critical missions to keep the American people safe. The equipment acquired by LEAs through these programs includes administrative equipment. such as office furniture and computers. Some federal grant programs also may include military and military-styled equipment. firearms. and tactical vehicles provided by the federal government. including property covered under 22 C.F.R. Part 121 and 15 C.F.R. Part 774 (collectively, "controlled equipment").
However, not all equipment that is considered controlled equipment is allowable under the HSGP. As noted in Section B of FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, certain equipment is prohibited and is not allow’able under HSGP. Grant funds under this program may not be used for the purchase of equipment not approved by DHS/FEMA. For example. the purchase of tracked armored vehicles. camouflage uniforms, weapons. and weapons accessories, including ammunition. is generally not allo\\’ed wIth HSGP funds.5
For some controlled equipment that is allowable under the HSGP, additional documentation. justifications. reviews, and approvals are required. including but not limited to proof of policies and procedures to safeguard individuals' privacy. civil rights. and civil liberties.
Contact your Preparedness Officer if you have questions concerning HSGP requirements for controlled equipment requests.
Grant funds under this program must comply with the aforementioned FEMA Policy 207- 22-0002, Prohibited or Controlled Equipment Under FEMA Awards. As per this FEMA Policy, excepted or controlled equipment must remain in the possession of the original FEMA grant recipient and may not be transferred. The use of controlled equipment under a +This applies to all homeland security personnel and is not limited to M& A staff, and costs are to be captured outside the cap on M& A costs
5 FEMA issued Policy 207-22-0002 in response to Executive Order ( EO) 14074, Advancing Effective, Accountable Policing and Criminal Justice Practices to Enhance Public Trust and Public Safety, w'hich President Joseph R. Biden issued on May 25, 2022. EO 1407+ directs the DHS to prohibit the use of grant funding to purchase certain t>pes of military equipment by state, local, tribal. and territorial law enforcement agencies and to comply with and implement the recommendations stemming from EO 13688, which established prohibited equipment and controlled equipment lists
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39 EXHIBIT F
Memorandum of Understanding or other regional sharing agreement (see Section D.6 of this FEMA Policy) does not constitute a transfer of controlled equipment.
DHS/FEMA will continue to collaborate with federal agency partners to ensure that there is a consistent and reasonable approach to the restrictions placed on controlled equipment expenditures while continuing to support these investments when there is a justifiable need.
Further. DllS/FEVIA w’ill continue to maintain an awareness of the evolving polic} developments related to controlled equipment expenditures and keep grant recipients up to date on future developments.
IV.TRAINING
Training costs are allow’cd under this program. Please see the Preparedness Grants Manual for more information. Recipients are encouraged to consider tuition-free courses offered b) FEMA fIrst. before investing in training. For more information and a catalog of courses please refer to the National Preparedness Course Catalog at NTED. v. ExER(’lsts
Exercise costs are allowed under this program. Please see the Preparedness (irants Manual for more information.
\’I.PERSO\\£l
Personnel hiring. overtime. and backfill expenses are permitted under this grant to perform allowable llSGP planning. organization, training. exercise. and equipment activities. Under OPSG. overtime costs are allow’able only in so far as they meet the intent of the program All recipients and subrecipients ofllSGP funds, including SHSP. UASI, and OPSG allocations, may not use more than 50% of their awards to pay for personnel activities unless a u’aiver is approved by FEMA. For more information on the 50% personnel cap, please see FEMA IB 42 lb. C'larincation on the Personnel Reimbursemt'nI ttlr InlelliRence C'ot)pcrclt ioII arId Enhance nlcrlt of HI)melarld Se cllr itv IcI of 2008 (Public 1.a\\’ 1 10-4 12) – the PRICE Act. Please see the Preparedness Grants Manual for more information, \’II OPERATIONAL O\'E RTIXI E
Operational overtime costs are allowed under this program. Prior to use of funds for operational overtime, recipients must receive approval from DHS/FEMA. Operational overtime costs are also subject to the 50% personnel cap. For more information on the 50% personnel cap, please see FEMA IB 421b. For more information about operational overtime costs for SIISP. UASI. and OPSG, please see the Preparedness Grants Manual Operational Overtime Costs for SHSP and UASI
As stated in the Preparedness Grants Manual. 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. SHSP or UASI funds may be used to support select operational expenses associated with increased security measures in the authorized categories in the authorized categories outlined in the Preparedness Grants Manual. FEMA retains the FY 2023 HS(;P NOFO Back to the Top
40 EXHIBIT F
discretion to approve other types of requests that do not fit within one of these categories Except for an elevated National Terrorism Advisory (NTAS) alert, SHSP or UASI funds may only be spent for operational overtime costs upon prior written approval by FEMA Post-event operational overtime requests will only be considered on a case-by-case basis, where it is demonstrated that exigent circumstances prevented submission of a request in advance of the event or activity
Operational Overtime Costs for OPSG
As stated in the Preparedness Grants Manual, OPSG funds should be used for operational overtime costs associated with law enforcement activities in support of border law enforcement agencies for enhanced border security. Overtime shall be reimbursed consistent with the non-federal entity’s overtime policy and the requirements as stated in the Preparedness Grants Manual.
VIII. Tk\vEL
Domestic travel costs are allowed under this program, as provided for in this NOFO and in the Preparedness Grants Manual. International travel is not an allow-able cost under this program unless approved in advance by DHS/FEMA
IX.CONSTRUCTION AND RENO\'ATION
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 and renovation costs to be allowed. they must be specifically approved by DHS/FEMA in UTiting prior to the use of any program funds. Limits on the total amount of grant funding that may be used for construction or renovation may appl) Additionally. recipients are required to submit SF-424C and SF-424D.
All proposed construction and renovation activities must undergo an Environmental Planning and Historic Preservation (EHP) review, including approval of the review from FEMA, prior to undertaking any action related to the project. Failure of a grant recipient to meet these requirements may jeopardize Federal funding. Please see the Preparedness Grants Manual for more information
X. NIAIXTEX AXCEAXDStSTAIXXI£ XT
Maintenance- and sustainment-related costs. such as maintenance contracts. warranties. repair or replacement costs. upgrades. and user fees, are allowable. Please see the Preparedness Grants Manual for more information.
XI. CRITICAL E\IERGENC\' SUPPLIES
Critical emergency supplies are allowed under this program. Please see the Preparedness Grants Manual for more information
XII. SECURE ID£XTIrICATIOX
Secure Identification costs are allou'ed under this program. Please see the Preparedness Grants Manual for more information
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41 EXHIBIT F
Allowable Cost lylatrix
The following matrix provides allou'able cost activities that fall under each of the cost categories noted above. Recipients and subrecipients must foIIo\\' all applicable requirements in 2 C.F.R, Part 200 Unift>rm Administrative Requiremenls, Cos I Principles. and Audit Requiremenls for Federal Awards . HSGP funds may be used to cover the costs for evaluating the impact of these grants on the state or urban area's core capabilities and capability gaps. This list is not exhaustive, therefore. if there are any questions regarding allo\\able costs, please contact the appropriate HQ FEMA Preparedness C)fReer. For additional information on allowable costs, see the Preparedness Grants Manual,
Allow-able Program Activities
CostsAllowable
S IISP IFAS 1 OPS(;
Developing hazard threat-specific annexes
Developing and implementing homeland security support programs and adopti ongoing DHS,'FEMA national initiatives
Developing related terrorism and other catastrophic event prevention acti\itics Developing and enhancing plans and protocols
Developing or conducting assessments
I liring of full- or part-time staff or contract/consultants to assist u ith planning. engagement, and volunteer management activities
Materials required to conduct planning, engagement. and volunteer management act l\'ltles
Travel, per diem related to planning. engagement. and volunteer management activities Overtime and back nII costs (in accordance with operational Cost Guidance) Issuance of Western I lclnisphere Travel Initiative-compliant Tribal idcntincation cards Activities to achieve planning inclusi\ c of people \\ ith disabilities and others with access and functional needs and limited English proficiency
Coordination with Citi/en Corps Councils for public information education and development of volunteer programs
Coordination amaFraIIMT ema;;riTRif=olm
the establishment. training and maintenance of CERTs
tJpdate governance structures and processes and plans for emergency communications 1)c\ clopment. and rc\ ic\\ and re\ ision ofcontinuit\ of operations plans Development, and rev ie\\' and revision of the THI RTS PR and continuity of operations N
N
N
N
N
N N
N
N
N
plans
Developing or conducting equity assessments to address planning and preparedness disparities for historically underserved communities
N
N
Allowable Org:1 i
Note: Personnel hiring, overtime, and backfi II expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant.
Program management
Development of \\ hole community partnerships
Structures and mechanisms for information sharing between the public and private Implementing models, programs, and workforce enhancement initiatives cctor
N
N
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42 EXHIBIT F
Allowable Program Activities
MHBdwq11Rr+slht i'll]\ItU.It IMHmc rl the
public and private sectors
Operational support
Utilization of standardized resource management concepts 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 Reimbursement for select operational expenses associated with increased security measures at critical infrastructure sites incurred (UP to 50% of the allocation) Overtime for information, investigative, and intelligence sharing activities (up to 509 b of the allocation)
Hiring of new staff positions/contractors 'consultants for participation in information/intelligence analysis and sharing groups or fusion center activities (up to 50'% of the allocation),
Hiring or maintaining staff positions/contractors/consultants at SLTT levels to deliver community preparedness training, resources and material to schools, community-based organizations, faith-based institutions and local businesses. s lsultants to create, support and
maintain CERT or Teen CERT
Cost of migrating online services to the -.gov’- domain Allowable
-mim)rotccti\ c l-:qu ipmcnt
Allowable
iii;i=b=\-ice M itiiiBn and Tiiil
CBRFE-3mnal Search and Rescue Equipment
-nmation mITo®i
mr ement Equipment
mb=Eat rTa
TeTection
Decontamination
e imr easures
mmmi== batteries, power cells)
TFFNI
CBRNE Incident Response Vehicles
Terrorism Incident Prevention Equjpment
Physjcal Security Enhancement Equipment
e
Animal Care and Forejgn Animal Disease
CBRNE Prevention and)
CBRNE Prevention and Response Unmanned Aircraft
CBRNE Aviation Equjpment
CBRNE Logjstical Support Equipment
Intervention Equipment (e.g.. tactical entry
Critical emer£encv supplies
6;iiiin vehicle acquisition. lease. and rental
m;Iiimle acqujsition. lease. and rental
OthermmiEquipment
-,
Overtime and back fill for emergency preparedness and response personnel attending DHS/FEMA-sponsored and approved training classes
SHSP UASI OPSG
N
lrocessing)
T
N
FY 2023 HSGP NOFO Back to the Top
43 EXHIBIT F
Allowable Program Activities
O\erllnMMi]Mt lc ,IIla me
personnel participating in DHS, FEMA training
Training workshops and conferences
Activities to =r \
access and functional needs and limited English proficiency Full- or part-tilnc staff or contractor, ct)11stllt:lnts Travel
SUDDlies
Instructor certification/’re-certification
Coordination with Citizen Corps Councils and CERT in conducting training exerc Preparedness training for communit\ prcparcd11css initiatives and prograIIls Interoperable co111111unications traini nJ
Activities to achieve planning inclusiv)
Immigration enforcement training
SIIISP LT AS I OPS(;
N
w
t)csiign. Dn;
Full- or part-time staff or contractors consultants
Overtime and backfi II costs, including expenses for part-time and volunteer emergel response personnel participating in DHS'FEMA exercises
Implementation of I ISI:ltP
Activities to achieve exercises inclusive of people with disabilities and others with access and functional needs
Travel
SUDDlies
Interoperable communications exercises
Allowable Exercise Related Costs
Acti v it iCSI \ mI
w
Hiring of full- tlr part-tillle staff or contr;lc{tlr\ c,)11sLlltants to assist \\ itt1 tl1,' management of the respective grant program. application requirements. and compliance with reporting and data collection requirements Development of operating plans for iFf=tion collectionmi=r i respond to DHS FEMA data calls
Re-r=mr I
Travel
Meeting related expenses
Authorized t)tllcc equjpment
e = such as those associated with cell phones and faxes during the leriod ofDerformance of the grant Drouram
Leasing or renting of space for new ly hired personnel during the period of perform:
of the grant program
Completing tRI Ci\ il RMs E\'aluation Tool
Conducting activities rclat
'roi ects
t
Integration aIIa irltTI ;ETiiT-==
facilitate the collection.
Maturation, enhancement, and sustainment of designated state and major Urban Area fusion centers, including information sharing and analysis. threat recognition. terrorist interdiction, and intelligence anal) st training and salaries (subject to certain conditions) N
N
N
N
FY 2023 HSGP NOFO Back to the Top
44 EXHIBIT F
Allowable Program Activities
Regionalll©BIGHrorlsm traIII dll. n]
to exchange information and discuss the current threat environment, lessons learned, and best practices to help prevent, protect against, and mitigate acts of terrorism Coordination of regional full-scale training exercises (federal, state, and local law enforcement participation) focused on terrorism-related events Law enforcement Chemical, Bioloc il
Explosives detection and response capabilities, such as bomb detection/disposal capability development, sustainment, or enhancement, including canine teams, robotics platforms, and x-ray technology
Coordination between fusion centers and other operational analytic, and in\'estigati\'e efforts
Implementation, maintenance, and sustainment of the Nation\n) Reporting Initiative
Implementation of the "If You See Something, Say Scc Dr Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical infrastructure locations
_ SHSP UASI OPSG
N
N
N
N
N
N
N
E. Application Review Information
1. Application Evaluation Criteria
a. Programmatic Criteria
I. RISKMETHODOLOGV
The risk methodology determines the relative risk of terrorism faced by a given area considering the potential risk of terrorism to people, critical infrastructure, and economic security. The analysis includes, but is not limited to, threats from violent domestic extremists, international terrorist groups, and individuals inspired by terrorists abroad. See the Preparedness Grants Manual for additional information on the risk methodology NOTE: The THIRA/SPR process is separate from the risk methodology and its results do not affect grant allocations.
