Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 □
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Purpose of these instructions:
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. 2.
3. 4.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. 2.
4. a)
Ensuring that all documents attached to your Grant payment requests are legible.
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR-CONTROLLER / SHARED SERVICES DIVISION
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 REQUEST In numeral 1 of this section, please enter the name and year of the grant program that you are submitting for payment. In addition, please help us expedite the process of your Homeland Security claims by:
Completing the Grant payment request correctly and according to these instructions.
Submitting your Grant payment request using our e-mail --> [email protected] (please do not fax documents).
Sending your Grant payment request only once (we do not require original documents and duplicates will slow down our process).
Using the checkboxes to ensure all the required supporting documents and files accompany your Grant payment request. Supporting documents are flagged for your convenience with a checkbox within the corresponding areas.
Submitting Grant payment request timely. We do not guarantee the process of Grant payment requests that are submitted late or too close to the final due date. Reimbursable expenditures need to be charged within the performance period of the grant and submitted to us as soon as they are incurred.
SECTION B: SUB-RECIPIENT'S INFORMATION
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.
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.
Please enter the information of the person that can assist us with detail claim questions.
SECTION C: DETAIL PAYMENT REQUEST INFORMATION:
In order to expedite your Grant payment request, in this area's grid, include a maximum of five (5) invoices or reimbursements charges (one charge or one invoice per line). The invoices or charges need to share the same solution area, project #.
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.
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.
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:
State EHP Approval: if required by the state for your claim.
Revised on 11/20/2017
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 •
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5. a)
b)
c)
d)
e)
f)
g)
6. a)
b)
c)
7. 8.
SECTION D: SUB-RECIPIENT'S CERTIFICATION
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. 2.
3. 4 &
5. SECTION C: (Continued)
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:
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.
Copy of the purchase order
Print out of the corresponding AEL # (Authorized Equipment List number). The AEL listing can be found at:
https://www.rkb.us/fema_grants.cfm
Proof of payment of the invoice: The proof of payment for L.A. County Departments is the printout from e-CAPS showing that the check cleared the bank. The proof of payment for other than L.A. County Department is the corresponding copy of the bank's cleared check .
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.
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 http://www.sam.gov/portal/public/SAM. (you will need a username and a password; if you don't please create an account) . The listing needs to be queried prior to the selection of the vendor.
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.
Competitive Bid: for projects that received more than one bid. Please indicate number of bids received (must be more than one).
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.
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.
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.
Enter the "Total Amount" by adding the subtotal claims included in each line.
Please read and check the box provided if you are an authorized signor.
Please read and check the box provided if you are an authorized signor.
Please sign the Grant payment request if you are an authorized signor of your agency.
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 authorized person and the contact person in Section B are different, please enter all the fields in this area as requested.
Revised on 11/20/2017
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 □
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a)
For Training Claims:
a)
b)
c)
If you are including personnel cost with your training claim, please add the following:
d)
e)
f)
g)
h)
i)
ADDITIONAL ITEMS THAT YOU NEED TO ATTACH TO YOUR GRANT PAYMENT REQUEST:
For Equipment Claims:
Equipment Inventory Listing (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. If there is no serial # for your equipment please assign a valid ID tag, or write "Consumable" (if it applies) or write N/A. please do NOT leave the corresponding space blank. *1Please refer to the Instructions to Equip Inty 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 applies 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.
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.
State-Sponsored Training Reporting Form (with the tracking request #): Please add this form along with the Training Request Form Training Officer (POC), which you completed at the website, to the claim's backup documentation. All the backup documentation submitted for the training claim needs to agree with the training period and the detail description on the Training Reporting Form and the line item of the Grant. Training request #'s must be obtained from the State prior to the start of the project.
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.
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.
Documents that certify completion of the training: please attach supporting documents that show the class name, dates of training, # of hours of the training class, printed name and signature of individual taking the class and approval signature from supervisor or trainer (attach the information for backfilled positions also). Examples of documents that certify completion of training are:
Attendance sheets (signed by employee and instructor)
Sign in sheets (same as above) Signed training certificates Summary Listing of Charges: Please use the Training Summary Sheet form provided in this claim packet that clearly shows the breakdown of the training charges per employee and that match the total claimed. This form includes the following: 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.
Backup for the Benefits Rate: If you are adding benefits to your claim, please make sure that you include the official calculation for the rate used.
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.
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.
Revised on 11/20/2017
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 □
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j)
k)
For Planning Claims:
a)
b)
c)
d)
a)
b)
c)
Deliverable (or final product): Please include with your claim the final product of the planning activity (deliverable) that was identified in the grant award.
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.
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:
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.
https://hseep.dhs.gov/DHS_SSO/
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).
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 Organization Claims: Please see above b) and c) under Exercise Claims Revised on 11/20/2017
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 □
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GRANT NAME:
SUB-RECIPIENT: __________________________________________ P. ___ of ___DATE OF REPORT: ______________________________________ Grant Project AEL Description of Property Serial # or SAFECOM Source of Department Vendor Invoice % of FED Location Use & Condition Year Number No. Other ID # Consult
(Yes/No/NA)
Property
(SHSP or
EMPG Grant
Program)
(Title Holder) Name Number Date Cost Participation (N=New, D=Deployed,
O=Out of
Service, L=Lost,
Date Sale Price
N:Grants/Subrecipient Monitoring/Forms/Propery & Equipment Inventory ListingRevised 12/2019
GRANT PROPERTY AND EQUIPMENT INVENTORY LISTING
Acquisition Disposition
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 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 Field Date Element
(1)
(2)
(3)
(4) Grant Year
(5) Project #
(7) AEL No.
(8) Description
(9) Serial # or Other ID #
(10) Safecom consult
(11) Source of Property
(12) Title Holder
(13) Vendor Name
(14) Invoice Number
(15) Acquisition Date
(16) Acquisition Cost
(17) % of Fed Part
(18) Location
(19) Use & Condition
(20) Disposition data
(21) Sale Price
of the form.
Note {1}:
taken and the results reconciled with the equipment records (at least {2} Indicate: N = New, D = Deployed, O = Out of Service, L = Lost & S = Stolen Project Number (from Grant Workbook Project Sheets)
Equipment Inventory Listing
Procedures for Completion
eliminate duplication and confusion.
Procedure
Grant Name SHSP or EMPG
Sub-Recipient Name of your agency
Date of Report Date report completed {1}
Grant Year of funds used to purchase equipment
Fed participation in the cost of equipment
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 agency (City/Department)
Name of the vendor
Invoice number
Date equipment acquired
Cost of the individual equipment item
once every two years).
Distribution
Copy maintained in sub-recipient file
Copy forwarded to Shared Services Division
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 This date should be the date the physical inventory of equipment was
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 Grant Name
Jurisdiction Name:Training Provider:
OHS Approved Course Title:Non-SLGCP Course Title & OHS Tracking No. (requires pre-approval thru OEM)
Date of Course:Class/ Exercise Duration/Hours:
EMP NO. EMPLOYEE NAME ASSIGNMENT TITLE
TRAINING
REQUEST #
TRAINING
START DATE
TRAINING END
DATE
SALARY OT REG RATE OT RATE OT PAY
Are you
claiming
for
Employee
Benefits?
Employee
Benefits Rate CLAIM
(for Training only) HOURS TOTAL
1 $- - $- $
23456789
10 GRAND TOTAL $ -
Approved by:
Authorized Signature
Print Name and Title Date
Training Summary
Sheet
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 - -
GRAND TOTAL $
Approved by:
Authorized SignaturePrint Name and Title Date
Final Product
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
PLANNING ROSTER
Project Planning Activity Solution Area Sub-Category Discipline Funding Source Total Cost Total Claimed Cash Request Number FMFW v1.09- 06/09
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0
I I I I
- -
GRAND TOTAL $
Approved by:
Authorized SignaturePrint Name and Title Date
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
EXERCISE ROSTER
Project Exercise Title Funding Source Solution Area Sub-Category Discipline Cash Request Number Total Cost Total Claimed Conducted By Date of Exercise Exercise Type Exercise Role Date AAR entered into HSEEP FMFW v1.09- 06/09
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0
8. Notes on Personnel Cost:
In general, costs associated with:
personnel cap, however,
supporting operational activities, including general planning, training or exercise activities DO count against the personnel cap; and
operational overtime DO count against the personnel cap.
The following examples would not count towards the personnel cap:
effectiveness of a specific exercise.
The following examples would count towards the personnel cap:
under contract;
performance period;
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 □ Work performed under contract for a specific deliverable DOES NOT count against the □ Work performed under contract for an undefined period, such as for personnel costs □ Work performed by all non-contractor personnel, including for full- or part-time staff and □ 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 □ Contractor hired to be the State's WMD training instructor with no specific deliverables □ Contractor hired to facilitate unidentified number of exercises throughout the □ Contractor hired to be the part-time auditor of Homeland Security Grants throughout the year; and □ Contractor hired to be an intelligence analyst.