The Risk Methodology is used to inform allocations under HSGP. For more information on the SHSP, UASI. and OPSG allocation processes, please see Section B.1 of this NOFO, “Available Funding for the NOFO.’'
II, APPLICATION EVALUATION CRITERIA
FEMA will evaluate the FY 2023 HSGP applications for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments FEMA’s review will include verification that each IJ and project:
•
•
•
Aligns with at least one core capability identified in the Goal; Demonstrates how investments support building capability and/or closing capability gaps or sustaining capabilities identified in the THIRA/SPR process; and Supports a NIMS-typed resource and whether those assets are deployable/shareable to support emergency or disaster operations per existing EMAC agreements.
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45 EXHIBIT F
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 period of performance. 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. To that end, 1 Js should include •
•
An explanation of how the proposed project(s) will achieve objectives as identified in the SPR, including expected long-term impact where applicable, and which core capability gap(s) it helps to close and how;
A summary of the status of planning and design efforts accomplished to date (e.g.. included in a capital improvement plan); and
A project schedule with clear milestones.
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 fbnds, as requested FEMA will also review any submitted National Priority Area-aligned I Js and projects to ensure they meet the minimum spend requirements. Additional information on how the National Priority Area I Js and projects will be reviewed for effectiveness is included in the Review’ and Selection Process section below
b.Financial Integrity Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as enacted by the Payment Integrity Information Act of 2019, Pub. L. No. 1 16-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of govemmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred.
FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:
i. Financial stability;
ii, Quality of management systems and ability to meet management standards; iii. History of performance in managing federal award;
iv. Reports and findings from audits; and/or
v. Ability to effectively implement statutory, regulatory, or other requirements. c. Supplemental Financial Integrity Criteria and Review Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently 8250,000:
i. FEMA is required to review and consider any information about the applicant, including information on the applicant’s immediate and highest-level owner, subsidiaries, and predecessors. if applicable, that is in the designated integrity FY 2023 HSGP NOFO Back to the Top
46 EXHIBIT F
and performance system accessible through the System for Award Management (SAM). which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS),
An applicant, at its option. may review information in FAPIIS and comment on any information about itself that a federal awarding agency previousl} entered
111 FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS. 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 C.F.R. g 200.206
Review and Selection Process2
a. SHSP and UASI
All proposed investments n’ill undergo a federal review by DHS/FEMA to verify compliance u-hh all administrative and eligibility criteria identified in the NOFO. The federal review nln be conducted by FEMA HQ Preparedness Officers. FEMA HQ Preparedness Officers n'ill use a checklist to verify compliance wIth all administrative and eligibility criteria identified in the NOFO. Recipients must be able to demonstrate how investments support building capability and/or closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. IJs will be reviewed at both the investment and project level
Emergency communications investments will be jointly reviewed by FEMA and CISA's Emergency Communications Division (ECD) to verify compliance with SAFECONI Guidance on Emergency Communications Grants (SAFECOM Guidance). FEMA and ECD u-ill coordinate directly wIth the recipient on any compliance concerns and u'ill provide technical assistance as necessary to help ensure full compliance, Additional Effectiveness Evaluation Criteria for the National Priority Areas National Priority Areas for anticipated effectiveness. FEMA's review will include verification that each IJ or project meets the National Priority Area required spend percentages.
Cvbersecurit\' investments will be reviewed bY DHS/FEMA. CIS A. and other DFiS components as appropriate. for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO
Soft Targets/Crowded Places investments wIll be reviewed by DHS/FEMA. CIS A. and other DHS components as appropriate. for compliance with purposes and requirements of the priority investment area. Proposed investments wIll be reviewed for effectiveness using the criteria set forth in this NOFO.
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Information Sharing and Cooperation Investments n’ill be reviewed by DHS/FEMA. DllS Office of Intelligence and Analysis. and other DI-IS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO.
For additional information on Fusion Center requirements. please see the Preparedness Grants Manual
Domestic violent extremism investments u-ill be review-ed bY DHS/FEMA, DHS Office of Intelligence and Analysis. DHS Center for Prevention Programs and Partnerships. and other DHS components as appropriate. for compliance u'ith purposes and requirements of the priority investment area. Proposed investments \\’ill be re\'icu'ed for effectiveness using the scoring criteria set forth in this NOFO
Community preparedness and resilience investments will be reviewed by DHS/FEMA and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments \\111 be reviewed for effectiveness using the scoring criteria set forth in this NOFO.
Election security investments will be reviewed by DIIS/FEMA, CIS A. and other DHS components as appropriate. for compliance with purposes and requirements of the priorit) investment area. Proposed investments u’ill be reviewed for effectiveness using the scoring criteria set forth in this INOFO
FEMA \\Ill determine whether the proposed approach is clear, logical. and reasonable to address the priority areas of interest and contribute to a culture of national preparedness.
This includes factors such as the objectives and strategies proposed to address the priorit) area. ho\\' the objectives and strategies overcome legal, political, or practical obstacles to reduce overall risk. the process, and criteria to select additional relevant projects, and the appro,ICh to monitor awards to satisfy the funding percentage allocations For applicants that elect to submit IJs and project-level details for the National Priority Areas at the time of application, effectiveness will be evaluated prior to award. If the projects are found to not suftlciently align with the National Priority Area(s), applicants ma) have funds placed on hold (up to 30%) until the projects are revised to satisfactorily address the National Priority Areas
For applicants that elect to submit IJs and project-level details for the National Priority Areas as part of the December 2023 BSIR, they \\111 have funds placed on hold in the amount of 30%. The hold \yjII be released only after their December 2023 BSIR submission has been revieu'cd. and projects related to the National Priority Areas deemed in alignment by DHS/FEMA
SAAs are still required to meet pass-through requirements even if funds are on hold related to the National Priority Areas.
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To that end, I Js should include:
•
•
•
How the proposed investment addresses the National Priority Area; An explanation of how the proposed projects were selected and will achieve objectives and strategies to build or sustain the core capability gaps identified in the SPR, including expected long-term impact where applicable; and A summary of the collaboration efforts to prevent. prepare for. protect against. and respond to acts of terrorism as \yell as anticipated outcomes of the project For FY 2023 SHSP and UASI investments and projects related to the National Priority Areas. effectiveness will be evaluated based on the following four factors Investment StrateRV f40%): Proposals will be evaluated based on the quality and extent to which applicants describe an effective strategy that demonstrates that proposed projects support the program objective of preventing. preparing for. protecting against. and responding to acts of terrorism. to meet its target capabilities. and otheru'ise reduce the overall risk to the hjgh-risk urban area. the state. or the Nation
Budget (20%): Proposals will be evaluated based on the extent to which applicants describe a budget plan for each investment demonstrating how’ the applicant will maximize cost effectiveness of grant expenditures.
Impact/Outcomes (40%): Proposals will be evaluated on how the investment helps the jurisdiction close capability gaps identified in its SPR and addresses the relevant National Priority Area outlined in this NOFO. Further, proposals u'ill be evaluated on their identification and estimated improvement of core capability(ies), the associated standardized target(s) that align with their proposed investment. and the ways in which the applicant will measure an(tor evaluate improvement Past Performance (additional consideration): Proposals will be evaluated based on the applicants demonstrated capability to execute the proposed investments. In evaluating applicants under this factor FEMA will consider the information provided by the applicant and may also consider relevant information from other sources. b.OPSG
Applications \all be revieu'ed 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 C)PSG. see the Preparedness Grants Manual.
DHS/FEMA \\-ill 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 u'ill 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.
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FY 2023 OPSG funds will be allocated among the eligible jurisdictions based on risk-based prioritization using the OPSG Risk Assessment described above. Final funding allocations are determined bY the SecretarY of Homeland Security. n’ho ma\' 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 the border. and other border-specific law’ enforcement intelligence. as well as the feasibility of FY 2023 Operations Orders to designated localities u'ithin border states and territories, F.
1 Federal Award Administration Information
Notice of Award
Before accepting the award, the AOR and recipient should carefully read the award package.
The award package includes instructions on administering the grant award and the terms and conditions associated u'ith responsibilities under federal an’ards. Recipients must accept all conditions in this NOFO and the Preparedness Grants Nlanual as \veII as any specific terms and conditions in the Notice of An’ard to receive an aw'ard under this program.
Recipients must accept their a\yards no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with u’ork under the award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the ND Grants Grant Recipient User Guide, which is available at Non-Disaster Grants Management System FEMA.gov along \\-ith other ND Grants materials.
Funds \\-ill remain on hold until the recipient accepts the award through the ND Grants SYstem and all other conditions of the a\yard have been satisfied or until the award is otherwise rescinded. Failure to accept a grant a\yard within the 60-day timeframe may result in a loss of funds
See the Preparedness Grants Manual for information on Notice of Award
2.Pass-Through Requirements
Au-ards made to the SAA for HSGP carry additional statutorily mandated 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. These entities are defined at 6 U.S.C. $ 101(13) as A county. municipality, city, town. tou'nship. local public authority, school district. special district. intrastate district. council of governments (regardless of whether the council of governments is incorporated as a nonprofit corporation under State la\v). regional or interstate government entity. or agency or instrumentalit}’ of a local go\’ernrnent
An Indian tribe or authorized tribal organization. or in Alaska a Native village or Alaska Regional Native Corporation.
A rural community. unincorporated ton-n or village. or other public entit} •
•
Four criteria must be met to pass-through grant funds:
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50 EXHIBIT F
The SAA must make a Hrm written commitment to passing through grant funds to subrecipients;
The SAA-s commitment must be unconditional (i.e.. no contingencies for the 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 subrecipient, •
•
•
Timing and Amount
The SAA must pass-through at least 80% of the funds au'arded under SHSP and UASI to the above-defined local or tribal units of government within 45 calendar days of receipt 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 SAAs are sent notification of HSGP awards via the GPD's 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 pass-through period will start on the date the SAA accepted the a\yard. Should an SAA not accept the HSGP award u'ithin 15 calendar days of receiving notice of the a\yard in the ND Grants system, the 45 calendar days pass-through period u-ill 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 period of performance start date does not directly affect the start of the 45 calendar days pass-through period. For example. an SAA may receive notice of the HSGP award on August 25, 2023. while the period of performance dates for that award September 1, 2023, through August 31. 2026. In this example. the 45-day pass- through period u'ill begin on the date the SAA accepts the HSGP award or September 9, 2023 (15 calendar days after the SAA \vas notified of the au-ard). whichever date occurs first. The period of performance start date of September 1. 2023 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 UTiting to DHS/FEMA that pass-through requirements have been met. A letter of intent (or equivalent) to distribute funds is not considered sufficient. A letter of intent is not a firm commitment and if issued before FEMA makes the award. then a letter of intent is also not unconditional since it is inherentjy conditioned on receipt of funds.
The pass-through requirement does not apply to SHSP awards made to the District of Columbia. Guam. American Samoa. the U.S. Virgin Islands, or 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% of the funds to local units of government u'ithin 45 calendar days of receipt of the funds, Under SHSP. the SAA may retain more than 20% of funding for expenditures made by the FY 2023 HSGP XOFO Back to the Top
51 EXHIBIT F
state on behalf of the local unit(s) of government. such as expenditures by the state in order to pass through goods or services to local unit(s) of government in lieu of cash. This may occur only u'ith the UTitten consent, such as a Memorandum of Understanding. bet\\’een the SAA and the local unit(s) of government. Separate written consent is necessary for each local unit of government in which more than 20% of funding is retained on their behalf by the state. The u’ritten consent must specify the amount of funds to be retained and the intended use of funds. including u'hether any goods or services u-ill be passed through in lieu of cash. It must also be signed by authorized representatives of both the state and the local unit of government,
States shall review’ their u'rittcn consent agreements vearl\' and ensure that theY are still valid. If a written consent agreement is already in place from previous nsca1 years.
DHS/FEMA u'ill continue to recognize it for FY 2023. unless the UTitten 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 1 IQ Preparedness Officer
Hou'ever. even if a written consent agreement is in place from previous fiscal years. the SAA must still initially carry out the pass-through documentation for its FY 2023 award and comply with the four pass-through criteria described above before the written consent agreement can take effect for purposes of the FY 2023 funding Additional OPS(; Requirements
The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county-level or equivalent Operational Order/Fragmentar} Operations Order budget has been review-ed and approved through an official electronic mail notice issued by DHS/FEMA removing this special programmatic condition
3. Administrative and National Policy Requirements
In addition to the requirements of in this section and in this NOFO. FEMA may place specific terms and conditions on individual au'ards in accordance with 2 C.F.R. Part 200 In addition to the information regarding DHS Standard Terms and Conditions and Ensuring the Protection of Civil Rights. see the Preparedness Grants Manual for additional information on administrative and national policy requirements. including • EHP Compliance;
• FirstNet:
e NIMS Implementation; and
• S AFI!('oM Guidance
a. DHS Standard Terms and Conditions
All successful applicants for DllS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions. which are available online at: DllS Standard Terms and Conditions
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The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.
b.Ensuring the Protection of Civil Rights
As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients and subrecipients 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.
Federal civil rjghts statutes. such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1 964. along with DHS and FEMA regulations, prohibit discrimination on the basis of race. color. national orjgjn. sex. reljgjon. age. disability. limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA
The DI-IS Standard Terms and Conditions include a fuller list of the civil rights provisions that apply to recipients. These terms and conditions can be found in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at External Civil Rights Division I FEMA.gov.
Monitoring and oversight requirements in connection with recipient compliance with federal civil rights law's are also authorized pursuant to 44 C.F.R. Part 7, In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent and systematic fair. just, and impartial treatment of all individuals. including individuals u'ho belong to underserved communities that ha\’e been denied such treatment Environmental Planning and Historic Preservation (EHP) Compliance As a federal agency. FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects. comply with federal EHP laws, Executive Orders. regulations. and policies. as applicable,
All non-critical new construction or substantial improvement of structures in a Special Flood Hazard Area must. at a minimum. apply the flood elevations of the Federal Flood Risk Management Standard's Freeboard Value Approach unless doing so would cause the project to be unable to meet applicable program cost-effectiveness requirements. All other types of projects may choose to apply the flood elevations of the Federal Flood Risk Management Standard-s Freeboard Value Approach. See Executive Order (EO) 14030. Climate-Related Financial Risk and FEMA Policy #-206-2 1-0003, Partial Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance Programs (Interim) (fema.gov).
All GPD actions, including grant-funded actions, must comply with National Flood Insurance Program criteria or any more restrictive federal, state. or local floodplain FY 2023 HSGP NOFO Back to the Top
53 EXHIBIT F
management standards or building code (44 CFR $ 9.11(d)(6)). All GPD-funded non-critical actions in 1% annual chance noodplains (also known as 100-year noodplains) that involve new construction or substantial impro\'ement of structures must be elevated. at a minimum. to the lower of
• Two feet above the 1(Y, annual chance Hood elevation (also known as the base Hood elevation), in accordance with the Federal Flood Risk Management Standard (FFRMS) "Freeboard Value Approach" (PVA); or
• The 0.2% annual chance flood elevation. Where 0.2% annual chance flood elevations are not available, such actions must be elevated to at least two feet above the 19/, annual chance Hood elevation
All GPD-funded critical actions in 0.2% annual chance noodplains (also known as 500-year noodplains) that involve new construction or substantial improvement of structures must be elevated. at a minimum. to the hjgher of
e Three feet above the 1'Y, annual chance Hood elevation; or • The 0.2% annual chance Hood elevation. Where 0.2% annual chance flood elevations are not available. such actions must be elevated to at least three feet abo\'e the 1(% annual chance nood elevation,
See EO 1 1988, Floodplain Management, as amended by EO 13690. Establishing a Federal Flood Risk Management Standard and a Process for Further Soliciting and Considering Stakeholder Input
Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review’ process involves the submission of a detailed project description along u'ith any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties,
In some cases. FEMA is also required to consult with other regulatory agencies and the public in order to complete the revie\\' process. Federal law requires EHP revie\\' to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders. regulations. and policies.
DHS and FEMA FIIP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EllP responsibilities and program requirements. including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders.
The GPD PHP screening form is located at FEN’IA Form. Additionally. all recipients under this funding opportunity are required to comply u'ith the FEN CIA (iPD EHP Policy Guidance.
FEMA Policy # 108-023-1
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d.National Incident Management System (NIMS) implementation In expending funds under this program. recipients that are state. local. tribal. or territorial governments must ensure and maintain adoption and implementation of NIMS. The state. local, tribal, or territorial government must show adoption of NIN:IS during any point of the period of performance. The list of objectives used for progress and achievement reporting is at https://wwb'.fema.gov/emergency -managers/nims/implementation-training, Emergency management and incident response activities require carefully managed resources (personnel. teams. facilities. equipment. and/or supplies) to meet incident needs. Using standardized resource management concepts such as typing, credentialing, and inventorying, promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management, NIVIS resource typing definitions, job titles. and position qualifications is on FEMA's website at NIMS Components - Guidance and Tools FEMA.Roy
FEMA developed the National Incident Management System Guideline for the National Qualification System to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools which Federal Emergency Response Officials and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses,
Although state. local, tribal. and private sector partners (including nongovernmental organizations) are not required to credential their personnel in accordance \vith these guidelines. FEMA strongjY encourages them to do so to leverage the federal investment in the Federal Information Processing Standards 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information about NIN4S in general is available at National Incident Management System I FEMA.gov
ee Emergency Communications Investments
If an entity uses HSGP funding to support emergency communications investments, the followIng requirements shall apply to all such grant-funded communications investments in support of the emergency communications priorities and recognized best practices:
• The signatory authority for the SAA must certify in WTiting to DHS/FEMA their compliance with the SAFECOM Guidance. The certification letter should be coordinated with the SWIC for each state and must be uploaded to ND Grants at the time of the first Program Performance Report submission. • All states and territories must desjgnate a full-time SWIC u'ho has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government, to include establishing statewide plans, policies. and procedures. and coordinating decisions on communications investments funded through federal grants. Note that the desjgnated full-time SWIC may also be the state-s or territory's cybersecurity point of contact. SWIC status FY 2023 HSGP NOFO Back to the Top
55 EXHIBIT F
information \\’ill be maintained by CIS A and will be verified by FEMA GPD through prograrnrnatlc rnonltorlng actlvltles.
By the period of performance end date. all states and territories must update the SCIP. with a focus on communications resilience/continuity, to include assessment and mitigation of all potential risks identified in the SCIP: natural disasters. accidental damage (human failures), intentional damage ( sabotage. terrorism). cybersecurity etc . Following the initial update, the SCIP should be updated on an annual basis SCIP status information will be maintained by CIS A and will be verified by FEMA GPD through programmatic monitoring activities.
•
All states and territories must test their emergency communications capabilities and procedures (as outlined in their operational communications plans) in conjunction with regularly planned exercises (separate/addition emergency communications exercises are not required). Exercises should be used to both demonstrate and validate skills learned in training and to identify gaps in capabilities. Resilience and continuity of communications should be tested during training and exercises to the greatest extent possible. Further. exercises should include participants from multiple jurisdictions, disciplines, and levels of government and include emergency management, emergency medical services, law enforcement, interoperability coordinators, public health officials, hospital officials, offIcials from colleges and universities, and other disciplines and private sector entities. as appropriate. Findings from exercises should be used to update programs to address gaps in emergency communications as nell as emerging technologies. policies. and partners Recipients are encouraged to increase awareness and availability of cmcrgenc) communications exercise opportunities across all levels of government States. territories, and other eligible grant recipients are advised that IISGP funding may be used to support communications planning (including the cost of hiring a SWIC. participation in governance bodies and requirements delineated above). training. exercises. and equipment costs. Costs for transitioning to the FirstNet network may also be eligible.
More information regarding FirstNet can be found in the Preparedness Grants Manual.
J. 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.
See the Preparedness Grants Manual for information on reporting requirements.
5.Monitoring and Oversight
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems to revieu' award progress and to provide any required technical assistance. During site visits or desk re\’ie\\-s, FEMA u-ill re\’ie\\ recipients' files related to the au’ard. As part of any monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-related records and to interview the organization's staff and contractors r©garding the program FY 2023 HSGP NOFO Back to the Top
56 EXHIBIT F
Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award. Failure to respond in this manner may result in funding holds on current and future awards until the requested information is provided See the Preparedness Grants Manual for information on monitoring and oversight G. DHS Awarding Agency Contact Information
1. Contact and Resource Information
Program OffIce Contact
FEMA has assigned state-specific Preparedness Officers for the HSGP. If you do not knou your Preparedness Officer, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by email at askcsid@fema,dhs,gov, Monday through Friday, 9:00 AM – 5:00 PM ET.
b.Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource developed by FEMA for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the federal. state. and local levels. \\'hen necessary. recipients will be directed to a federal point of contact u'ho can ansu'er specific programmatic questions or concerns, CSID can be reached by phone at (800) 368-6498 or by e-mail at askcsidRfema.dhs.gov, Monday through Friday, 9:00 AM – 5:00 PM ET.
c. Grant Programs Directorate (GPD) Award Administration DIvision GPD's Award Administration Division (AAD) provides support regarding financial matters and budgetary technical assistance. Additional guidance and information can be obtained b) contacting the AAD's Help Desk via e-mail at ASK-GMD@,fema.dhs.gov. d.Equal Rights
The FEMA Office of Equal Rights (OER) is responsible for compliance with and enforcement of federal civil rights obligations in connection with programs and services conducted by FEMA and recipients of FEMA financial assistance. All inquiries and communications about federal civil rights compliance for FEMA grants under this NOFO should be sent to [email protected].
ee Environmental Planning and Historic Preservation
GPD-s EHP Team provides guidance and information about the EHP revieu' process to recipients and subrecipients. All inquiries and communications about GPD projects under this NOFO or the EHP review process, including the submittal of EHP review' materials, should be sent to gpdehpinfo@ fema.dhs.gov
2. a+
SYstems Information
Grants.gov
For technical assistance with Grants.gov, call the customer support hotline 24 hours per day. 7 days per week (except federal holidays) at (800) 518-4726 or e-mail at support @grants. gov .
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b. Non-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at ndqrantsiFfema.dhs.gov or (800) 865-4076. Monday through Friday. 9:00 AM – 6:00 PM ET. User resources are available at Non-Disaster Grants VlanaRement System I FEVIA.gov Payment and Reporting System (PARS)
FEMA uses the Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking payments. 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 1 199A. Direct Deposit Form. If you have questions about the online system. please call the Customer Service Center at (866) 927-5646 or email ask- GMD(ai fema.dhs.gov.
H.Additional Information
GPD has developed the Preparedness Grants Manual to guide applicants and recipients of grant funding on how to manage their grants and other resources. Recipients seeking guidance on policies and procedures for managing preparedness grants should reference the Preparedness Grants Manual for further information. Examples of information contained in the Preparedness Grants Manual include
• Actions to Address Noncompliance
• Audits
• Case Studies and Use of Grant-Funded Resources During Real-\\'orld Incident Operations
• C'ommunit\’ Lifblincs
© Conflicts of Interest in the Administration of Federal Awards and Suba\\’ards • Disability Integration
e National Incident Management System
• Payment Information
+ Period of Performance Extensions
• Procurement Integrity
• Record Retention
• W’hole Community Preparedness
• Other Post-Award Requirements
1.Termination Provisions
FEMA may terminate a federal award in u'hole or in part for one of the follow-ing reasons.
FEMA and the recipient must still comply wIth closeout requirements at 2 C.F.R. $! 200.344-200.345 even if an au’ard is terminated in whole or in part. To the extent that subaw'ards are permitted under this NOFO. pass-through entities should refer to 2 C.F.R. $ 200.340 for additional information on termination regarding subau'ards, u. Noncompliance
If a recipient fails to comply with the terms and conditions of a federal a\\’ard, FEMA ma) terminate the award in u’hole or in part. If the noncompliance can be corrected, FEMA may tlrst attempt to direct the recipient to correct the noncompliance. This may take the form of a FY 2023 HS(;P N’OFO Back to the Top
58 EXHIBIT F
Compliance Notification. If the noncompliance cannot be corrected or the recipient is non- responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material failure to comply with the award terms and conditions. See also the section on Actions to Address Noncompliance in this NOFO or in the Preparedness Grants Manual b. With the Consent of the Recipient
FEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated.
Ce NotifIcation by the Recipient
The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award. so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. g§ 200.341-200.342 in deciding to fully terminate the award.
2.Program Evaluation
Recipients and subrecipients are encouraged to incorporate program evaluation activities from the outset of their program design and implementation to meaningfully document and measure their progress towards meeting an agency priority goal(s). Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act). Pub. L. No. 1 15-435 (2019) urges federal awarding agencies and federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, to improve equitable delivery, and to elevate program service and delivery across the program lifecycle. Evaluation means “an assessment using systematic data collection and analysis of one or more programs, policies, and organizations intended to assess their effectiveness and efficiency.” Evidence Act § 101 (codified at 5 U.S.C. § 311). Evaluation costs are allowable costs (either as direct or indirect). unless prohibited by statute or regulation.
In addition, recipients are required to participate in a DHS-led evaluation if selected, which may be carried out by a third-party on behalf of the Program Office or DHS. By accepting grant funds. recipients agree to participate in the evaluation, which may include analysis of individuals who benefit from the grant, and provide access to program operating personnel and participants, as specified by the evaluator(s) during the award.
3.Period of Performance Extensions
Extensions to the period of performance for this program are allowed. Extensions to the POP identified in the award will only be considered through formal, written requests to the recipient-s FEMA Preparedness Officer and must contain specific and compelling justifications as to why an extension is required. Recipients are advised to coordinate with FY 2023 HSGP NOFO Back to the Top
59 EXHIBIT F
the FEMA Preparedness Officer as needed when preparing an extension request. Please see the Preparedness Grants Manual for more information.
4. a+
Financial Assistance Programs for Infrastructure
Build America, Buy America Act
Recipients and subrecipients must comply with the Build America, Buy America Act (BAB AA), which was enacted as part of the Infrastructure Investment and Jobs Act $§ 70901-70927, Pub. L, No. 1 17-58 (2021); and Executive Order 14005, Ensuring the Future is Made in All of America by All of America’s Workers. See also OMB Memorandum M-22- 11, Initial Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure.
None of the funds provided under this program may be used for a project for infrastructure unless the iron and steel, manufactured products, and construction materials used in that infrastructure are produced in the United States,
The Buy America preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as temporary scaffolding. brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a Buy America preference apply to equipment and furnishings, such as movable chairs, desks. and portable computer equipment. that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project
To see whether a particular FEMA federal financial assistance program is considered an infrastructure program and thus required to include a Buy America preference, please see Programs and Definitions: Build America. Buy America Act b FEMA.gov and Build America, Buy America Act Frequently Asked Questions (FAQs) I FEMA.Rov. Additional information is found in Buy America Preference in FEMA Financial Assistance ProRrams for Infrastructure, FEMA Interim Policy #207-22-0001
b. Waivers
When necessary, recipients (and subrccipients through their pass-through entity) may apply for, and FEMA may grant, a waiver from these requirements.
A waiver of the domestic content procurement preference may be granted by the agency awarding official if FEMA determines that:
Applying the domestic content procurement preference would be inconsistent with the public interest.
The types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality
The inclusion of iron, steel. manufactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25t%.
•
•
•
FY 2023 HSGP NOFO Back to the Top
60 EXHIBIT F
For FEMA awards, the process for requesting a waiver from the Buy America preference requirements can be found on FEMA’s website at: "Buy America" Preference in FEMA Financial Assistance Programs for Infrastructure I FEMA.gov.