Employee Name Project / Deliverable Funding Source Discipline Solution Area Solution Area Sub Category Dates of Payroll Period Total Salary &
Benefits charged
for this Reporting
Period
Total Project
Hours
REIMB
Request #
Total Cost Charged
to Grant
- - N/A -
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Project
FMFW v1.15a - 2015
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 FMFW v1.15a - 2015
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 FMFW v1.15a - 2015
EXHIBIT G
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 Subrecipient Monitoring Instrument
Subrecipient Monitoring Instrument
PROJECT 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
Was a Single Audit completed for Grant Year 201 -1
and 201 - ?
If yes, did the Subrecipient forward a copy to the
Homeland Security Grant Administrator (HSGA) by
March 30th of the year following the audit?
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.
Did the Subrecipient develop a corrective action plan
that addresses the finding(s)?
Did the Subrecipient send a copy of a corrective action plan to the HSGA?
Did the Subrecipient implement the corrective action
plan?
EXHIBIT H
SAMPLE COPY
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0
1. 4 5
5 16
2. 3.
4. 5.
6. B. TRAINING
Objective
To determine that the Training expenditures were appropriately documented and that the activities aligned with the project’ s goals and objectives. If the Training activities involved employees, determine if the Subrecipient appropriately documented the Training expenditures using employee timecards, sign-in sheets, and certificates of training. If the Training activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement procedures to hire the consultants or contractors. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Training
expenditures? If yes, then continue. If no, continue
to next section.
2. Did the Subrecipient receive prior approval from
the State either via email or other documentation
and did it include the training course name and
number?
3. If the Training expenditures relate to the use of
employees, did the Subrecipient appropriately
document the Training expenditures using employee
timecards, sign-in sheets and certificates of training?
4. If Training expenditures relate to the use of
consultants/contractors, did the Subrecipient follow
proper procurement procedures to hire the consultants
or contractors?
5. Did the Subrecipient accurately report the Training
expenditures in their accounting records?
6. For Projects with overtime expenditures for Training:
a. Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 B. TRAINING (Continued)
Verification Yes No Comments
7. For Projects with backfill expenditures for Training:
a. Does the Subrecipient have documentation that
the backfill expenditures were approved by the
State?
b. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
c. Did the Subrecipient accurately report the
expenditures in their accounting records?
8. Were employee timecards utilized in Training activities signed and dated by the employee and direct supervisor?
9. Were the Training expenditures consistent with the State approved grant award and/or post award modification(s)?
10. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports submitted by HSGA:
a. If the Project prior Grant Year monitoring report
finding was resolved, explain resolution, and indicate
such in the current report as resolved.
b. If the Project prior Grant Year report finding is not resolved, indicate why it has not been resolved and
what the Subrecipient is doing to resolve the prior
year finding and indicate such in the current report.
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 C. PLANNING
Objective
To determine that the Planning expenditures were appropriately documented and that the activities aligned with the project’s goals and objectives. If the Planning activities involved employees, determine if the Subrecipient appropriately documented the Planning expenditures using employee timecards and sign-in sheets. If the Planning activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement policies. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Planning
expenditures? If yes, continue. If no, continue to
next section.
2. Did the Subrecipient appropriately document the
Planning expenditures providing copies of the
support documentation that indicated the efforts
made to produce the final product and a copy of
the product produced?
3. If Planning expenditures relate to the use of employees, did the Subrecipient use employee timecards and
sign-in sheets?
4. If Planning expenditures relate to the use of
consultants/contractors, did the Subrecipient
follow proper procurement procedures to hire
the consultants or contractors?
5. Did the Subrecipient accurately report the
Planning expenditures in their accounting records?
6. For Projects with overtime expenditures for
Planning:
a. Did the Subrecipient maintain employee
timecards to appropriately document the
overtime expenditures?
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 C. PLANNING (Continued)
Verification Yes No Comments
b. Did the Subrecipient accurately report the
overtime expenditures in their accounting
records?
7. For Projects with backfill expenditures for Planning:
a. Does the Subrecipient have documentation
that the backfill expenditures were approved
by the State?
b. Did the Subrecipient appropriately document
the backfill expenditures using employee
timecards and sign-in sheets?
c. Did the Subrecipient accurately report the
backfill expenditures in their accounting
records?
8. Were the employee timecards utilized in Planning
activities signed and dated by the employee and
direct supervisor?
9. Were the Planning expenditures consistent with the
State approved grant award and/or post award
modification(s)?
10. Ensure the Subrecipient corrected area of
noncompliance that remain outstanding and were
reported as findings in prior Grant Year monitoring
reports submitted to HSGA:
a. If the project prior Grant Year monitoring report
finding was resolved, explain resolution, and
indicate such in the current report as resolved.
b. If the project prior Grant Year monitoring report
finding is not resolved, indicate why it has not been
resolved and what the Subrecipient is doing to
resolve the prior year finding and indicate such in
the current report.
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 D. EQUIPMENT
Objective
To determine that the project Equipment expenditures are supported by invoices and that a listing of the Equipment/property is maintained by the Subrecipient. To determine that the purchases are aligned with the project’s goals and objectives. Use Worksheets 2 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Equipment
expenditures? If yes, continue. If no, continue to
next section.
2. Did the Subrecipient maintain invoices to support
the Equipment expenditures?
3. Did the Subrecipient follow proper procurement
procedures to purchase the Equipment and were
the items listed in the federal “Authorized
Equipment List” and/or “Standardized Equipment List”?
4. Did the Subrecipient accurately report the
Equipment expenditures in their accounting records?
5. Did the Subrecipient maintain an Equipment
inventory that listed the following:
a) Description of Equipment,
b) Serial number or other identification number,
c) AEL number,
d) Fund/source/grant year,
e) Title holder,
f) 100 percent of federal participation. If no, then identify percentage, g) Acquisition date,
h) Acquisition cost,
i) Quantity,
j) Equipment location,
k) Use and condition of Equipment,
l) Disposal date and sale price of the Equipment
6. Did the Subrecipient conduct an inventory of
Equipment purchased with Cal/OES grant funds at
least once every two years?
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 D. EQUIPMENT (Continued)
Verification Yes No Comments
7. Was the Equipment physically inspected to ensure:
a. The Equipment existed and agreed to inventory
listing?
b. The Equipment worked and adequately trained
staff are available to operate the Equipment?
8. Did the Subrecipient maintain Equipment in a secure
location?
9. For property other than Equipment, i.e. supplies, did the Subrecipient have controls and accountability to
safeguard and ensure that the items are used and
solely for authorized purposes?
10. For Equipment disposal, if any:
a. Was the disposition consistent with federal
regulations?
b. What is the status of the proceeds received from the disposal?
11. Did the Subrecipient have a policy for damaged,
destroyed, lost or stolen Equipment including but
not limited to informing the Cal/OES, steps to replace the Equipment and an investigative process?
12. Were the Equipment expenditures consistent with
State approval grant award and/or post award
modification(s)?
13. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports maintained by HSGA:
a. If the project prior Grant Year monitoring report finding was resolved, explain resolution, and indicate such in
the current report as resolved.
b. If the project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved
and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 E. EXERCISE
Objective
To determine that the Exercise expenditures were appropriately documented and the activities align with project’s goals and objectives. If the Exercise activities involved employees, determine if the Subrecipient appropriately documented the Exercise expenditures using timecards and sign-in sheets. If the Exercise activities involved using consultants or consultants, determine if the Subrecipient followed the appropriate procurement procedure. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Exercise
expenditures? If yes, continue. If no, continue to
next section.
2. Did the Subrecipient receive prior approval from the State either via email or other documentation and did it include the Exercise course name and number?
3. If the Exercise expenditures relate to the use of employees, did the Subrecipient appropriately document the Exercise expenditures using employee timecards, sign-in sheets, and certificates for Exercise?
4. If the Exercise expenditures relate to the use of consultants/ contractors, did the Subrecipient follow proper procurement procedures to hire the consultants or contractors?
5. Did the Subrecipient accurately report the Exercise
expenditures in their accounting records?
6. For Projects with overtime expenditures for Exercise:
a. Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
c. Did the Subrecipient accurately report the backfill
expenditures in their accounting records?
7. For Projects with backfill expenditures for Exercise:
a. Does the Subrecipient have documentation that
the backfill expenditures were approved by the State?
b. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 E. EXERCISE (Continued)
Verification Yes No Comments
8. Were the employee timecards utilized in the Exercise activities signed and dated by the employee and direct supervisor?
9. Were the Exercise expenditures consistent with the State approved grant award and/or post award modifications?
10. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports:
a. If the Project prior Grant Year monitoring report finding was resolved, explain resolution and indicate such in
the current report as resolved.
b. If the Project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 F. ORGANIZATION
Objective
To determine that the Organization expenditures were appropriately documented and that the activities align with the project’s goals and objectives. If the Organization activities involved employees, determine if the Subrecipient appropriately documented the Organization expenditures using employee timecards and sign-in sheets. If the Organization activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement policies. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Organization expenditures? If so, continue. If no, continue to next section.
2. If the Organization expenditures relate to the use of employees, did the Subrecipient document the expenditures using employee timecards, sign-in sheets, or with other support documentation that substantiated the expense?
3. If the Organization expenditures relate to the use of consultants or contractors, did the Subrecipient follow proper procurement procedures to hire the consultants
or contractors?
4. Did the Subrecipient accurately report the Organization expenditures in their accounting records?
5. For Projects with overtime expenditures for Organization:
a. Did the Subrecipient maintain employee timecards to
appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records.?
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 F. ORGANIZATION (Continued)
Verification Yes No Comments
6. For Projects with backfill expenditures for Organization:
b. Does the Subrecipient have documentation that the
backfill expenditures were approved by the State?
c. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
other payroll documentation?
7. Were employee timecards utilized in Organization activities signed and dated by the employee and direct supervisor?
8. Were the Organization expenditures consistent with the State approved grant award and/or post award modification(s)?
9. Ensure that the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports maintained by HSGA:
a. If the Project prior Grant Year monitoring report finding was resolved, explain resolution and indicate such in the current report as resolved.
b. If the Project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.
EXHIBIT H
Docusign Envelope ID: 86CAF246-4543-4D62-BF04-3E353D45E3F0 Meridian Rapid Defense Group Sales LLC
177 E. Colorado Blvd
Suite 200
Pasadena CA 91105
United States
Quote
#QUO-S-11762
GSA Contract #47QSWA19D001F 05/20/2025
QUO-S-11762
1 of 1
Bill To Ship To
City of Glendora
Marc Archibald
150 Glendora Ave
Glendora CA 91741
United States
City of Glendora
Marc Archibald
150 Glendora Ave
Glendora CA 91741
United States
Date Expires Shipping Method Sales Rep
05/20/2025 08/18/2025 Freight Out John O Joly
Item Price Level Quantity Rate Amount
T1000 Archer T-1000 Drop Deck Trailer GSA 1 34,247.85 $34,247.85 AB1200 Archer 1200 Barrier GSA 3 6,513.75 $19,541.25
AMHA003-2 Archer Manual Hauler 2.0 GSA 1 1,925.18 $1,925.18 AACN4F022 Archer Arrestor Cable – 4 ft. GSA 4 574.18 $2,296.72 ACP003ADA 3 Channel ADA Cable Protector (1
Piece)
GSA 8 287.09 $2,296.72
F Freight Charges 1 5,209.20 $5,209.20
Subtotal $65,516.92
Tax (10.75%) $6,483.08
Total $72,000.00
Notes:
Payment Terms:
Due to high demand, Meridian is requesting a 50% deposit to ensure timely delivery of your product.
Wire Transfer Instructions:
Meridian Rapid Defense Group Sales LLC
Account Number: 568605235
Bank Name: Chase Bank, N.A.
Wire Routing : 021000021
ACH Routing : 322271627
Check Remittance:
530 New Los Angeles Ave #115-345
Moorpark, CA 93021
177 E. Colorado Boulevard, Suite 200
Pasadena, California 91105
www.meridian-barrier.com
May 20, 2025
Marc Archibald
Support Services Supervisor
Glendora Police Department
This is a sole source letter to certify that the Archer 1200 Barrier, the Archer 1200 Trailer Barrier Kit, the Archer Beam Gate and the Archer Rapid Gate are exclusive MERIDIAN products that are manufactured and sold by Meridian Rapid Defense Group LLC (“MERIDIAN”). MERIDIAN is the creator, manufacturer, and patent holder of these products. MERIDIAN is the sole manufacturer and supplier for the U.S. and internationally. MERIDIAN does not permit any 3rd party distributors to supply its products and technologies.
The Archer 1200 is manufactured in US with 700 lbs. of American made steel and has been tested to MASH, ASTM, PAS 68, and IWA14. No other product on the market meets this standard except the Archer 1200 Barrier.
We are glad to make ourselves available to provide further technical information on materials and the proper use of the above-listed items. MERIDIAN provides the in-field training of the equipment to ensure the safety and effectiveness of the Archer 1200 Barrier.
The following items detail the unique, and one of its kind, characteristics of the Archer 1200 Barrier:
• No other product on the market provides unanchored stopping power certified to US DOD and PAS 68 standards. Unbolted units stop a vehicle traveling 30 mph within 14 feet; no other product on the market meets this standard.
• No other product on the market is rated for armor-piercing NATO ammunition up to .50 cal. ballistic rounds.
• No other barrier on the market is designed as a non-electric and non-hydraulic unit. • The Archer 1200 Barrier has easily deployable wheels that are self-contained on the barrier and effortlessly positioned. No other product on the market has this unique characteristic. • No other product on the market can be installed as a complete barrier system with MERIDIAN’s 4-foot and 10-foot Arrestor Cables.
• MERIDIAN’s unique, one-of-a-kind barriers can be deployed at any desired length, as unit can be “daisy chained” together. This cannot be achieved with any other product on the market. • MERIDIAN’s unique products are transported and positioned using a specially designed Drop Deck Trailer.
• A remaining unique feature of the Archer 1200 Barrier is that the unit allows for the installation of directional or informational signage.
Please feel free to contact me with any specific questions or additional requests for information.
Many thanks,
Eric Alms
President
Cell: (213) 400-9811 [email protected]
REALLOCATION OF PREVIOUSLY APPROVED STATE
HOMELAND SECURITY PROGRAM SUBRECIPIENT
AGREEMENT FOR GRANT YEAR 2021 FUNDS TO
MERIDIAN VEHICLE BARRIERS
GLENDORA POLICE DEPARTMENT
CITY COUNCIL MEETING
JUNE 24, 2025
MARC ARCHIBALD, SUPPORT SERVICES SUPERVISOR
EXECUTIVE SUMMARY
The State Homeland Security Grant Program (SHSGP) provides funding for specialized equipment that strengthens event management and enhances law enforcement’s ability to prevent and respond to terrorism.
In Grant Year 2021, the City of Glendora received $72,000 to improve public safety infrastructure. Per FEMA’s Authorized Equipment List (AEL #14SW-01- WALL), funds were to be used to purchase barriers, including fencing and jersey barriers, to support crowd control and security at large public events.
LEGISLATIVE HISTORY/PREVIOUS ACTIONS
The City of Glendora was awarded $72,000 through the SHSGP to enhance public safety infrastructure. The original project, law enforcement bollards, exceeded $300,000 and was not feasible.
To maximize the grant’s impact, staff recommended reallocating funds to expand the City’s FLOCK ALPR camera system.
On March 25, 2025, the City Council approved a two-year agreement with FLOCK Safety Systems to implement additional ALPR units.
DISCUSSION
Due to Federal delays in approving the Environmental and Historic Preservation (EHP) form for the ALPR project, staff is requesting to reallocate the $72,000 SHSGP grant to purchase mobile vehicle barriers to avoid losing the funds.
Homeland Security Grant guidelines permit reallocating funds to other eligible equipment. Staff has coordinated with the grant administrator, and the change has received conditional approval pending Council authorization.
Mobile barriers offer a flexible, effective alternative to fixed bollards, allowing deployment at various locations citywide by a single person. They support secure event perimeters, enhance pedestrian safety, and enable rapid street closures.
FISCAL IMPACT
The total cost, including acquisition, transport, and storage, is $72,000 will be funded using the Homeland Security Grant in Grant Fund 280 included in FY2024-25 Mid-Cycle Budget. No City match is required.
RECOMMENDATION
THAT CITY COUNCIL:
1. Approve the reallocation of the 2021 State
Homeland Security Program grant funds from
Flock ALPR cameras to Meridian barriers with
proprietary trailer and equipment.
2. Authorize the Purchase of 3 vehicle barriers and
deployment equipment from Meridian Rapid
Defense Group based in Pasadena, CA for $72,000,
including taxes and fees.
STAFF REPORT
TO: Mayor and Council Members DATE: June 24, 2025
FROM: Police Department DISTRICT(S): Citywide
SUBJECT: Approval of the State Homeland Security Program (SHSP) Subrecipient Agreement for Grant Year 2023 with the County of Los Angeles, and Authorization to Enter into Agreements with Flock Group, Inc. and Axon Enterprise, Inc. for the Acquisition and Development of Additional Stationary and Mobile Automated License Plate Reader (ALPR) Systems
RECOMMENDATION
That the City Council:
1. Approve the 2023 State Homeland Security Program Subrecipient Agreement with County of Los Angeles;
2. Approve a two-year agreement with Flock Group, Inc., for the use of eleven (11) additional automated license plate readers in the amount of $71,050;
3. Approve a 31-month agreement with Axon Enterprises, Inc., for the expansion of our existing Fleet 3 cameras, activating the existing automated license plate readers technology in eighteen (18) patrol vehicles in the amount of $33,278.94; and
4. Approve an increase in estimate revenues and a supplemental appropriation in the FY2024-25 Midcycle Budget from Grants Fund 280 in the amount of $100,000.