DefInitions
Construction materials: an article, material, or supply – other than an item primarily of iron or steel; a manufactured product; cement and cementitious materials; aggregates such as stone, sand, or gravel; or aggregate binding agents or additives – that is or consists primarily of non-ferrous metals, plastic and polymer-based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables), glass (including optic glass), lumber, paint, and drywall
Domestic content procurement preference: Means all iron and steel used in the project are produced in the United States; the manufactured products used in the project are produced in the United States; or the construction materials used in the project are produced in the United States
Federal financial assistance: Generally defined in 2 C.F.R. § 200.1 and includes all expenditures by a federal agency to a non-federal entity for an infrastructure project, except that it does not include expenditures for assistance authorities relating to major disasters or emergencies under sections 402. 403. 404. 406. 408. or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act relating to a major disaster or emergency declared under section 401 or 501, respectively, or pre and post disaster or emergency response expenditures
Infrastructure: Infrastructure projects which serve a public function, including at a minimum, the structures. facilities, and equipment for, in the United States, roads, highways, and bridges; public transportation; dams, ports, harbors, and other maritime facilities; intercity passenger and freight railroads; freight and intermodal facilities; airports; water systems, including drinking water and wastewater systems; electrical transmission facilities and systems; utilities; broadband infrastructure; and buildings and real property; and structures, facilities. and equipment that generate, transport, and distribute energy Produced in the United States means the following for
• Iron and steel: All manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. • Manufactured products: The product was manufactured in the United States. and the cost of the components of the manufactured product that are mined, produced. or manufactured in the United States is greater than 55% of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation
Construction Materials: All manufacturing processes for the construction material occurred in the United States.
•
FY 2023 HSGP NOFO Back to the Top
61 EXHIBIT F
Project: is any activity related to the construction, alteration, maintenance. or repair of infrastructure in the United States,
FY 2023 HSGP NOFO Back to the Top
EXHIBIT F
Cat OES
GOVERNOR’S OFFICE
OF EMERGENCY SERVICES
Fiscal Year 2023
Homeland Security Grant Program
California Supplement to the
Federal Notice of Funding Opportunity
October 2023
Table of Cont96VF'[5023
SECTION 1–OVERVIEW....................................................................................1 Federal Program Announcement
Information Bulletins
Grant Management Memoranda
Purpose of the California Supplement
Eligible Subrecipients
Tribal Allocations
Subrecipient Allocations
Supplanting
Public/Private Organizations
Debarred/Suspended Parties
Key Changes to the FY 2023 Homeland Security Grant Program SECTION 2–FEDERAL CHANGES AND INITIATIVES
FY 2023 National Priorities
National Campaigns and Programs
National Cybersecurity Review
NIMS Implementation
Law Enforcement Terrorism Prevention Activities
Management and Administration
Indirect Costs
Organization Costs – Overtime
Personnel Cap
Equipment Typing/Identification and Use
Equipment Maintenance/Sustainment
Emergency Communications Projects
Telecommunications Equipment and Services Prohibitions
Small Unmanned Aircraft Systems
Emergency Operations Plans
Conflict of Interest
Build America Buy America Act (BABAA)
SECTION &–STATE CHANGES AND INITIATIVES ____._____._._______._______._. 14 FY 2023 Investments
California Homeland Security Strategy Goals
State Initiative Funding
“On Behalf Of"
Public Alert and Warning
SECTION 4–REQUIRED STATE APPLICATION COMPONENTS...................................... 16 Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Application Attachments
Standard Assurances
Operational Areas and Urban Areas
EXHIBIT F
Operational Areas Only
Urban Areas Only
Fusion Centers Only
State Agencies and Tribes Only
SECTION 5–THE STATE APPLICATION PROCESS ___.__._____.___._________.______21 Application Submission
Late or Incomplete Application
HSGP Contact Information
Subaward Approval
SECTION 6–POST AWARD REQUIREMENTS _______.____..____._._________.______23 Payment Request Process
Advances and Interest Earned on Advances
Semi-Annual Drawdown Requirements
Modifications
Training
Exercises, Improvement Plans, and After-Action Reporting Procurement Standards and Written Procedures
Procurement Thresholds
Procurement Documentation
Noncompetitive Procurement
Performance Bond
Environmental Planning and Historic Preservation
Construction and Renovation
Inventory Control and Property Management
Equipment Disposition
Performance Reporting
Extension Requests
Progress Reports on Grant Extensions
Monitoring
Failure to Submit Required Reports
Suspension/Termination
Closeout
Records Retention
ArrACHMENTS
A – FY 2023 HSGP Allocations
B – FY 2023 HSGP Timeline
C – FY 2023 HSGP Program Checklist
Section 1 – Overvig#jIT£023
Federal Program
Announcement
In February 2023. the U.S, Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)
issued the Fiscal Year (FY) 2023 Homeland Security Grant Program (HSGP}, Notice of Funding Opportunity (NOFO)
and the FEMA Preparedness Grants Manual.
Subrecipients must follow the programmatic requirements in the NOFO, FEMA Preparedness Grants Manual, and the
applicable provisions of the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards located in Title 2, Code of Federal
Regulations (C.F.R.), Part 200.
Information
Bulletins
DHS issues Information Bulletins (IBs) to provide updates, clarification, and new requirements throughout the life of the grant,
Grant
Management
Memoranda
Cal OES issues Grant Management Memoranda (GMMs)
which provide additional information and requirements
regarding HSGP funds
Purpose of the
California
Supplement
The FY 2023 HSGP California Supplement to the NOFO
(State Supplement) is intended to complement, rather than replace, the NOFO and the FEMA Preparedness Grants
Manual. Applicants are highly encouraged to thoroughly
read the NOFO and the Preparedness Grants Manual
before referring to the State Supplement. The State
Supplement will emphasize differences between the FY
2022 and FY 2023 HSGP and highlight additional California policies and requirements applicable to FY 2023 HSGP
Eligible
Subrecipients
Eligible Applicants, referred to as Subrecipients, include Counties/Operational Areas (OAs), Urban Areas (U As),
State Agencies (SAs), Departments. Commissions. and
Boards who have or can obtain appropriate state
Department of Finance budget authority for awarded
funds, and federally recognized tribes located in California.
Tribal
Allocations
The NOFO strongly encourages Cal OES to provide HSGP
funds directly to tribes in California. To implement this requirement, a special Request for Proposal will be issued to California's federally recognized tribes. All Subrecipients are encouraged to coordinate with tribal governments to
ensure that tribal needs are considered in their grant
applications.
EXHIBIT F
Subrecipient
Allocations
FY 2023 HSGP Subrecipient final allocations are provided in Attachment A and reflect reductions to Subrecipients who did not submit minimum thresholds for National Priority Areas. including Subrecipients opting out of the award
altogether. and increases to Subrecipients that are helping meet statewide minimum level National Priority Area
requirements,
Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated for the same purpose. Subrecipients may be required to
provide supporting documentation that certifies a
reduction in non-federal resources that occurred for
reasons other than the receipt or expected receipt of
federal funds. Supplanting will result in the disallowance of the activity associated with this improper use of federal grant funds.
Public/Private
Organizations
Subrecipients may contract with other pub£ic or private organizations to perform eligible activities on approved HSGP projects
Debarred/
Suspended
Parties
Subrecipients must not make or permit any award
(subaward or contract) at any tier. to any party. that is debarred, suspended. or otherwise excluded from, or
ineligible for, participation in federal assistance programs Subrecipients must obtain documentation of eligibility
before making any subaward or contract using HSGP funds and must be prepared to present supporting
documentation to monitors/auditors
Before entering into a Grant Subaward. the Subrecipient must notify CaF OES if it knows if any of the principals under the subaward fall under one or more of the four criteria listed at 2 C.F.R. q 180.335, The rule also applies to
Subrecipients who pass through funding to other local
entities
EXHIBIT F
Debarred/
Suspended
Parties
Cont.
If at any time after accepting a subaward, Subrecipients learn that any of its principals fall under one or more of the criteria listed at 2 C.F.R. q 180.335. immediate written notice must be provided to Cal OES and all grant activities halted until further instructions are received from Cal OES. The rule also applies to subawards passed through by Subrecipients to local entities
Key Changes to
the FY 2023
HSGP
National Priority Areas: There are six National Priority Areas (NPAs) for FY 2023. SHSP and U ASI applicants must include one Investment Justification [IJ) for each NPA that has a minimum spend requirement. where applicable. For the
NPAs with no minimum spend requirement, the Department
of Homeland Security strongly encourages recipients to
make investments in those areas as they are of critical national concern, For those NPAs that have an associated minimum spend, all projects related to meeting the
minimum spend for those NPAs must be included in the
same IJ.
The six NPAs, along with the relevant minimum spend
requirement, are:
•
•
•
•
Enhancing information and intelligence sharing and
cooperation with federal agencies, including the
Department of Homeland Security – 3% minimum;
Enhancing the protection of soft targets/crowded
places – 3% minimum;
Enhancing cybersecurity – no minimum requirement;
Enhancing community preparedness and resilience –
3% minimum;
Combating domestic violent extremism – 3% minimum
Enhancing election security – NEW: 3% rninirnurn
EXHIBIT F
Key Changes to
the FY 2023
HSGP
Cont.
Law Enforcement Terrorism Prevention Activities: Increased from 30% to 35% of the subaward.
Build America, Buy America Act (BABAA):
FY 2023 HSGP is subject to BABAA requirements. The BABAA requires all federal agencies, including FEMA. to ensure that no federal financial assistance for ''infrastructure'’ projects is provided unless all of the iron. steel, manufactured
products, and construction materials used in the project are produced in the United States. The BABAA requirements only apply to awards or funds obligated on or after
January 2, 2023, and do not apply to awards or funds
obligated during the waiver period from July 1 , 2022,
through January 1 . 2023.
Section 2 – Federal Changes and Initiatives 1 2023
EXHIBIT F
FY 2023 National
Priorities
DHS/FEMA annually publishes the National Preparedness
Report [NPR) to report national progress in building.
sustaining, and delivering the core capabilities outlined in the goal of a secure and resilient nation. 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 concern
HSGP Subrecipients are required to prioritize grant funding to demonstrate how investments support closing capability gaps or sustaining capabilities identified in the Threat Hazard Identification and Risk Assessment
(THIRA)/Stakeholder Preparedness Review (SPR) process
DHS/FEMA continually assesses changes to the threat
landscape to further the National Preparedness Goal
(NPG) of a secure and resilient nation. The following are national priority areas for FY 2023, including the
corresponding percentage of funds required in each area:
•
•
•
•
•
Enhancing information and intelligence sharing and
cooperation with federal agencies, including DHS – 3%;
Enhancing the protection of soft targets/crowded
places - 3%;
Enhancing cybersecurity – no rninirnurn;
Enhancing community preparedness and resilience –
3%
Combating domestic violent extremism through
enhanced intelligence collection & analysis, training,
and community resilience – 3%; and
Enhancing election security – 3% rninirnurn.
The NPA specifically addressing emerging threats has been removed, but activities in this category remain allowable expenses under other investment areas. Further, applicants must spend a minimum of 30% of their SHSP and U ASI
awards across the six NPAs but have new flexibility on how that funding is allocated. Although 1 5% is required in minimum spending across five NPAs, as noted above. the
remaining 1 5% can be allocated across any of the six
NPAs. Enhancing Cybersecurity NP does not require a
minimum allocation
EXHIBIT F
FY 2023 National
Priorities
Cont
National Priority projects will be reviewed for effectiveness by DHS/FEMA and must be deemed effective prior to the
obligation or expenditure of funds
Projects requiring additional information for DHS/FEMA to determine effectiveness of the project, or projects
deemed ineffective. will have a hold placed on their
subaward pending submission of requested information
and DHS/FEMA approval. Once a project is approved by
DHS/FEMA, modifications to the project have special
restrictions regarding modifications as indicated below:
Modifications which do not change the project scope and do not decrease the overall project budget can be
processed via regular modification request.
Modifications which change the project scope or
decrease the overall project budget will require DHS/FEMA approval and must be requested on the National Priority Project Modification Form.
Effectiveness will be evaluated by DHS/FEMA
Cybersecurity and Infrastructure Security Agency.
DHS Office of Entelligence and Analysis, DHS Center for Prevention Programs and Partnerships. and/or other
DHS components, as appropriate. FEMA will determine
whether the proposed approach is clear, logical, and
reasonable to address the priority areas of interest and contribute to a culture of national preparedness, based on the following four factors:
•Investment Strategy (40%): Projects will be evaluated
based on the quality and extent to which the strategy
effectively demonstrates supporting the program
objective of preventing, preparing for. protecting
against, and responding to acts of terrorism. to meet its target capabilities, and otherwise reduce the overall risk to the high-risk urban area, the state, or the nation.
• Budget (20%): Projects will be evaluated based on the extent to which a budget plan for each investment
demonstrates how grant expenditures maximize cost
effectiveness
EXHIBIT F
FY 2023 National
Priorities Cont.
•Impact/Outcomes (40%): Projects will be evaluated on
how this investment helps the jurisdiction close
capability gaps identified in its Stakeholder
Preparedness Review and addresses NPs outlined in the
FY 2023 NOFO. Further, projects will be evaEuated on
their identification and estimated improvement of core
capability(ies). the associated standardized target(s)
that align with their proposed investment, and the ways in which improvements are measured and/or
evaluated
•Past Performance (additional consideration): Projects
will be evaluated based on the Subrecipient's
demonstrated capability to execute the proposed
investments. Under this factor, FEMA will consider the
information provided by the Subrecipient and may also
consider relevant information from other sources
A detailed description of allowable investments for each NP is included in the FY 2023 HSGP NOFO [Section A).
National
Campaigns and
Programs
Whole Community Preparedness – Subrecipients should
engage with the whole community to advance individua
and community preparedness and to work as a nation to
build and sustain resilience. In doing so, Subrecipients are encouraged to consider the needs of individuals with
access and functional needs and limited English
proficiency in the activities and projects funded by the grant
Subrecipients should utilize established best practices for whole community inclusion and engage with stakeholders
to advance individual and jurisdictional preparedness and resilience. Subrecipients are encouraged to consider the necessities of all Californians in the activities and projects funded by the grant, 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.
EXHIBIT F
National
Campaigns and
Programs Cont.
Active Shooter Preparedness – DHS developed a
comprehensive Active Shooter Preparedness website,
which strives 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.
Subrecipients are encouraged to review the referenced
active shooter resources and evaluate their preparedness needs
Soft Targets and Crowded Places – States. territories, U As. and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs and challenges related to protecting
locations or environments that are easily accessible to large numbers of people on a predictable or semi-
predictable basis that have limited security or protective measures in place. including town centers, shopping malls, open-air venues. outside hard targets/venue perimeters, and other places of meeting and gathering. For more
information. please see DHS's Hometown Security Program.
Community Lifelines – FEMA created Community Lifelines
to refrarne incident information and impacts using plain language and unity of effort to enable the integration of preparedness efforts. existing plans. and identifies unmet needs to better anticipate response requirements.
Additional information may be found at the Community
Lifelines Implementation Toolkit website.
Strategic Framework for Countering Terrorism and Targeted Violence – DHS adopted the DHS Strategic Framework for
Countering Terrorism and Targeted Violence which
explains how the department will use the tools and
expertise that have protected and strengthened the
country from foreign terrorist organizations to address the evolving challenges of today.
EXHIBIT F
National
Campaigns and
Programs Cont.
Countering Violent Extremism (CVE) Training - Foreign
terrorist groups and individual terrorist thought leaders recruit or inspire Westerners to carry out attacks against western and U.S. targets, including individuals living in communities with the U.S. via. but not limited to, print. video, and social media, as well as through personal
interaction. But we also know that violent extremism is not a phenomenon restricted solely to one community and
that any effort to counter violent extremism must be
applicable to all ideologically motivated violence. Efforts to provide information and training regarding CVE should emphasize the strength of local communities’ approach
National
Cybersecurity
Review
The National Cybersecurity Review INCSR) is a required
assessment for all Subrecipients of State Homeland Security Program [SHSP) and Urban Areas Security Initiative IU ASI) funding to be completed between October and
February 2024.
The NCSR is a no-cost, anonymous, and annual self-
assessment designed to measure gaps and capabilities of state, local, tribal, territorial, nonprofit. and private sector agencies' cybersecurity programs.
Additionally, FEMA recognizes that some subawards will
not be issued until after the NCSR has closed. In these cases. Subrecipients will be required to complete the first available NCSR offered after the subaward has been
issued by Cal OES.
The Chief Information Officer (CIO), Chief Information
Security Officer (CISO), or equivatent should complete the NCSR. If there is no CIO or CISO, the most senior
cybersecurity professional should complete the
assessment. Additional information may be found in IB 439 and 429a
NIMS
Implementation
Prior to the allocation of any federal preparedness awards, Subrecipients must ensure and maintain the adoption and implementation of the National Incident Manaqement
System (NIMS).
EXHIBIT F
Law Enforcement
Terrorism
Prevention
Activities
At least 35% of the grant funding under SHSP and UASI must be dedicated to Law Enforcement Terrorism Prevention
Activities (LETPA]. This required LETPA allocation can be from SHSP. UASI. or both and may be met by funding
projects in any combination of the six NPAs and any other investments.
Allowable expenditures can be found in the authorizing
legislation, Preparedness Grants Manual. Information
Bulletin (IB) No. 473 Supplemental Guidance for LETPA
Expenditures, the National Prevention Framework. and
National Protection Framework
For an activity to be counted towards the LETPA
requirement, it must have a law enforcement terrorism
prevention nexus. If an activity is listed in the authorizing legislation or can be directly tied to a capability in the National Prevention Framework or shared capability in the National Protection Framework. then it is presumed to have law enforcement nexus and be a LETPA. For all other
claimed activities. nexus to law enforcement and terrorism prevention must be clearly explained.
Refer to IB 485 - FY23 LETPA Supplemental Guidance to the NOFO for further direction on how to account for LETPA
activities, best practices for submitting LETPA investments, and information on how to distinguish LETPA from other
activities
Management
and
Administration
The Management and Administration [M&A) allowance for
Subrecipients is set at a maximum of 5% for FY 2023 HSGP Indirect Costs Indirect costs are allowable under the FY 2023 HSGP Grant Award
Subrecipients with an indirect cost rate approved by their cognizant federal agency may claim indirect costs based on the established rate. Indirect costs claimed must be calculated using the base approved in the indirect cost negotiation agreement. A copy of the approved
negotiation agreement is required at the time of
application
EXHIBIT F
Indirect Costs
Cont.
Indirect costs are in addition to the M&A allowance and must be included in the Grant Award application as a
“Project" and reflected in the FMFW on the Indirect Cost Tab if being claimed under the award
Indirect costs must be claimed no more than once
annually. and only at the end of the Subrecipient’s fiscal year. An exception to this rule applies if there is a mid-year change to the approved indirect cost rate; in this case, costs incurred to date must be claimed, At that time, a Grant Subaward Modification reflecting the rate change
must also be submitted to Cal OES. along with a copy of the new Indirect Cost Rate Agreement
Organization
Costs - Overtime
Operational overtime costs are allowable for increased
security measures at critical infrastructure sites if associated with detecting. deterring. disrupting, and preventing acts of terrorism and other catastrophic events.
Pursuant to page A-4 of the Preparedness Grants Manual. all operational overtime requests must clearly explain how the request meets the criteria of one or more of the
categories listed in Table 2.' Authorized Operational
Overtime Categories
Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explains how the overtime activity is
responsive to the threat
Post-event operational overtime requests will only be
considered on a case-by-case basis, where it is
demonstrated exigent circumstances prevented
submission of a request in advance of the event or activity.
Requests for overtime costs must be submitted to Cal OES via Allowability Request Log [ ARL) Form at the time of application, if the activity will occur within one year of the final application submission. All subsequent requests must be submitted at least 60 days in advance of the activity.
All operational overtime costs must be formally pre-
approved in writing by DHS/FEMA.
EXHIBIT F
Personnel Cap Pursuant to 6 U.S.C. q 609[b). SHSP and UASI funds may be used for personnel costs, totaling up to 50 percent of each fund source. A Suk)recipient may request this requirement be waived by DHS/FEMA, via Cal OES. Requests for
personnel cap waivers must be submitted separately for
each fund source in writing to the Program Representative 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 (waivers must be calculated separately
for SHSP and UASI. outlining salary, fringe benefits, and any M&A costs).
Subrecipient requests to exceed the personnel cap must
be received by Cal OES at the time of application
Subaward modifications impacting the personnel cap will be reviewed on a case-by-case basis and may require the submittal of the above-mentioned information.
Please see IB 421 b for more information on the waiver
process
Equipment
Typing/
Identification
and Use
Allowable HSGP equipment is listed on the FEMA
Authorized Equipment List [AEL) website.
Subrecipients that allocate HSGP funds towards equipment are required to type and identify the capability associated with that equipment. The FEMA Resource Typing Library
Tool (RTLT) can be used to help determine the type and
capability,
Per FEMA policy. the purchase of weapons and weapon
accessories are not allowed with HSGP funds. Special rules apply to pharmaceutical purchases, medical
countermeasures. and critical emergency supplies; refer to page A-10 of the FEMA Preparedness Grants Manual for
additional information
EXHIBIT F
Equipment Typing/
Identification and
Use Cont.
Expenditures for general purpose equipment are allowable if they align to and support one or more core capabilities identified in the NPG. and in addition, are
deployable/sharable through the Emergency
Management Assistance Compact and allowable under
6 U.S.C. S 609. Refer to the NOFO and Preparedness Grants Manual for examples of allowable general-purpose
equipment.
Equipment
Maintenance/
Sustainment
Use of HSGP funds for maintenance contracts, warranties repair or replacement costs, upgrades. and user fees are allowable as described in FEMA IBs 336 and 379. as well as Grant Programs Directorate (GPD) Policy FP-205-402-1 25-1 .
Emergency
Communications
Projects
All Subrecipient emergency communications projects must comply with the SAFECOM Guidance on Emergency
Communications Grants and describe in their FMFW how
such activities align with the goals of the Statewide
Communications Interoperability Plan.
Telecom
Equipment and
Services
Prohibitions
Effective August 1 3, 2020. section 889(f) (2)-(3) of the John S. McCain National Defense Authorization Act for FY 2019 WM and 2 C.F.R. q 200.21 6, 200.471 , and Appendix IE to 2 C.F.R. Part 200 prohibit DHS/FEMA Recipients and
Subreciptents (including their contractors and
subcontractors) from using any FEMA funds under open or new awards for the following telecommunications
equipment or services:
1)
2)
Telecommunications equipment produced by Huawei
Technologies Company or ZTE Corporation. (or any
subsidiary or affiliate of such entities);
For the purpose of public safety. security of government facilities, physical security surveillance of critical
infrastructure, and other national security purposes,
video surveillance and telecommunications equipment
produced by Hytera Communications Corporation.
Hangzhou Hikvision Digital Technology Company. or
Dahua Technology Company (or any subsidiary or
affiliate of such entities)
Telecommunications or video surveillance services
provided by such entities or using such equipment; or
3)
EXHIBIT F
Telecom Equipment
and Services
Prohibitions Cont.
4)Telecommunications or video surveillance equipment or services produced or provided by an entity that the
Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an
entity owned or controlled by. or otherwise connected
to, the People’s Republic of China.
Additional guidance is available in FEMA Policy #405-1 43- 1 , Prohibitions on Expendinq FEMA Award Funds for
Covered Telecommunications Equipment or Services
Prohibited and
Controlled
Equipment
Effective May 25, 2022, Executive Order IEO) 1 4074,
Advancing Effective, Accountable Policinq and Criminal
Justice Practices to Enhance Public Trust and Public Safety Section 12(a) of EO 1 4074 directs the Department of
Homeland Security (DHS) to review its grant programs and, consistent with applicable £aw, prohibits the use of grant funding to purchase certain types of military equipment by state. local, tribal. and territorial law enforcement
agencies (LEAs).
For all awards issued on or after January 1, 2023, The policy directly prohibits certain types of equipment outright
(prohibited equipment) , whereas other types of equipment may be controlled, or LEAs are required to submit
certifications prior to purchase
Even if equipment is listed as control£ed equipment and is not outright prohibited, that does not automatically make it allowable under a particular FEMA program. Recipients and Subrecipients should refer to applicable program
guidance or contact your Program Representative to
determine if a particular type of equipment is allowable under that program.
Additional information regarding Prohibited and Controlled Equipment is available on FEMA Policy 207-22-0002
EXHIBIT F
Small Unmanned
Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems (SUAS) with FEMA grant funding must comply with FEMA
Policy 207-22-0002 and include copies of the 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 SU AS equipment. The Authorized Equipment Listing for 030E-07-SU AS details
questions that must be included in the Aviation Request justification. Reference the Presidential Memorandum:
Promoting Economic Competitiveness While Safeguarding
Privacy, Civil Rights, and Civil Liberties in Domestic Use of Unmanned Aircraft Systems for additional information.
FEMA approval is required before a SU AS can be
purchased with HSGP grants funds.
Emergency
Operations Plans
Subrecipients should update their Emergency Operations
Plan (EOP) at least once every two years to remain
compliant with the Comprehensive Preparedness Guide
101 version 2.0
Conflict of
Interest
To eliminate and reduce the impact of conflicts of interest in the subaward process. Subrecipients and pass-through entities must follow their own policies and procedures
regarding the elimination or reduction of conflicts of
interest when making subawards. Subrecipients and pass- through entities are also required to follow any applicable federal. state, local, and tribal statutes or regulations governing conflicts of interest in the making of subawards Subrecipients must disclose to their Program
Representative, in writing, any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations, which may arise during the
administration of the HSGP subaward within five days of learning of the conflict of interest.
EXHIBIT F
Build America,
Buy America Act
(BABAA)
Under FEMA financial assistance programs, the BABAA
requirements apply to:
•
•
New awards made on or after January 2, 2023,
New funding that FEMA obligates to existing awards or
through renewal awards on or after January 2, 2023;
and
infrastructure projects
Funds provided under this program may not be used for a project for infrastructure unless the iron and steel.
manufactured products. and construction materials used
in that infrastructure are produced in the United States.
The Buy America preference only applies to articles,
materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as
temporary scaffolding. brought to the construction site and removed at or before the completion of the
infrastructure project. Additionally, the Buy America
preference does not apply to equipment and furnishings, such as movable chairs, desks, and portable computer
equipment. that are used at or within the finished
infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure
project
When necessary, Subrecipients may apply for a waiver
from these requirements. Additional information regarding the BABAA can be found on FEMA's website under
Buy America Preference Buy America Preference
EXHIBIT F
FY 2023
Investments
The State prioritized the following investment strategies for the FY 2023 subawards:
Enhance Information and Intelligence Sharing and
Cooperation with Federal Agencies, including DHS
(National Priority);
1 2. Enhance the Protection of Soft Targets/Crowded Places (National Priority);
3. Enhance Cybersecurity (National Priority);
4. Enhancing Community Preparedness and Resilience
(National Priority)
5. Combating Domestic Violent Extremism (National
Priority)
6. Strengthen Emergency Communications Capabilities
Through Planning, Governance, Technology, and
Equipment;
7. Enhance Medical and Public Health Preparedness;
8, Strengthen Information Sharing and Collaboration (non- Fusion Center) ;
9. Enhance Multi-Jurisdictional/Inter-Jurisdictional All- Hazards/Whole Community Incident Planning, Response
& Recovery Capabilities;
10. Protect Critical Infrastructure and Key Resources
(includes Food and Agriculture); and
11, Enhance Election Security (National Priority).
Section 3 – State Changes and Initiatives 1 2023
EXHIBIT F
California
Homeland
Security Strategy
Goals
The State prioritized the following California Homeland Security Strategy Goals for the FY 2023 subawards:
1. Enhance Information Collection. AnaFysis. and Sharing, in Support of Public Safety Operations Across California;
2. Protect Critical Infrastructure and Key Resources from Al Threats and Hazards;
3. Strengthen Security and Preparedness Across
Cyberspace:
4. Strengthen Communications Capabilities through
Planning. Governance. Technology. and Equipment;
5. Enhance Community Preparedness;
6. Enhance Multi-Jurisdictional/Inter-Jurisdictional All- Hazards Incident Catastrophic Planning, Response, and
Recovery Capabilities;
7. Improve Medical and Health Capabilities;
8. Enhance Incident Recovery Capabilities;
9. Strengthen Food and Agriculture Preparedness; and
1 0.Enhance Homeland Security Exercise, Evaluation. and Training Programs.