STRATEGIC FOCUS AREAS
Goal 4: Enhance and Modernize the Organization (EMO)
EXECUTIVE SUMMARY
The State Homeland Security Grant Program (SHSGP) was created to support the acquisition of specialized equipment aimed at improving event and incident management while enhancing Law Enforcement’s capacity to disrupt, deter, respond to, and recover from terrorist activities. Modern law enforcement practices incorporate technology to enhance efficiency in serving the community, with ALPR being a key tool. ALPR technology alerts law enforcement to stolen vehicles, wanted individuals, and missing persons, providing valuable crime-fighting tools without extra personnel.
The City of Glendora was awarded funding in the amount of $100,000 through the SHSGP for the enhancement of public safety infrastructure. Among the approved equipment under this grant is the Automated License Plate Readers (ALPR) system (03OE-01-ALPR). ALPR systems utilize imaging technology combined with optical character recognition software to capture and process license plate information and can be fixed, portable, or vehicle-mounted. Staff is proposing working with Flock Group, Inc., for the use of 11 additional automated license plate readers in the amount of $71,050 and Axon Enterprises, Inc., for the expansion of the three existing Fleet cameras and activating automated license plate readers technology in 18 patrol vehicles in the amount of $33,279.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
On May 25, 2021, the City Council approved entering into a two-year agreement to implement the ALPR systems in the City of Glendora with Flock Safety.
On December 12, 2023, City Council approved entering into a Five-Year Master Services Agreement with Flock to continue use of Flock ALPR systems in the City deploying 30 cameras throughout the city.
On March 25, 2025, City Council approved using 2021 SHSGP funds for expansion of FLOCK. Due to federal delays in approving the Environmental and Historic Preservation (EHP) form for the ALPR project, staff proposed reallocating the $72,000 SHSGP grant to purchase mobile vehicle barriers instead of the ALPR cameras, which was presented in a separate agenda item.
DISCUSSION
The City of Glendora was awarded funding through the SHSGP for the enhancement of public safety infrastructure in the amount of $100,000. To maximize the impact of the SHSGP funds, staff recommends utilizing the grant award for the expansion of the FLOCK camera system throughout the City. The City of Glendora has partnered with Flock since 2021, strategically deploying 30 cameras throughout the city. FLOCK cameras provide automated license plate recognition (ALPR) technology, enhancing law enforcement’s ability to monitor and investigate criminal activity effectively. This system has proven instrumental in crime prevention and resolution, making it a valuable investment for the community’s safety. Staff recommends adding 12 cameras, to 11 locations that will enhance preventive policing measures throughout the community.
Grant funds will also allow for the purchase of Axon’s Fleet 3 Automated License Plate Reader (ALPR) system to enhance patrol vehicles with advanced plate-reading capabilities, supplementing the stationary ALPR cameras, with mobile ALPR. The system will turn each vehicle into a mobile ALPR unit, allowing officers to automatically scan license plates while on routine patrol, without diverting their attention from other duties. Fleet 3 offers eight times the plate-reading capacity of traditional systems, can scan plates at high speeds across multiple lanes, and integrates with existing body-worn camera and evidence management platforms. Additionally, this solution is more cost-effective, providing broad fleet coverage at a lower overall investment without any additional hardware purchases as we already possess the hardware. The goal of this purchase is to give police officers better tools to proactively prevent and solve crime, improve efficiency on the street, and enhance public safety in a responsible and transparent manner.
Ensuring efficient and effective law enforcement services remains a top priority for the City of Glendora. Deploying stationary and mobile cameras capable of identifying stolen vehicles, individuals with criminal arrest warrants linked to license plates, suspect vehicles, and other investigations with known vehicle, is a vital tool in modern crime prevention and community caretaking. One key advantage of this technology is its role in combating “burglary crews” from outside the City — groups that break into homes and vehicles, targeting the community. These criminals often use stolen vehicles to conceal their identities while committing crimes. By identifying stolen vehicles and intercepting or apprehending suspects as they enter Glendora, law enforcement can significantly reduce the likelihood of criminal activity. Additionally, this technology has proven effective within the City of Glendora and other jurisdictions, helping recover stolen vehicles, locate missing persons, and apprehend offenders in real time.
ALPR technology is designed to detect and capture specific vehicle-related data, including:
License Plates – Identifying and recording alphanumeric plate information.
Vehicles – Detecting the presence of a vehicle and associated characteristics.
To protect privacy and avoid misuse, Flock does not detect, record, or analyze the following:
Facial Recognition – The system does not identify individuals through facial imaging.
People – It does not track pedestrians or human movement.
Gender & Race – No biometric or demographic profiling is conducted.
Prohibited Uses
Data and services are restricted from being used for:
Immigration Enforcement – The system cannot be utilized for identifying or tracking individuals based on immigration status or shared with immigration officials.
Commercial Purposes – Data cannot be used for marketing, advertising, or business-related activities.
Non-Law Enforcement Use – Agencies must ensure that all searches and data access are directly related to active law enforcement investigations.
Personal Use – Individuals, including law enforcement personnel, are prohibited from using the system for personal inquiries.
Other Unauthorized Activities – Any actions that violate applicable laws, regulations, or agency policies are strictly prohibited.
The City of Glendora has partnered with Flock since 2021. FLOCK cameras provide automated license plate recognition (ALPR) technology, enhancing law enforcement’s ability to monitor and investigate criminal activity effectively. This system has proven instrumental in crime prevention and resolution, making it a valuable investment for the community’s safety.
In 2024, the Glendora Police Department utilized Flock technology in 53 cases to identify potential suspect vehicles, aiding in investigations and enhancing public safety efforts. The system has already been employed in eight cases to date in 2025, demonstrating its continued role in assisting law enforcement with identifying vehicles connected to criminal activity. By leveraging Flock’s advanced data capabilities, officers can efficiently gather critical information while ensuring compliance with legal and privacy regulations.
As a Flock Safety customer, the Police Department for the City of Glendora has access to camera networks in other cities, expanding our investigative reach by allowing investigators to search databases for vehicles linked to cases in our community.
Flock’s closed network is comprised of over 155 law enforcement agencies between Los Angeles, Orange, and Riverside Counties. For example, a neighboring city with Flock technology assisted our Police Department in a missing person investigation in Glendora. The system captured the missing person’s vehicle entering the neighboring city, providing crucial information that helped investigators in their efforts to locate the individual.
Flock enables secure and controlled data sharing with partner agencies on a case-by-case basis, ensuring that all users adhere to standardized access regulations and regular audits. To maintain data integrity and security, any violations of these regulations may result in the suspension or revocation of an agency’s access to the system. Data access is strictly governed by a right-to-know and need-to-know basis, requiring a valid and documented search reason. These measures help ensure that data is used responsibly and solely for legitimate purposes. Additionally, all data is managed under strict policy guidelines and will never be sold, shared, or distributed to external third parties.
Flock is the sole manufacturer and developer of the Flock Safety Camera. Flock is the only company that is compatible for expansion with our current system as it is propriety software. They offer ALPR services through a leasing model, which features an all-inclusive cost structure, covering both equipment and ongoing services without additional expenses.
The Glendora Police Department has utilized Axon’s body worn camera (BWC) and in-car video systems since 2022. Our current Axon Fleet 3 in-car video system hardware is equipped with the ALPR cameras. This feature was not included in our original purchase and therefore not activated, even though we possess the technology. Our patrol fleet is comprised 18 units with in-car video system. Utilizing the technology will expand our ALPR camera network by an additional 18 mobile cameras when activated. This technology will allow for additional safety for our officers by providing timely notifications when they are in close proximity to a vehicle that is wanted, stolen, or listed in association with a missing person.
Axon also enables secure and controlled data staring with partner agencies to create a law enforcement network. Any third party willing to sign Axon’s Partner API Terms of Use may use the Search API to support third-party integrations must follow the Department of Justice guidelines and is strictly governed by a right-to-know and need-to-know basis, requiring a valid and documented search reason.
Axon is the sole manufacturer and developer of the Axon Fleet System. Axon is the only company that that is compatible for expansion with our current fleet system as it is propriety software. They offer ALPR services through a leasing model, which features an all-inclusive cost structure, covering both our existing equipment and ongoing services without additional expenses.
The City’s Purchasing Policy provides an exception to the formal bidding process due to the technical nature of this equipment and the proprietary software to operate and maintain the equipment.