State Initiative
Funding
For FY 2023. Cal OES shall retain 20% of the SHSP and 18.5% of the U ASI funding for state initiatives.
“On Behalf Of"Cal OES may, in conjunction with local approval authorities, designate funds “on behalf of" local entities who choose to decline or fail to utilize their subaward in a timely manner.
Public Alert and
Warning
Cal OES encourages Subrecipients to consider the use of this funding to assist their jurisdiction’s alignment with the State of California Atert and Warning Guidelines,
developed pursuant to Senate Bill 833 of the 2038
Legislative Session
Section 4 – Required State Application Components
EXHIBIT F
2023
Financial
Management
Forms
Workbook
The Fy 2023 Cal OES FMFW includes:
Grant Subaward Face Sheet – Use the Grant Subaward Face Sheet to apply for grant programs. The Grant Subaward Face Sheet must be signed and submitted in portrait format. An active UEl# (Formerly DUNS#) is required, UEI registration information is available sarn.qov.
Authorized Body of 5 – Provide the contact information of Authorized Agents ( AA), delegated via the Governing Body Resolution (GBR) or Signature Authorization Form, including staff related to grant activities. More than one person is
recommended for designation as the AA; in the absence of an AA, an alternate AA can sign requests.
Project Ledger – The project ledger is used in the application process to submit funding information and is used for submitting cash requests, Grant Subaward Modifications. and assists with the compEetion of the Biannual Strategy Implementation Report (BSIR) Planning Tab – Provides detailed information on grant-funded planning activities with a final product identified.
Organization Tab – Provides detailed information on grant-funded organizational activities
Equipment Tab – Detailed information must be provided under the equipment description for all grant-funded equipment. AEL numbers must be included for all items of equipment. Always refer to the AEL for a list of allowable equipment and conditions, if any Training Tab – Provides detailed information on grant-funded training activities. All training activities must receive Cal OES approval prior to starting the event. including a Training Feedback number. The Traininq Request Form must be submitted and approved to obtain a Training Feedback number and should be submitted at least 30 days in advance.
Exercise TAB – Provides detailed information on grant-funded exercises
M&A Tab – Provides information on grant-funded M&A activities Indirect Costs Tab – Provides information on indirect costs
EXHIBIT F
Financial
Management
Forms
Workbook
Cont.
Consultant-Contractor Tab – Provides detailed information on grant-funded consultants and contractors.
Authorized Agent Page – The AA Page must be submitted with the application, all cash requests, and Grant Subaward
Modifications. The AA Page must include a valid signature on file with Cal OES and the date
Subrecipient
Grants
Management
Assessment
Per 2 C.F.R. q 200.332, Cal OES is required to evaluate the risk of non-compliance with federal statutes, regulations, and grant terms and conditions posed by each Subrecipient of pass- through funding. The Subrecipient Grants Management
Assessment Form contains questions related to an organization’s experience in the management of federal grant awards. It is used to determine and provide an appropriate level of technical assistance, training, and grant oversight to Subrecipients during the subaward. The questionnaire must be completed and
returned with the grant application.
Application
Attachments
Federal Funding Accountability and Transparency Act (FFATA) Financial Disclosure – Use the FFATA Financial Disclosure Form to provide the information required by the Federal Funding Accountability and Transparency Act of 2006
Certification Regarding Lobbying – Use the Certification Reqardinq Lobbying Form to certify lobbying activities, as stipulated by the Byrd Anti-Lobbying Amendment,
31 u.s.c. S 1352
Intelligence Analysts Certificates – Pursuant to the Preparedness Grants Manual. Cal OES must have certificates for completion of training for fusion center analytical personnel. Please provide copies of certificates for each intelligence analyst, if applicable.
UASI Footprint (UASls Only) – The Urban Area Working Group (UAWG) establishes the 'footprint' of the UA. A map or list defining the footprint must be included with the application.
UAWG Member Roster (UASls Only) – A list of all current UAWG members with positions or titles.
Indirect Cost Rate Agreement – if claiming indirect costs at a federally-approved rate. please provide a copy of the approved indirect cost rate agreement.
EXHIBIT F
Standard
Assurances
The Standard Assurances list the requirements to which the Subrecipients will be held accountable. All Applicants will be required to submit a signed, original of the FY 2023 Standard Assurances as part of their FY 2023 HSGP application. The required Standard Assurances can be found only in PDF format on the Cal OES website
NOTE: Self-created Standard Assurances will not be accepted.
Operational
Areas and
Urban Areas
Governing Body Resolution – The GBR appoints AAs (identified by the individual's name or by a position title) to act on behalf of the governing body and the Applicant by executing any actions necessary for each application and subaward. All Applicants are required to submit a copy of an approved GBR with their grant appEication. Resolutions may be valid for up to three grant years given the following
•
•
The resolution identifies the applicable grant program {e.g..
EMPG and/or HSGP);
The resolution identifies the applicable grant years, (e.g., FY 2023, FY 2024, FY 2025; and
Adheres to any necessary elements required by local
protocols, rules, etc.. if applicabEe
Resolutions that only identify a single grant program will only be valid for that single program. Resolutions that do not identify applicable grant years will only be valid for the grant year in which the resolution was submitted
Authorized Agent Information – For each person or position appointed by the governing body, identify the individual in the Authorized Body of 5 ledger of the FMFW
All changes in AA and contact information must be provided to Cal OES in writing. If the GBR identifies the AA by name, a new Resolution is needed when changes are made. If the GBR
identifies the AA by position and/or title, changes may be made by submitting a request on the entity's letterhead, signed by an existing AA. Cal OES will not accept signatures of an AA’s designee, unless authorized by the GBR, A change to an AA's designee must be submitted on agency letterhead and signed by the AA, announcing the change to their designee
EXHIBIT F
Operational
Areas Only
Approval Authority Body – OAs must appoint an Anti-Terrorism Approval Body {Approval Authority) to have final approval of the OA’s application for HSGP funds. Each member of the Approval Authority must provide written agreement with the OA's
application for HSGP funds. The Approval Authority shall consist of the following representatives, and additional voting members may be added by a simple majority vote of the following standing members:
•
•
•
•
•
County Public Health Officer or designee responsible for Emergency Medical Services
County Fire Chief or Chief of Fire Authority
Municipal Fire Chief (selected by the OA Fire Chiefs)
County Sheriff
Chief of Police [selected by the OA Police Chiefs)
Urban Areas
Only
Urban Area Working Groups – Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service. EMS. hospitals, public health, and emergency management) that comprise the defined UA. It also must be inclusive of local Citizen Corps Council and tribal representatives The UAWG should also ensure the integration of local emergency management. public health, and health care systems into a coordinated sustained local capability to respond effectively to a mass casualty incident. Additional group composition criteria are found in the FEMA Preparedness Grants Manual.
Threat Hazard Identification and Risk Assessment – Subrecipients are required to submit a THIRA for all 32 core capabilities.
Beginning in 201 9, U As are required to submit a THIRA every three years. An annual capability assessment will still be required, Stakeholder Preparedness Review – The SPR is an annual grant requirement for all states, territories, and UAs. It is an annual capability assessment. which helps jurisdictions identify capability gaps and prioritize investment requirements to reach the targets set in their THIRA
All fusion center investments must align to, and reference, specific performance areas of the assessment that the funding is intended to support
EXHIBIT F
Fusion
Centers Only
Fusion Centers are also required to follow all Reporting and Administrative Metrics for California Fusion Centers. as set forth in the Governor's Homeland Security Advisor/Cal OES Director's letter dated March 1 6, 2016. These operational and administrative metrics set forth an integrated and coordinated approach for regular and proactive information and intelligence sharing between all fusion centers in the California State Threat Assessment System {STAS)
State
Agencies and
Tribes Only
State Agencies, and federally recognized tribes may submit the Signature Authorization Form in lieu of a GBR, signed by the most senior ranking official. such as the Secretary. Director, President, Chancellor, or Chairperson
Section 5 – State Application Process 1 2023
EXHIBIT F
Application
Submission
Subrecipients must submit an electronic copy of their completed FMFW to their Program Representative for review. After the application is approved. a completed copy of the FMFW, along with all other application components must be submitted, with official signatures, by the application due date. During the application process, if it is determined not all allocated funds can be expended by the end of the period of performance. please inform a Program Representative as soon as possible. The completed application should be received by Cal OES no later than the date provided in the FY 2023 HSGP Timeline, referenced as Attachment B
Late or
Incomplete
Application
Late or incomplete applications may be denied. If an application is incomplete, the Program Representative may request
additional information. Requests for late submission of applications must be made in writing to the Program
Representative prior to the application due date. Cal OES has sole discretion to accept or reject a late or incomplete grant application
HSGP Contact
Information
All Subrecipient application materials. questions. comments, and correspondence should be directed to:
California Governor's Office of Emergency Services
ATTN: Grants Management {Building F)
Homeland Security Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Darlene Arambula
Christopher Camacho
Laura Halverstadt
Antoinette Johnson
Jim Lane
Tyrone Freeman
Abigayle Tirapelle
(91 6) 845-8427
(91 6) 845-8789
r91 6) 845-8899
(91 6) 845-8260
(91 6) 845-8428
(91 6) 328-7750
r9 1 6) 845-8400
The Program Representative Regional Assignments Map is
available at the Cat OES website under “Regional Assignments“
EXHIBIT F
Subaward
Approval
Subrecipients will receive a formal notification of award no later than 45 days after Cal OES accepts the federal grant award. The award letter must be signed, dated, and returned to Cal OES within 20 calendar days. Once the completed application, along with the signed award letter. is received and approved, reimbursement of eligible subaward expenditures may be
requested using the Cal OES FMFW
Section 6 – Post Award Requirements 1 2023
EXHIBIT F
Payment Request
Process
To request an advance or cash reimbursement of HSGP
funds, Subrecipients must first complete a payment request using the Cal OES HSGP FMFW. returning it to the appropriate Program Representative. Subrecipients who fail to follow the workbook instructions may experience delays in processing the payment request
Payments can only be made if the Subrecipient has an
approved application.
Advances and
Interest Earned on
Advances
An Advance payment is a payment that is requested before Subrecipients have disbursed the funds for program purposes Subrecipients may be paid an advance, provided they
maintain a willingness and ability to maintain procedures to minimize the time elapsing between the receipt of funds and their disbursement. The timing and amount of advance
payments must be as close as administratively feasible to the actual disbursements by the Subrecipient for project costs.
Federal rules require advances to be deposited in interest- bearing accounts. Interest earned amounts up to $500 per year may be retained by SuE)recipients for administrative expenses; any additional interest earned on federal advance payments must be returned annually to Cal OES.
Semi-Annual
Drawdown
Requirements
All Subrecipients must report expenditures and request funds at least semi-annually throughout the period of performance Semi-annual drawdowns should occur by March and
October of each calendar year following final approval of the subaward application, except for the final cash request. which must be submitted within 20 calendar days after the end of the period of performance
Modifications Post-award budget and scope modifications must be requested using the Cal OES HSGP FMFW v1 .23, signed by the Subrecipient’s AA, and submitted to the Program
Representative
The Subrecipient may implement grant modification
activities, and incur associated expenses. only after receiving written final approval of the modification from Cal OES.
EXHIBIT F
Modifications
Cont.
Subrecipients must provide a written justification with all modification requests. The justification may be included in the body of the e-mail transmitting the request, or in a document attached to the transmittal e-mail. Please reference GMM 201 8-1 7 for additional information regarding modification requests
Modifications to NP Projects have additional restrictions as indicated below:
Modifications which do not change the project scope and do not decrease the overall project budget can be
processed via regular modification request.
Modifications which change the project scope or decrease the overall project budget will require DHS/FEMA approval and must be requested on the National Priority Project
Modification Form.
Training
Requirements
All grant-funded training activities must receive Cal OES approval prior to starting the training event. Cal OES shall allow Subrecipients to develop a ''placeholder" for future training conferences when an agenda has not been
established at the time Subrecipient applications are due Please work with a Program Representative and the Training Branch to identify a possible “placeholder" for these types of training activities
When seeking approval of non-DHS/FEMA developed
courses, course materials must be submitted with the
approval requests. Conditional approvals are not offered.
Subrecipients must complete a Training Request Form and submit it electronically to the Cal OES Training Branch to be approved with a Training Feedback Number before
beginning any training activities. This includes project components like travel to, materials for. or attendance in training courses. Training Feedback Numbers should be
obtained no later than 30 days before the first day of the training or related activities. Requests that are submitted with less than 30 days prior to the start of the training or activity are not guaranteed to be approved in time and run the risk of training being unallowable. Training Feedback numbers must
EXHIBIT F
Training
Requirements
Cont.
be included on the FMFW Training Ledger to be considered for reimbursement.
For more information on this or other training-related inquiries, contact the Cal OES Training Branch at {91 6) 845-8745 or [email protected].
Exercises,
Improvement
Plans. and After-
Action Reporting
SubrecipFents should engage stakeholders to identify long- term training and exercise priorities. These priorities should address capability targets and gaps identified through the THIRA and SPR process. real-world events. previous exercises, and national areas for improvement identified in the NPR.
SuE)recipients must report on all exercises conducted with HSGP grant funds. An After-Action Report
[AAR)/Improvement Plan IIP) or Summary Repor+ (for
Seminars and Workshops) must be completed and submitted to Cal OES within 90 days after exercise/seminars/workshops are conducted. It is acceptable to submit an Exercise
Summary Report for Seminars and Workshops in lieu of a full AAR/IP
Please e-mail AAR/IPs and Summary Reports to
• [email protected]
• [email protected]
• [email protected]
For exercise-related issues and/or questions, please email the Cal OES Exercise Team at [email protected],gov
Exercise costs will not be considered for reimbursement unti an AAR/IP is received by Cal OES.