FISCAL IMPACT
The proposed agreements will be funded using the Homeland Security Grant in Grant Fund 280. The increase in estimated revenues and the supplemental appropriation in the amount of $100,000 will cover two years of the agreement with Flock, including the implementation and subscription costs of $71,050 as well as 27 months of the $33,278.34 31-month agreement with Axon. The remaining four months of the agreement with Axon as well as any ongoing subscription costs to continue the expanded program with Flock and Axon, will be considered during future budget processes as part of the Information Technology Fund 553 budget.
ENVIRONMENTAL DETERMINATION
There is no CEQA impacts associated with the recommendations in this report.
Prepared By Marc S. Archibald, Support Services
Supervisor
Concurs With Not Applicable
Reviewed By Michael Randazzo, Chief of Police
Certified to Availability of
Funds
Marie Ricci, Deputy City Manager
Approved By Adam Raymond, City Manager
Legal Review Danny Aleshire, City Attorney
CEQA Review Not Applicable
ATTACHMENTS:
A. Subrecipient Agreement – SHSGP GY2023
B. Flock Master Services Agreement with Exhibits
C. Flock Safety Sole Source Letter
D. Axon Quote
E. Axon Sole Source Letter
F. SHSGP GY2023 - Presentation
Attachments
A. Subrecipient Agrement - SHSGP GY2023.pdf
B. Flock Master Services Agrement with Exhibits.pdf
C. Flock Safety SOle Source Letter.pdf
D. Axon Quote.pdf
E. Axon Sole Source Letter.pdf
F. SHSGP GY2023 - Presentation.pdf
State Homeland Security Program
Subrecipient Agreement
Grant Year 2023
Between the
County of Los Angeles
and the
City of Glendora
SUBRECIPIENT AGREEMENT
BETWEEN THE
COUNTY OF LOS ANGELES
AND
THE CITY OF GLENDORA
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 Glendora, a public agency (the "Subrecipient").
W I T N E S S E T H
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 $100,000, 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 I
INTRODUCTION
§101. Parties to this Agreement
The parties to this Agreement are:
A. County of Los Angeles, a political subdivision of the State of California, having its principal office at Kenneth Hahn Hall of Administration, 500 West Temple Street, Los Angeles, CA 90012; and
B. City of Glendora, a public agency, having its principal office at _______________ ____116 E. Foothill Blvd., Glendora, CA 91741__________________________. §102. Representatives of the Parties and Service of Notices A. The representatives of the respective parties who are authorized to administer this Agreement and to whom formal notices, demands and communications must be given are as follows:
1. The representative of the County of Los Angeles is, unless otherwise stated in this Agreement:
Craig Hirakawa
County of Los Angeles - Chief Executive Office
500 West Temple Street, Room 796
Los Angeles, CA 90012
Phone: (213) 974-1127
[email protected]
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.
§103. Independent Party
Subrecipient is acting hereunder as an independent party, and not as an agent or employee of the County of Los Angeles. An employee of Subrecipient is not, and Mike Randazzo, Chief of Police
076191600
150 S. Glendora Ave.
Glendora, CA 91741
626.914.8262
[email protected]
Marc Archibald, Support Services Supervisor
Glendora Police Department
150 S. Glendora Ave.
Glenodra, CA 91741
626.914.8265
[email protected]
will not be deemed, an employee of the County of Los Angeles by virtue of this Agreement, and Subrecipient must so inform each employee organization and each employee who is hired or retained under this Agreement. Subrecipient must not represent or otherwise hold out itself or any of its directors, officers, partners, employees, or agents to be an agent or employee of the County of Los Angeles by virtue of this Agreement.
§104. Conditions Precedent to Execution of This Agreement Subrecipient must provide the following signed documents to the County of Los Angeles, unless otherwise exempted:
A. Certification and Disclosure Regarding Lobbying, attached hereto as Exhibit A and made a part hereof, in accordance with §411.A.14 of this Agreement.
Subrecipient must also file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of the information contained in any Disclosure Form previously filed by Subrecipient.
B. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions, attached hereto as Exhibit B and made a part hereof, as required by Executive Order 12549 in accordance with §411.A.12 of this Agreement.
C. Certification Regarding Drug-Free Workplace, attached hereto as Exhibit C and made a part hereof, in accordance with §411.A.13 of this Agreement.
D. Certification of Grant Assurances, attached hereto as Exhibit D and made a part hereof, in accordance with §411.C of this Agreement.
SECTION II
TERM AND SERVICES TO BE PROVIDED
§201. 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 §503, below.
§202. Use of Grant Funds
A. Subrecipient and the County of Los Angeles have previously completed a mutually approved budget/expenditure plan, hereinafter "Budget," for the 2023 SHSP, which has been approved by Cal OES. This information is contained in a copy of the Final Grant Award Letter and Project Worksheet, attached hereto as Exhibit E.
Any request by Subrecipient to modify the Budget must be made in writing with the appropriate justification and submitted to CEO for approval. If during the County of Los Angeles review process, additional information or documentation is required, the Subrecipient will have ten (10) business days to comply with the request. If the Subrecipient does not comply with the request, CEO will issue written notification indicating that the requested modification will not be processed. Modifications must be approved in writing by the County of Los Angeles and Cal OES during the term of this Agreement. Upon approval, all other terms of this Agreement will remain in effect.
Subrecipient must utilize grant funds in accordance with all Federal regulations and State Guidelines.
B. Subrecipient agrees that grant funds awarded will be used to supplement existing funds for program activities, and will not supplant (replace) non-Federal funds.
C. Subrecipient must review the Federal Debarment Listing at https://www.sam.gov/search/ prior to the purchase of equipment or services to ensure the intended vendor is not listed and also maintain documentation that the list was verified.
D. Prior to the purchase of equipment or services utilizing a sole source contract or the receipt of single bid response of $250,000.00 or more, justification must be presented to CEO, who upon review will request approval from Cal OES. Such approval in writing must be obtained prior to the commitment of funds.
E. Subrecipient must provide any certifications or reports requested by the County of Los Angeles to the CEO indicating Subrecipient's performance under this Agreement, including progress on meeting program goals. Reports must be in the form requested by the County of Los Angeles, and must be provided by the fifteenth (15th) of the following month. Subrecipient is required to complete any survey requests requested by the County of Los Angeles. Subrecipient must also submit completed Project Claims for reimbursement immediately or a minimum on a quarterly basis, and no later than the date stated in §201, above.
F. Subrecipient must provide an electronic copy of their Annual Single Audit Report, as required by Title 2 Code of Federal Regulations (C.F.R) Part 200, to the County of Los Angeles within 30 calendar days after receipt of the auditor's
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 Subrecipient's 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 onsite 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.
I. 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. Will be consistent with needs as identified in the State Homeland Security Strategy and will be deployed in conformance with that plan;
3. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan.
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.
1. Equipment must be used by Subrecipient in the program or project for which it was acquired as long as needed, whether or not the project or program continues to be supported by Federal funds. When no longer needed for the original program or project, the Equipment may be used in other activities currently or previously supported by a Federal agency.
2. Subrecipient must make Equipment available for use on other like projects or programs currently or previously supported by the Federal Government, providing such use will not interfere with the work on the projects or program for which it was originally acquired. First preference for other use must be given to other programs or projects supported by the awarding agency.
3. An Equipment Listing must be maintained listing each item of Equipment acquired with SHSP funds. The Equipment Listing must be kept up to date at all times. Any changes must be recorded in the Listing within ten (10) business days and the updated Listing is to be forwarded to the County of Los Angeles Auditor-Controller (A-C) Shared Services Division. The Equipment Property Records must be maintained that include: (a) a description of the property, (b) a serial number or other identification number, (c) the source of property, (d) who holds title, (e) the acquisition date, (f) and cost of the property, (g) percentage of Federal participation in the cost of the property, (h) the location, (i) use and condition of the
property, (j) 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.gov/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. Subrecipient 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 Ill
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. The County of Los Angeles will reimburse Subrecipient up to the maximum grant amount of $100,000 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 §201, 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 class 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 final 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
§301.A., above, will not be utilized. As provided in §503, below, any increase or decrease in the grant amount specified in §301.A., above, may be effectuated by a written notification by the County of Los Angeles to the Subrecipient.
D. Payment of reimbursement request will be withheld by the County of Los Angeles until the County of Los Angeles has determined that Subrecipient has turned in all supporting documentation and completed the requirements of this Agreement.
E. It is understood that the County of Los Angeles makes no commitment to fund this Agreement beyond the terms set forth herein.
F. 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
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and do not, and will not be deemed to, affect the meaning or construction of any of the terms or provisions hereof. The language of this Agreement will be construed according to its fair meaning and not strictly for or against either party. §402. 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.
§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to the subject matter hereof, and replaces any and all previous agreements or understandings, whether written or oral, relating thereto. This Agreement may be amended only as provided for herein.
§404. Breach
If any party fails to perform, in whole or in part, any promise, covenant, or agreement set forth herein, or should any representation made by it be untrue, any aggrieved party may avail itself of all rights and remedies, at law or equity, in the courts of law. Said rights and remedies are cumulative of those provided for herein except that in all events, no party may recover more than once, suffer a penalty or forfeiture, or be unjustly compensated.
§405. Prohibition Against Assignment 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. §406. Permits
Subrecipient and its officers, agents and employees must obtain and maintain all permits and licenses necessary for Subrecipient's performance hereunder and must pay any fees required therefor. Subrecipient further certifies that it will immediately notify the County of Los Angeles of any suspension, termination, lapse, non-renewal or restriction of licenses, certificates, or other documents. §407. Nondiscrimination and Affirmative Action
Subrecipient must comply with the applicable nondiscrimination and affirmative action provisions of the laws of the United States of America, the State of California, and the County of Los Angeles. In performing this Agreement, Subrecipient must not discriminate in its employment practices against any employee or applicant for employment because of such person's race, religion,
national origin, ancestry, sex, sexual orientation, age, physical handicap, mental disability, marital status, domestic partner status or medical condition.
Subrecipient must comply with Executive Order 11246, entitled "Equal Employment Opportunity," as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CFR Part 60).
If required, Subrecipient must submit an Equal Employment Opportunity Plan to the Department of Justice Office of Civil Rights in accordance with guidelines listed at https://www.justice.gov/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 §407 of this Agreement.
§408. Indemnification
Each of the parties to this Agreement is a public entity. This indemnity provision is written in contemplation of the provisions of Section 895.2 of the Government Code of the State of California, which impose certain tort liability jointly upon public entities, solely by reason of such entities being parties to an agreement, and the parties agree that this 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.
§409. Conflict of Interest
A. The Subrecipient covenants that none of its directors, officers, employees, or agents may participate in selecting, or administrating, any subcontract supported (in whole or in part) by Federal funds where such person is a director, officer, employee or agent of the subcontractor; or where the selection of subcontractors is or has the appearance of being motivated by a desire for personal gain for themselves or others such as family business, etc.; or where such person knows or should have known that:
1. A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is negotiating any prospective employment; or
3. The participation of such person would be prohibited by the California Political Reform Act, California Government Code §87100 et seq. if such person were a public officer, because such person would have a "financial or other interest" in the subcontract.
B. Definitions:
1. The term "immediate family" means domestic partner and/or those persons related by blood or marriage, such as husband, wife, father, mother, brother, sister, son, daughter, father in law, mother in law, brother in law, sister in law, son in law, daughter in law.
2. The term "financial or other interest" means:
a. Any direct or indirect financial interest in the specific contract, including but not limited to, a commission or fee, a share of the proceeds, prospect of a promotion or of future employment, a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor ownership:
partnership interest or other beneficial interest of five percent or more; ownership of five percent or more of the stock; employment in 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.).
§411. Statutes and Regulations Applicable To All Grant Contracts A. Subrecipient must comply with all applicable requirements of State, Federal, and County of Los Angeles laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. Subrecipient must comply with applicable State and Federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. Subrecipient must comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement.
These requirements include, but are not limited to:
1. CFR
Subrecipient must comply with Title 2 CFR Part 200.
2. 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 §§12101 et seq., and its implementing regulations. Subrecipient will provide reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the Americans with Disabilities Act. Subrecipient will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any subcontract entered into by Subrecipient, relating to this Agreement, to the extent allowed hereunder, will be subject to the provisions of this paragraph.
4. Political and Sectarian 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 subawards 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. §§4728-4763) relating to prescribed requirements for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit System Personnel Administration (5 CFR 900, Subpart F).
Subrecipient must, as applicable, comply with the provisions of the DavisBacon Act (40 U.S.C. §§276a to 276a-7); the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874); the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally-assisted construction subagreements; and the Hatch Act (5 USC §§1501-1508 and 7324-7328).
Subrecipient must, as applicable, comply with the Federal Fair Labor Standards Act (29 U.S.C. §201) regarding wages and hours of employment.
None of the funds may be used to promote or deter union/labor organizing activities. CA Gov't Code Sec. 16645 et seq.
9. Civil Rights
Subrecipient must, as applicable, comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352), which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of disabilities; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to non-discrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; 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.Environmental
Subrecipient must, as applicable, comply, or has already complied, with the requirements of Titles II and Ill of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646), which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases.
Subrecipient must, as applicable, comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93- 523); (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93205); and (i) Flood Disaster Protection Act of 1973 §102(a) (P.L. 93-234).
Subrecipient must, as applicable, comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.
Subrecipient must, as applicable, comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.), which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.
Subrecipient must, as applicable, comply with the Federal Water Pollution Control Act (33 U.S.C. §1251 et seq.), which restores and maintains the chemical, physical and biological integrity of the Nation's waters.
Subrecipient must, as applicable, ensure that the facilities under its ownership, lease or supervision that are utilized in the accomplishment of this project are not listed in the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal 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 §21000 et seq.
Subrecipient must, as applicable, comply with the Energy Policy and Conservation Act (P.L. 94-163, 89 Stat. 871).
Subrecipient must, as applicable, comply with the provision of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 U.S.C. 3501 et. seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System.
11.Preservation
Subrecipient must, as applicable, comply with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 et seq.).
12.Suspension, Debarment, Ineligibility and Voluntary Exclusion Subrecipient must, as applicable, comply with Title 2 CFR Part §3000, regarding Suspension and Debarment, and Subrecipient must submit a Certification Regarding Debarment, attached hereto as Exhibit B, required by Executive Order 12549 and any amendment thereto. Said Certification must be submitted to the County of Los Angeles concurrent with the execution of this Agreement and must certify that neither Subrecipient nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any Federal department head or agency. Subrecipient must require that the language of this Certification be included in the award documents for all sub-award at all tiers and that all subcontractors certify accordingly.
13.Drug-Free Workplace
Subrecipient must, as applicable, comply with the federal Drug-Free Workplace Act of 1988, 41 USC §701, Title 44 Code of Federal Regulations (CFR) Part §17; the California Drug-Free Workplace Act of 1990, CA Gov't Code §§8350-8357, and Subrecipient must complete the Certification Regarding Drug-Free Workplace Requirements, attached hereto as Exhibit C, and incorporated herein by reference. Subrecipient must require that the language of this Certification be included in the award documents for all subaward at all tiers and that all subcontractors certify accordingly.
14.Lobbying Activities
Subrecipient must, as applicable, comply with 31 U.S.C.1352 and complete the Disclosure of Lobbying Activities, (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 1966, as amended (P.L. 89-544, 7 USC §§2131 et seq.).
B. Statutes and Regulations Applicable To This Particular Grant Agreement Subrecipient must comply with all applicable requirements of State and Federal laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this particular grant program.
Subrecipient must, as applicable, comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement.
These requirements include, but are not limited to:
Title 2 CFR Part 200; EO 12372; U.S. Department of Homeland Security, Office of State and Local Government Coordination and Preparedness, Office for Domestic Preparedness, ODP 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 Title 2, §8607.1(e) and CCR Title 19, §§2445-2448.
Provisions of Title 2, 6, 28, 44 CFR applicable to grants and cooperative agreements, including Part 18, Administrative Review Procedures; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability in State and Local Government Services; Part 38, Equal Treatment of Faith-based 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.
§412. Federal, State and Local Taxes
Federal, State and local taxes are the responsibility of the Subrecipient as an independent party and not of the County of Los Angeles and must be paid prior to requesting reimbursement. However, these taxes are an allowable expense under the grant program.
§413. Inventions, Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery ("Invention") patentable or otherwise under Title 35 of the U.S. Code, including, without limitation, processes and business methods made in the course of work under this Agreement, the Subrecipient must report the fact and disclose the Invention promptly and fully to the County of Los Angeles. The County of Los Angeles will report the fact and disclose the Invention to the State. Unless there is a prior agreement between the County of Los Angeles and the State, the State will determine whether to seek protection on the Invention. The State will determine how the rights in the Invention, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the policy ("Policy") embodied in the Federal Acquisition Regulations System, which is based on Ch. 18 of Title 35 U.S.C. Sections 200 et seq. (Pub. L. 95-517, Pub. L. 98-620, Title 37 CFR Part 401); Presidential Memorandum on Government Patent Policy to the Heads of the Executive Departments and Agencies, dated 2/18/1983); and Executive Order 12591, 4/10/87, 52 FR 13414, Title 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR 48661, Title 3 CFR, 1987 Comp., p. 262). Subrecipient hereby agrees to be bound by the Policy, and will contractually require its personnel to be bound by the Policy.
B. Rights to Use Inventions
As applicable, County of Los Angeles will have an unencumbered right, and a non-exclusive, irrevocable, royalty-free license to use, manufacture, improve upon, and allow others to do so for all government purposes, any Invention developed under this Agreement.