Procurement
Standards and
Written
Procedures
Suk)recipients must conduct procurement using documented local government procurement procedures, or the federal procurement standards found in 2 C.F.R. Part 200, whichever are more strict. Subrecipients must also have written conflict of interest policies governing the actions of its employees engaged in the selection, av'yard and administration of contracts, including disciplinary actions for violations of such standards
EXHIBIT F
Procurement
Thresholds
Effective June 20. 2018, the micro-purchase threshold was increased from $3,500 to $10,000 and the simplified
acquisition threshold was increased from $1 50,000 to
$250.000. These increases apply to all Subrecipient
procurements executed on or after June 20, 2018.
Refer to IB 434 for additional information
Procurement
Documentation
Non-federal entities, other than states and territories. are required to maintain and retain records sufficient to detail the history of procurements. covering at least the rationale for the procurement method, contract type. contractor selection or rejection, and the basis for the contract price. For any cost to be allowable, it must be adequately documented. Examp£es of the types of documents that would meet this requirement include, but are not limited to
•
•
•
•
•
•
Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
Responses to solicitations, such as quotes, bids, or
proposals;
Pre-solicitation independent cost estimates and post-
solicitation cost/price analyses on file for review by federa personnel, if applicable;
Contract documents and amendments;
Documents demonstrating inclusion of required contract
provisions; and
Other documents required by federal regulations
applicable at the time the grant was awarded to the
Subrecipient .
Noncompetitive
Procurement
All noncompetitive procurements exceeding the simplified acquisition threshold requires Cal OES prior written approval to be eligible for reimbursement. This method of procurement must be approved by the local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent's approval must be included with the
Cal OES Request for Noncompetitive Procurement
Authorization form. Cal OES may request additional
documentation that supports the procurement effort.
EXHIBIT F
Noncompetitive
Procurement
Cont.
Cal OES will not reimburse for any noncompetitive
procurement contracts for any HSGP terrorism-related
training. reqardless of the cost of the training. Exceptions to this policy may be approved in limited circumstances, e.g., related to a procurement effort that has resulted in
inadequate competition. Please refer to GMM201 7-01 A and GMM2021-05 for additional guidance.
Performance
Bond
Due to the risks associated with delays in vendor delivery of large equipment procurements, DHS/FEMA allows
Subrecipients to obtain a ''performance bond" for items that are paid for up front to ensure delivery of the equipment within the grant period of performance
Cal OES requires Subrecipients to obtain a performance bond when procuring any equipment item over $250,000. or for any vehicle, aircraft, or watercraft that requires full or partial payment prior to receiving the final product(s).
Performance Bond Waivers may be granted on a case-by-
case basis and must be submitted to Cal OES prior to
procurement
Environmental
Planning and
Historic
Preservation (EHP)
DHS/FEMA is required to ensure all activities and programs that are funded by the agency comply with federal
Environmental Planning and Historic Preservation (EHP)
regulations. Subrecipients proposing projects or activities (including, but not limited to, training. exercises. the installation of equipment, and construction or renovation projects) that have the potential to impact the environment, or a historic structure must participate in the EHP screening process. EHP Screening Memos must include detailed project information. explain the goals and objectives of the proposed project. and include supporting documentation
DHS/FEMA may also require the Subrecipient to provide a confidential California Historical Resources Information System [CHRIS) report in addition to the EHP Screening Form.
Determination on the necessity of a CHRIS report is based upon information disclosed on the form. Program
Representatives will provide additional instructions should this report be required.
EXHIBIT F
Environmental
Planning and
Historic
Preservation (EHP)
Cont.
EHP Screening Requests should be submitted to Cal OES as early as possible. All projects/activities triggering EHP must receive DHS/FEMA written approval prior to commencement of the funded activity.
Updated information may be referenced in the FEMA GPD
EHP Policy Guidance.
Construction and
Renovation
When applying for construction activity at the time of
application. including communication towers, Subrecipients must submit evidence of approved zoning ordinances,
architectural plans. any other locally required planning permits. and a notice of federal interest. Additionally, Subrecipients are required to submit an SF-424C Budget and Budget Detail that cites project costs. Communication tower construction requests also require evidence that the Federal Communications Commission’s Section 106 review process
was completed
Subrecipients using funds for construction projects must comply with the Davis-Bacon Act. Subrecipients 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 like the contract work in the civil subdivision of the state in which the work is to be performed
Project construction using SHSP and U ASI funds may not exceed $1 ,000,000 or 1 5% of the grant subaward [for the purposes of limitations on funding levels, communications towers are not considered construction)
Written approval for construction must be provided by
DHS/FEMA prior to the use of any HSGP funds for construction or renovation. No construction activities (Including site preparation, utility installations, and any groundbreaking activities) or equipment installations on existing structures. may begin until the EHP review process is complete.
EXHIBIT F
Inventory Control
and Property
Management
Subrecipients must use standardized resource management concepts for resource typing and credentialing, in addition to maintaining an inventory by which to facilitate the effective identification. dispatch. deployment, tracking. and recovery of resources
Subrecipients must have an effective inventory management system, to include:
•Property records that document description, serial/ID
number, fund source, title information. acquisition date. cost, federal cost share, location, use, condition, and ultimate disposition;
A physical inventory conducted at least every two years; A control system to prevent loss, damage, and theft of
grant purchased equipment and supplies; and
Adequate maintenance procedures to keep the property
in good condition
•
•
•
Equipment
Disposition
When original or replacement equipment acquired under the HSGP is no longer needed for program activities, the
SuE)recipient must contact the Program Representative to request disposition instructions. See 2 C.F.R. q 200.313[e) Performance
Reporting
SuE)recipients must complete a BSIR each Winter and Summer using the DHS/FEMA Grants Reporting Tool (GRT) for the
duration of the subaward period of performance or until all grant activities are completed and the subaward is formally closed by Cal OES. Failure to submit a BSIR could result in subaward reduction, suspension, or termination
Access to the BSIR may be obtained through the GRT. To
create a new account, please click the link that reads. “Register for an account“ and follow the instructions
provided. The Subrecipient will be required to ensure up-to- date project information is entered. The Project Ledger in the FMFW may assist with the BSIR data entry process. For
additional assistance with the GRT, please contact your Program Representative.
EXHIBIT F
Extension
Requests
Extensions to the initial period of performance identified in the subaward will only be considered through formal, written requests to your Program Representative. Upon receipt of the extension request, Cal OES will
1 2
3 Verify compliance with performance reporting
requirements by confirming the SuE)recipient has
submitted aEI necessary performance reports;
Confirm the Subrecipient has provided sufficient
justification for the request; and
If applicable, confirm the Subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES
Extension requests will be granted only due to compelling legal, policy. or operational challenges, must be project- specific and will only be considered for the following reasons:
1 2
3 4.
Contractual commitments with vendors that prevent
completion of the project within the period of
performance;
The project must undergo a complex environmental
review which 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.
To be considered, extension requests must be received no later than 60 days prior to the end of the Subrecipient’s period of performance and must contain specific and
compelling justifications as to why an extension is required. Al extension requests must address the following
1 2
3 4.
5 6
Grant program. fiscal year. and award number;
Reason for delay;
Current status of the activity/activities;
Approved period of performance termination date and
new project completion date:
Amount of funds drawn down to date:
Remaining available funds, both federal and non-federal;
EXHIBIT F
Extension
Requests
Cont.
7. 8.
9 Budget outlining how remaining federal and non-federal funds will be expended;
Plan for completion, including milestones and tirneframes for each milestone and the position/person responsible for implementing the plan for completion; and
Cer+ification the activity/activities will be completed within the extended period of performance without any
modification to the original Project Scope
General questions regarding extension requirements and the extension request form, should be directed to your Program Representative. For additional information, please see IB 379 Extension requests for personnel and salaries do not meet the requirements of IB 379 and will not be granted. Subrecipients are expected to complete all grant-funded personnel
activities by the end of the subaward period of performance Progress Reports
on Grant
Extensions
All Subrecipients that receive Cal OES approval to extend their FY 2023 Grant Subaward period of performance may be required to submit progress reports indicating completed and future project milestones on all extended projects. Progress reports must be submitted electronically to the Subrecipient ’s Program Representative. Deadlines for the submission of progress reports will be established at the time of extension approval.
Monitoring Cal OES Grants Monitoring actively monitors Sub)recipients. through day-to-day communications, programmatic site
visits, desk, and on-site compliance assessments. The purpose of the compliance assessment is to ensure SuE)recipients are in compliance with applicable state and federal regulations, grant guidelines. and programmatic requirements
Monitoring activities may include, but are not limited to •
•
Verifying entries recorded on the FMFW categories are
properly supported with source documentation;
Eligibility of and support for expenditures. typically
covering two to three years of data;
Comparing actual Subrecipient activities to those
approved in the grant application and subsequent
EXHIBIT F
Monitoring
Cont.
modifications, including the review of timesheets and
invoices as applicable;
Procurements and contracts;
Ensuring equipment lists are properly maintained and
physical inventories are conducted;
Ensuring advances have been disbursed in accordance
with applicable guidelines; and
Confirming compliance with Standard Assurances; and
Information provided on performance reports and
payment requests
•
•
•
•
NOTE: it is the responsibility of all Subrecipients that pass down grant funds to other entities, to maintain and uti£ize a formal process to monitor the grant activities of their subawards. This requirement includes. but is not limited to, on-site verification of grant activities, as required. It is common for Subrecipients to receive findings in a programmatic site visit or compliance assessment, which require a Corrective Action Plan (CAP) to be submitted by Subrecipients. Those Sub)recipients who fail to submit a CAP, as required, shall have a “hold" placed on any future reimbursements until the ''finding" is resolved Failure to Submit
Required Reports
Periodic reporting is required by the grant. Subrecipients who miss a single reporting deadline may receive a letter
addressed to their Board of Supervisors informing them of the failure to report. County OAs and tribes who fail to report twice consecutively may have subsequent awards reduced
by 1 0% until timely reporting is reestablished; UASls may have a “hold’' placed on any future reimbursements
Suspension/
Termination
Cal OES may suspend or terminate grant funding, in whole or in part, or other measures may be imposed for any of the following reasons
•
•
•
•
•
Failure to submit required reports.
Failure to expend funds in a timely manner consistent with the grant milestones, guidance, and assurances
Failure to comply with the requirements or statutory
progress toward the goals or objectives of federal or state law
Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipient application
Failure to follow Grant Subaward requirements or Special Conditions.Suspension/
EXHIBIT F
Termination
Cont.
•
•
Proposing or implementing substantial plan changes to
the extent that. if originally submitted. the application would not have been selected for funding.
False certification in the application or document.
Failure to adequately manage, monitor, or direct the
grant funding activities of their Subrecipients
Before taking action. Cal OES will provide the Subrecipient reasonable notice of intent to impose corrective measures and will make every effort to informally resolve the problem Cal OES will close-out Subrecipient awards when it
determines all applicable administrative actions and all required work of the federal award have been completed.
Subawards will be closed after:
Closeout
•
•
•
•
All funds have been requested and reimbursed, or
disencumbered;
Receiving all applicable Subrecipient reports indicating all approved work has been completed. and all funds have
been distributed;
Completing a review to confirm the accuracy of reported information;
Reconciling actual costs to subawards. modifications, and payments; and
Verifying the Subrecipient has submitted a final BSIR
showing all grant funds have been expended
Records Retention The records retention period is three years from the date of the Cal OES Grant Closeout letter, or until any pending litigation, claim, or audit started before the expiration of the three-year retention period has been resolved and final action is taken
For indirect cost rate proposals. cost allocation plans, or other rate computation records, the start of the record retention period is dependent on whether the proposal, plan, or other computation is required to be submitted to the federal
government (or to the pass-through entity) for negotiation purposes. See 2 C.F.R. q 200.334(f) .
In order for any cost to be allowable. it must be adequately documented per 2 C.F.R. q 200.403(q).
EXHIBIT F
Records Retention
Cont
The Cal OES Grant Closeout Letter will notify the Subrecipient of the start of the records retention period for all
programmatic and financial grant-related records.
If the State Administrative Agency's award remains open after the Subrecipient’s submission of the final BSIR. Cal OES will complete any additional BSIR reporting required under the award on behalf of the Subrecipient
Closed grants may still be monitored and audited. Failure to maintain all grant records for the required retention period could result in a reduction of grant funds, and an invoice to return costs associated with the unsupported activities If documents are retained longer than the required retention period, FEMA, the DHS Office of Inspector General.