C. Copyright Policy
1. Unless otherwise provided by the State or the terms of this Agreement, when copyrightable material ("Material") is developed under this Agreement, the County of Los Angeles, at its discretion, may copyright the Material. If the County of Los Angeles declines to copyright the Material, the County of Los Angeles will have an unencumbered right, and a non-exclusive, irrevocable, royalty-free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement.
2. The State will have an unencumbered right, and a non-exclusive, irrevocable, royalty-free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement or any Copyright purchased under this Agreement.
3. Subrecipient must comply with Title 24 CFR 85.34.
D. Rights to Data
The State and the County of Los Angeles will have unlimited rights or copyright license to any data first produced or delivered under this Agreement. "Unlimited rights" means the right to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform and display publicly, or permit others to do so; as required by Title 48 CFR 27.401. Where the data are not first produced under this Agreement or are published copyrighted data with the notice of 17 U.S.C. Section 401 or 402, the State acquires the data under a copyright license as set forth in Title 48 CFR 27.404(f)(2) instead of unlimited rights. (Title 48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
Subrecipient must require all subcontractors to comply with the obligations of this section by incorporating the terms of this section into all subcontracts. §414. Child Support Assignment Orders
Under the terms of this Agreement, Subrecipient must, as applicable, comply with California Family Code Section 5230 et seq.
§415. Minority, Women, And Other Business Enterprise Outreach Program It is the policy of the County of Los Angeles to provide Minority Business Enterprises, Women Business Enterprises and all other business enterprises an equal opportunity to participate in the performance of all Subrecipient's contracts,
including procurement, construction and personal services. This policy applies to all of the Subrecipient's contractors and sub-contractors. §416. Compliance with Fair Chance Employment Practices
Subrecipient shall comply with fair chance employment hiring practices set forth in California Government Code Section 12952, Employment Discrimination:
Conviction History. Subrecipient's violation of this paragraph of the Agreement may constitute a material breach of the Agreement. In the event of such material breach, County of Los Angeles may, in its sole discretion, terminate the Agreement.
§417. Method of 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
§501. Defaults
Should either party fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Agreement, the non-breaching party reserves the right to terminate the Agreement, reserving all rights under State and Federal law.
§502. 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.
§503. Amendments
Except as otherwise provided in this paragraph, any change in the terms of this Agreement, including changes in the services to be performed by Subrecipient, that are agreed to by the Subrecipient and the County of Los Angeles must be incorporated into this Agreement by a written amendment properly signed by persons who are authorized to bind the parties. Notwithstanding the foregoing, any increase or decrease of the grant amount specified in §301.A., above, or any extension of the performance period specified in §201, above, does not require a written amendment, but may be effectuated by a written notification by the County of Los Angeles to the Subrecipient.
SECTION VI
ENTIRE AGREEMENT
§601. Complete 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.
§602. Number of Pages 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 Date
Chief Executive Officer
BY ______________________________
EDWARD YEN
Executive Officer, Board of Supervisors
BY ______________________________
OSCAR VALDEZ
Auditor-Controller
APPROVED AS TO FORM
DAWYN R. HARRISON
County Counsel
BY
Deputy County Counsel
CITY OF GLENDORA
BY ___________________________________________________ _________________ City Representative/Title (Signature) (Print Name) Date
APPROVED AS TO FORM
BY ___________________________________________________ _________________ City Attorney (Signature – If Needed) (Print Name) Date ATTEST
BY ___________________________________________________ _________________ City Clerk (Signature – If Needed) (Print Name) Date
EXHIBITS
Exhibit A Certification and Disclosure Regarding Lobbying Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions
Exhibit C Certification Regarding Drug Free Workplace
Exhibit D Certification of Grant Assurances
Exhibit E Final Grant Award Letter and Project Worksheet Exhibit F 2023 Notice of Funding Opportunity & 2023 Cal OES Supplemental to Federal Notice of Funding Opportunity
Exhibit G Reimbursement Form and Instructions
Exhibit H Monitoring Instrument
City of Glendora
Mike Randazzo
Chief of Police
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION
LOWER TIER COVERED TRANSACTIONS
This certification is required by the regulations Implementing Executive Order 12549, Debarment and Suspension, 24 CFR Part 24 Section 24.510, Participants' responsibilities.
(READ ATTACHED INSTRUCTIONS FOR CERTIFICATION BEFORE
COMPLETING)
1. The prospective recipient of Federal assistance funds certifies that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.
2. Where the prospective recipient of Federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.
AGREEMENT NUMBER
CONTRACTOR/BORROWER/AGENCY
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE DATE
EXHIBIT B
City of Glendora
Mike Randazzo, Chief of Police
STATE OF CALIFORNIA
DRUG-FREE WORKPLACE CERTIFICATION
STD. 21
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 workplace, (c) Any available counseling, rehabilitation and employee assistance programs, and (d) Penalties that may be imposed upon employees for drug abuse violations.
3. Provide as required by Government Code Section 8355(c), that every employee who works on the proposed contract or subgrant:
(a) Will receive a copy of the company’s drug-free policy statement, and (b) Will agree to abide by the terms of the company’s statement as a condition of employment on the contract or subgrant.
CERTIFICATION
I, the official named below, hereby swear that I am duly authorized legally to bind the contractor or Recipient to the above described certification. I am fully aware that this certification, executed on the date and in the county below, is made under penalty of perjury under the laws of the State of California.
OFFICAL’S NAME DATE EXECUTED
EXECUTED IN THE COUNTY OF
CONTRACTOR or RECEIPEINT SIGNATURE
TITLE
FEDERAL I.D. NUMBER
City of Glendora
Mike Randazzo
Los Angeles
Chief of Police
95-6000715
STATEMENT ON THE DRUG-FREE WORKPLACE
To comply with the enactment of Senate Bill 1120, (Chapter 1170, Statutes of 1990), which established the Drug-Free Workplace Act of 1990, the City of Glendora (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. [Section 8355(b)(1)]
California law prohibits the unlawful manufacture, dispensation, possession, or illegal use of a controlled substance. That prohibition extends to all places and includes the worksite of California state employees. [Section 8355(a)]
Employees convicted of a violation of criminal drug statute, when the violation occurred at an employee’s worksite, shall report the conviction to the granting and monitoring State agency upon conviction. [Section 8356(a)(1)(2)]
In the event of the unlawful manufacture, distribution, dispensation, possession or illegal use of a controlled substance at a State worksite, the State may take disciplinary action pursuant to the law and/or require the satisfactory completion of a drug abuse assistance or rehabilitation program. [Section 8355(b)(4)] The Employee Assistance Program (EAP) provides drug problem assessment and referral to appropriate counseling and rehabilitation services. The EAP is available to all agency employees. Procedures exist to ensure the confidentiality of EAP records. Contact your personnel office for further information.
It is the intent of theCityofGlendora (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)]
City of Glendora
City of Glendora
Chief of Police
Fesia Davenport
City of Glendora Ledger Type Initial Application
FY 2023 State Homeland Security Program (SHSP) Projects Date 12/6/2023 Cal OES ID: 037-00000 Request # 0
Grant #: 2023-0042 POP Start Date 9/1/2023
POP End Date 5/31/2026
IJ Project No. Project Title Project Decription Funding Source Discipline Solution Area Core Capability Capability Building
Deployable /
Shareable
Supports Previous
Awarded Investment? Total Approved Total Expended Remaining Balance Percentage Expended $ 100,000.00
IJ.04 034 LE P25 Portable Radios 1
Project funds the City of Glendora's purchase of 50 P25 compliant portable all spectrum / band radios to enhance interoperable communications throughout the Los Angeles County region as well as out of area roaming and audio encryption. Radios will provide connectivity between local and interagency organizations to coordinate public safety responses in support of homeland security. This activity meets HSGP’s LETPA requirement because Interoperable Communications is on the list of allowable equipment articled in Information Bulletin 485 and the Fiscal Year 2007 Law Enforcement Terrorism Prevention Program Guidance. The portable radios being purchased here has a law enforcement terrorism prevention nexus as it will be used by law enforcement officers for anti-terrorism activities such as responding with law enforcement agencies to respond to threats to homeland security and acts of terrorism.”
HSGP-SHSP LE Equipment Operational
Communications Build Deployable FY21; IJ#6 $ 100,000 $ - $ 100,000 0% HSGP-SHSP $ - #DIV/0!
HSGP-SHSP $ - #DIV/0!
HSGP-SHSP $ - #DIV/0!
HSGP-SHSP $ - #DIV/0!
HSGP-SHSP $ - #DIV/0!