Government Accountability Office, and pass-through entity have the right to access these records as well. See 2 C.F.R. qq 200.334, 200.336
EXHIBIT F
Attachment A – FY 2023 HSGP Allocations 1 2023
*SHSP allocations reflect National Priority Area project adjustments State Homeland Security Program (SHSP)
Operational Area Total Award Operational Area Total Award A
ALPINE
AM ADO R
BUTTE
CALAVERAS
COLUSA
CONTRA COSTA
DEL NORTE
EL DORADO
FRESNO
GLENN
HUMBOLDT
IMPERIAL
INYO
KERN
KINGS
LAKE
LASSE N
LOS ANGELES
MADERA
MARIN
MARIPOSA
MENDOCINO
MERCED
MODOC
MONO
MONTEREY
NAPA
NEVADA
1 ,650,795
76, 145
11 3,439
267,310
11 7,971
94, 168
1 ,178,218
100,963
256,682
1 ,039,636
102.425
203,934
246,059
93, 103
942,855
220,012
126,762
103,878
9,481,457
225. 1 38
320,277
102,042
168,349
346,225
83,289
87,762
488,715
204,898
171 ,574
ORANGE
PLACER
PLUMAS
RIVERSIDE
SACRAMENTO
SAN BENITO
SAN BERNARDINO
SAN DIEGO
SAN FRANCISCO
SAN JOAQUIN
SAN LUIS OBISPO
SAN MATEO
SANTA BARBARA
SANTA CLARA
SANTA CRUZ
SHASTA
SIERRA
SISKIYOU
SOLANO
SONOMA
STANISLAUS
SUTTER
TEH AMA
TRINITY
TULARE
TUOLUMNE
VENTURA
YOLO
YUBA
3,091 ,41 3
465, 161
93,069
2,398,207
1 ,578,910
137,459
2.161,778
3,210,706
878.889
823.130
342,774
785,321
499.634
1 ,882,403
329,271
247,205
78.080
116.809
501.615
535, 157
599,128
169.572
132.940
90.284
528, 108
127.741
870.207
285,965
153,481
41 ,728,498*Total
38 EXHIBIT F
Fusion Centers
Region
SAN FRANCISCO BAY AREA
SACRAMENT6/c
GREATER LOS ANGELES AREA
SAN DIEGO AREA
ORANGE AREA
Total Award
1 .792,050
2,887,500
2.047.500
835,000
10, 1 27.050#Total
* SHSP allocations reflect National Priority Area project adjustments Urban Areas Security Initiative (U ASI)
*A minimum of 35% of U ASI funding must be for Law Enforcement Terrorism Prevention Urban Area
Federal
Allocation to
State
5.250,000
36.493.265
66.1 74.270
3,900,000
3.800,000
1 6.445,560
AIIciaIgn to State Initiatives
ANAHEIM/SANTA ANA AREA
BAY AREA
LOS ANGELES/LONG BEACH AREA
RIVERSIDE AREA
SACRAMENTO AREA
SAN DIEGO AREA
4,278,750
29,742,01 1
53.932,030
3, 1 78,500
3,097,000
1 3,403, 1 31
971 ,250
6.751 .254
1 2,242.240
721 ,500
703,000
3.042.429
Total 132,063,0951 l07.631,422 24.431.673
EXHIBIT F
Attachment B – FY 2023 HSGP Timeline 1 2023
DHS/FEMA Announcement of 2023 HSGP NOFO
Cal OES Application Due to DHS
DHS Award to California
Subrecipient period of performance begins
2023 HSGP California Supplement release
Subrecipient Workshops
Subrecipient Awards (45 days from DHS awar
Subrecipient Final Applications for FY23 Due
Cal OES
Subrecipient period of performance ends
L
Cal OES's period of performance ends
February 1 3, 2023
May 18, 2023
September 25. 2023
September 1 , 2023
October 2023
October 2023
October 2023
December 29. 2023
May 31. 2026
Within twenty (20) calendar
days after end of arant
August 31 . 2026
Attachment C: FY 2023 HSGP Application Checkb+IBIT2023
Subrecipient:FIPS#:
Program Representative:
Financial Management Forms Workbook:
a Grant Award Face Sheet
[] Authorized Body of 5
[] Project Ledger
= Planning Tab
= Organization Tab
= Equipment Tab
E Training Tab
[] Exercise Tab
U Consultant/Contractor Tab
L] Management & Administration Tab
H Indirect Cost Tab
= Authorized Agent Sheet
Attachments:
a Original Counter-Signed Award Letter
[] Governing Body Resolution (Certified)
a Standard Assurances {Signed Originals)
D FFATA Certification
a Lobbying Certification
3 Subrecipient Grant Management Assessment Form
= Indirect Cost Rate Negotiation Agreement
a Personnel Cap Waiver (if Applicable)
E Intelligence Analyst(s) Certificates (if Applicable)
U ASI Only:
a U ASI Footprint
a UAWG Roster
State Agencies and Tribes Only:
E Signature Authority Form (in lieu of Governing Body Resolution) For Cal OES Use Only
Reviewed by:Date
DateManagement Approval:
LOS ANGELES COUNTY/DEPARTMENT OF AUDITOR-CONTROLLER -’'"''’' ' u
SHARED SERVICES DIVISION
GRANT PAYMENT REQUEST
SECTION A: SUBMiTrING YOUR REQUEST
Please submIt Grant Payment Request Form along with legible supportIng documents to:
,gov
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 / Ann: Grants Unit
320 W. Temple Street, Room 380
Los CA 90012
RAm[iaa En BmaiumHll .,h Ntl bIIMP!!E=lIEEEEMI
2. Malllng Address (p1„„ 1,t „, k„,w wh„, y,. W,„t y,„, ,h,,k d,I,„„,d. i.d.di.g ,it,.ti,. Ii., tr .,,,„„y)4.phone:
Contact's e-mail:
1. Grant Name & Year:
aBi]mb red?1. SOLUTION AREA
(e.g. equlprnent. traInIng.
5. VENDOR'S INVOICE #
(Maximum of 5 invoices)
6. PURCHASE METHOD
gT 7.CLAIM
AMOUNT
Yes
8. TOTAL $ O'OO
I certIfy that (please use the checkbox)
[l 1. 1 am the duty authonzed officer of the cJalmant hereIn and thIS darn is in al respecl true and correct. Nl 1 1 expendItures were made in accordance WIth applcatlle laws. rules. regulatIons and grant condItIons and [] 2. Nl instructions for thIS form were fcHlawed and an the supportIng documentation (per InstructIons) is SSL
nduded hIS d
STAMP WITH RECEIVED DATE HERE
3 4
AUTHORIZED SIGNATURE
5,AUTHORIZED CONTACT INFORMATION (if different from Section B):ASSIGNED INVOICE NO l
Revl:•danApr12021
o >
EXHIBIT G
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR-CONTROLLER / SHARED SERVICES DIVISION Purpose of these instructions
INSTRUCTIONS TO COMPLETE THE GRANT PAYMENT REQUEST
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.
SECTION A: GENERAL INSTRUCTIONS FOR SUBMISSION OF GRANT PAYMENT REQLim 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:
IB
O
e
O
Completing the Grant payment request correctly and according to these instructions SUbmIttIng your Grant payment request using our e-maIl -> [email protected] (please do not fax documents) 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.
SendIng your Grant payment request only once (we do not require original documents and duplicates WIll slow down our process) 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 ncurred
Ensuring that all documents attached to your Grant payment requests are legible ECTION 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 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 five (5) invoices or reimbursements charqes (one charqe or one invoice per line). The invoices or charges need to share the same solution area, project # 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 project # corresponding to the claim. This information is found in the latest budget of the grant. An example of Item # is 17.020 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
EXHIBIT G
5. If the expenditures that you are claiming were purchased thru a vendor or contractor, please enter the invoice # in the grid area. Please note 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)
d)
D
a
Print out of the corresponding AEL # (Authorized Equipment List number). The AEL listing can be found at https://www.fema.gov/grants/guidancetools/authorized-equipment-list Proof of payment of the invoice: The proof of payment for L.A. County Departments is the printout from eCAPS 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) L] 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
g)
D
U
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,
Federal Debarment Listing: Please provide a screen print out of the queried Federal Debarment Listing at sam.gov/SAM/. The listing needs to be queried prior to the selection of the vendor. 6 If you are claiming services. supplies, training related costs, or any other type of items purchased thru a vendor or contractor or government agency 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 $250,000 or more (effective June 21 . 2018) to a single vendor or a single project. please attach the approval from the State. The approval needs to be requested from the State prior to the start of the project.
C) []Sole Source: for non-bid purchases of $250.000 or more effective (June 21. 2018) to a single vendor or a single project, please attach the approval from the State. The approval needs to be requested from the State prior 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.
S ION
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. 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
5. authorized person and the contact person in Section B are different. please enter all the fields in this area as requested.
Please sign the Grant payment request if you are an authorized signor of your agency
DDITIONAL ITEMS THAT YOU NEED TO ATrACH TO YOUR GRANT PAYMENT REQUEST
EXHIBIT G
For Equipment Claims
a) [] Equipment inventory Listing (Print out & Excel File): Please include both the printout Of the listing and the corresponding excel nIe.witp -- 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 bUnk. 'lPlease refer to the lnstructions to Equip Intv Tab for completion procedures of Equipment Inventory.
AdditIonally. please enter the appropriate CBRNE Mission (Chemical. BIological, RadIological. Nuclear. or Explosive) in the column titled 'Equipment Description & Quantity". This only appIIes to vehicles WIth AEL # 12VE-00-MISS (Vehicle SpecIalized Mission.CBRNE), You need to inform us of any changes on the items above 1. 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 Traininq Claims
a) [] State Sole Source Approval: if you are claiming training related costs thru a Non-Competitive Bid or Sole Source training provider regardless the purchased amount, please attach the State's approval (effective December 03, 2018). The approval needs to be requested from the State prior to the start of the project.
b) [] State6ponsored 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.
C) [] 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 d)H 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. e) [] 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 IP
Attendance sheets (signed by employee and instructor)
Sign in sheets (same as above) o Signed training certificates f) [] Summary Listing of Charges; Please use the Training Summary Sheet {arm provIded in tpis claim packet th?t clearly shows the -- breakdown of the training charges per employee and that match the total claimed. This form includes the following: employee name 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
g) [] Backup for the Benefits Rate; if yOU are adding benefits tO your claim, please make SUre that yOU include the official calculation for therate used h) [] 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. 1)U 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
i)
k)
D
D
EXHIBIT G
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.
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 signed and that you include documentation corresponding to the employee covered by the backfilling position a)
b)
C)
d)
For Planninq Claims:
n
U
D
n
Deliverable (or final product): Please include with your claim the final product of the planning activity (deliverable) that was identified in the grant award,
Signed Certificate of Completion: The certificate of completion can be an e-mail confirming that the planning activity was completed Invoices: if your planning 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),
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) [] Proof of State 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,
b)
C)
D
n
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),
https://hseep.dhs.gov/DHS_SSO/
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 Orqanization Claims: Please see above b) and c) under Exercise Claims
EXHIBIT G
GRANT NAME
SUB-RECIPIENT:
DATE OF REPORT
GRANT PROPERTY AND EQUIPMENT INVENTORY LISTING
Serial # or SAFECOM Source of
Other ID # Consult Property
[Yes/No/NA) (SHSP or
EMPG Grant
Vendor
Name
Acquisition % of FED
Date Cost ParticIpation
Use & Condition Disnosltion
(N=New, Date Sale Price
D=Deployed,
O=Out of
N Grants/Subreclpient Monllunl./Folms/Propery & Equipment Inventory LIstIng
EXHIBIT G
Equipment Inventory Listing
Procedures for Completion
OBJECTIVE:To provide an equipment inventory listing that links the State Homeland Security Workbook, to the Equipment Ledger and to the Equipment Listing to simplify the tracking and accountability; and to eliminate duplication and confusion
Field
(1 )
(2)
(3)
(4)
(5)
(7)
(8)
(9)
(10)
(11)
(12)
( 13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
Date Element
Grant Name
Sub-Recipient
Date of Report
Grant Year
Project #
AEL No.
Description
Serial # or Other ID #
Safecom consult
Source of Property
Title Holder
Vendor Name
Invoice Number
Acquisition Date
Acquisition Cost
% of Fed Part
Location
Use & Condition
Disposition data
Sale Price
Procedure
SHSP or EMPG
Name of your agency
Date report completed {1 }
Grant Year of funds used to purchase equipment
Project Number (from Grant Workbook Project Sheets)
Authorized Equip Listing No (from Grant Workbook)
Description of the equipment
Serial # or Other identification # used
Fill out either by Yes, No, or N/A
Funding source, i.e, SHSP, EMPG, etc,
Name of agencV (City/Department)
Name of the vendor
Invoice number
Date equipment acquired
Cost of the individual equipment item
Fed participation in the cost of equipment
Location of equipment
Use & condition {2}
Date of disposition
Sale price, if applicable, or N/A for not applicable
The Equipment Inventory Listing must be completed in its entirety to meet the objective of the form
Note {1}: This date should be the date the physical inventory of equipment was taken and the results reconciled with the equipment records (at least once every two years)
{2} Indicate: N = New, D = Deployed, O = Out of Service. L = Lost & S = Stolen Distribution
Copy maintained in sub-recipient file
Copy forwarded to Shared Services Division
EXHIBIT G
Training Summary
Sheet
rant Name
lrisdiction Name
aining Provider:
HS Approved Course Title
)n-SLGCP Course Title & OHS Tracking No.
(requires pre-approval thru OEM)
Ite of Course
ass/ Exercise Duration/Hours
TRAINING I TRAINING I TRAINING END
REQUEST # 1 START DATE 1 DATE
claimirW
for
Employee
Benefits? I Benefits RategMP NO.ASSIGNMENT aT
HOURS
GRAND TOTAL
Approved by
AuthorIzed SIgnature
CALiFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal DES) PLANNING ROgrER
E= LUX:: Lei D i SC i P I I n e F U n d 1 n g 11511C} U r C e nuI COg Hula aimed at:lured _EXHIBIT G
Project Planning ActIvIty FInal Product
Approved by
Authorized Signature
Print Name and Title Date
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) EXERCISE ROgrER
Project Date AAR entered into HSEEP
GRAND TOTAL
Approved by
Authorized Signature
Print Name and Title Date
EXHIBIT G
8. Notes on Personnel 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 following examples 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.
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)EXHIBIT G Project Employee Name Project /DeIIverable FundIng
Source Solution Area
Total Salary &
Solution Area Sub 1 Dates of Payrolll Benefits charged
Category 1 Period 1 for thIS Reporting
Period
Total Project I REIMB
Hours I Request #
Total Cost Charged
to Grant
N/A
no
SAMPLE COPY EXHIBIT H
Subrecipient Monitoring Instrument
Subrecipient Monitoring Instrument
PROJECr TITLE
Los Angeles County State Homeland Security Program
Monitoring Reports
A FINANCIAL REPORTING REQUIREMENTS
Objective
To determine that the Subrecipient implemented corrective action to address findings noted in its Single Audit that is related to the Homeland Security Grant, Verification Yes No Comment
1. Was a Single Audit completed for Grant Year 2014-15
and 2015-16?
2. If yes, did the Subrecipient forward a copy to the
Homeland Security Grant Administrator (HSGA) by
March 30th of the year following the audit?
3. Did the Single Audit(s) identify findings related to the Homeland Security Grant? if yes, please continue
If no, please mark N/A and continue to Section B
4. Did the Subrecipient develop a corrective actionplan that addresses the finding(s)?
5. Did the Subrecipient send a copy of a corrective action plan to the HSGA?
6. Did the Subrecipient implement the corrective action plan?