National Priority Area (NPA) Totals: $ - $ 100,000.00
PROJECT LEDGER
EXHIBIT E
City of Glendora Ledger Type
FY 2023 State Homeland Security Program (SHSP) Projects Date Cal OES ID: 037-00000 Request #
Grant #: 2023-0042 POP Start Date
POP End Date
Project No. Equipment Description
(include Quantity) AEL # AEL Title Discipline Solution AreaSub-Category Deployable /
Shareable
Invoice
Number Vendor ID Tag Number Condition/Disposition
Deployed
Location
Acquisition
Date
Noncompetitive
Procurement
over $250K
Hold Trigger Approval
Date
Total
Approved
Total
Expended
Remaining
Balance
Percentage
Expended
$ 100,000.00
34 50 P25 compliant portable all spectrum /
band radios to enhance interoperable
communications throughout the Los Angeles
County region as well as out of area roaming
and audio encryption.
06CP-01-PORT Radio, Portable LE
06 - Interoperable
Communications
Equipment
Deployable No N/A $ 100,000 $ - $ 100,000 0%
$ - #DIV/0!
$ - #DIV/0!
$ - #DIV/0!
$ - #DIV/0!
$ - #DIV/0!
National Priority Area (NPA) Totals $ - $ 100,000.00
EQUIPMENT
0 9/1/2023
5/31/2026
Initial Application
12/6/2023
EXHIBIT E
1 FY 2023 HSGP NOFO Back to the Top
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/entity-registration. Grants.gov registration information can be found at https://www.grants.gov/web/grants/register.html. Planned UEI Updates in Grant Application Forms:
On April 4, 2022, the Data Universal Numbering System (DUNS) Number was replaced by a new, non-proprietary identifier requested in, and assigned by, the System for Award Management (SAM.gov). This new identifier is the Unique Entity Identifier (UEI).
Additional Information can be found on Grants.gov:
https://www.grants.gov/web/grants/forms/planned-uei-updates.html Table of Contents
Planned UEI Updates in Grant Application Forms: ................................................................ 1 A. Program Description ................................................................................................................ 4
1. Issued By .......................................................................................................................... 4
2. Assistance Listings Number ............................................................................................ 4
3. Assistance Listings Title .................................................................................................. 4
4. Funding Opportunity Title ............................................................................................... 4
5. Funding Opportunity Number.......................................................................................... 4
6. Authorizing Authority for Program ................................................................................. 4
7. Appropriation Authority for Program .............................................................................. 4
8. Announcement Type ........................................................................................................ 4
9. Program Category ............................................................................................................ 4
10. Program Overview, Objectives, and Priorities ................................................................ 4
11. Performance Measures ................................................................................................... 11 B. Federal Award Information ................................................................................................... 11
1. Available Funding for the NOFO: $1,120,000,000 .................................................... 11
2. Projected Number of Awards: 56 .............................................................................. 16
3. Period of Performance: 36 months .......................................................................... 16
4. Projected Period of Performance Start Date(s): 09/1/2023 ........................................... 16
5. Projected Period of Performance End Date(s): 8/31/2026 ............................................ 16
6. Funding Instrument Type: Grant ............................................................................... 16 C. Eligibility Information ........................................................................................................... 16
1. Eligible Applicants......................................................................................................... 16
2. Applicant Eligibility Criteria ......................................................................................... 16
EXHIBIT F
2 FY 2023 HSGP NOFO Back to the Top
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 D. Application and Submission Information .............................................................................. 19
1. 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
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
5. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application ......................................................... 20
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
11. 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 ................................................................................................... 33 b. Pre-Award Costs ........................................................................................................ 35 c. Management and Administration (M&A) Costs ....................................................... 35 d. Indirect Facilities & Administrative (F&A) Costs .................................................... 37 e. Funds Transfer Restrictions ....................................................................................... 37 f. Other Direct Costs ..................................................................................................... 37 E. Application Review Information ........................................................................................... 44
1. Application Evaluation Criteria ..................................................................................... 44 a. Programmatic Criteria ............................................................................................... 44 b. Financial Integrity Criteria ........................................................................................ 45 c. Supplemental Financial Integrity Criteria and Review ............................................. 45
2. Review and Selection Process ....................................................................................... 46 F. Federal Award Administration Information .......................................................................... 49
1. Notice of Award ............................................................................................................. 49
2. Pass-Through Requirements .......................................................................................... 49
3. Administrative and National Policy Requirements ........................................................ 51
EXHIBIT F
3 FY 2023 HSGP NOFO Back to the Top
a. DHS Standard Terms and Conditions ....................................................................... 51 b. Ensuring the Protection of Civil Rights .................................................................... 52 c. Environmental Planning and Historic Preservation (EHP) Compliance ................... 52 d. National Incident Management System (NIMS) Implementation ............................ 54 e. Emergency Communications Investments ................................................................ 54
4. Reporting........................................................................................................................ 55
5. Monitoring and Oversight .............................................................................................. 55 G. DHS Awarding Agency Contact Information ....................................................................... 56
1. Contact and Resource Information ................................................................................ 56 a. Program Office Contact ............................................................................................. 56 b. Centralized Scheduling and Information Desk (CSID) ............................................. 56 c. Grant Programs Directorate (GPD) Award Administration Division ....................... 56 d. Equal Rights .............................................................................................................. 56 e. Environmental Planning and Historic Preservation .................................................. 56
2. Systems Information ...................................................................................................... 56 a. Grants.gov ................................................................................................................. 56 b. Non-Disaster (ND) Grants ......................................................................................... 57 c. Payment and Reporting System (PARS) ................................................................... 57 H. Additional Information .......................................................................................................... 57
1. Termination Provisions .................................................................................................. 57 a. Noncompliance .......................................................................................................... 57 b. With the Consent of the Recipient ............................................................................ 58 c. Notification by the Recipient .................................................................................... 58
2. Program Evaluation ....................................................................................................... 58
3. Period of Performance Extensions ................................................................................. 58
4. Financial Assistance Programs for Infrastructure .......................................................... 59 a. Build America, Buy America Act ............................................................................. 59 b. Waivers ...................................................................................................................... 59 c. Definitions ................................................................................................................. 60
EXHIBIT F
4 FY 2023 HSGP NOFO Back to the Top
A. Program Description
Issued By
U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/Grant Programs Directorate (GPD)
Assistance Listings Number
97.067
Assistance Listings Title
Homeland Security Grant Program
Funding Opportunity Title
Fiscal Year 2023 Homeland Security Grant Program (HSGP) State Homeland Security Program (SHSP)
Urban Area Security Initiative (UASI)
Operation Stonegarden (OPSG)
Funding Opportunity Number
DHS-23-GPD-067-00-0
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)
Appropriation Authority for Program
Consolidated Appropriations Act, 2023 (Pub. L. No. 117-328) Announcement Type
Initial
Program Category
Preparedness: Community Security
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.
EXHIBIT F
5 FY 2023 HSGP NOFO Back to the Top
In FY 2023, there are three components of the HSGP:
1) State Homeland Security 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 Security 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 nation1
. 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. 1Strategic Intelligence Assessment and Data on Domestic Terrorism, Federal Bureau of Investigation and Department of Homeland Security, May 2021.
EXHIBIT F
6 FY 2023 HSGP NOFO Back to the Top
c. 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 UASI funds that each recipient will be required to allocate:
1) Enhancing the protection of soft targets/crowded places – 3% 2) Enhancing information and intelligence sharing and analysis – 3% 3) Combating domestic violent extremism – 3%
4) Enhancing cybersecurity – no minimum percent
5) Enhancing community preparedness and resilience – 3% 6) Enhancing election security – 3%
Additional information about these priority areas and how they relate to achieving antiterrorism 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.
Likewise, 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. 2
Including assessment of critical infrastructure system vulnerabilities and plans to reduce consequences of disruptions, using the Infrastructure Resilience Planning Framework and Regional Resiliency Assessment Methodology produced by the Cybersecurity and Infrastructure Security Agency.
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The table below provides a breakdown of the FY 2023 SHSP and UASI priorities (the focus of OPSG remains unique to border security), showing 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 UASI Funding Priorities
All priorities in this table concern Safety and Security Lifelines.
Priority Areas Core Capabilities Example Project Types
National Priorities
Enhancing
Cybersecurity
Cybersecurity
Intelligence and information
sharing
Planning
Public information and warning
Operational coordination
Screening, search, and detection
Access control and identity
verification
Supply chain integrity and
security
Risk management for protection
programs and activities
Long-term vulnerability
reduction
Situational assessment
Infrastructure systems
Operational communications
Cybersecurity risk assessments
Migrating online services to the “.gov” internet domain Projects that address vulnerabilities identified in
cybersecurity risk assessments
o Improving cybersecurity of critical infrastructure to meet minimum levels identified by the Cybersecurity
and Infrastructure Security Agency (CISA), and the
National Institute of Standards and Technology
Cybersecurity Framework
o Adoption of cybersecurity performance goals (CrossSector Cybersecurity Performance Goals | CISA) o Cybersecurity training and planning
Enhancing the
Protection of
Soft Targets/
Crowded Places
Operational coordination
Public information and warning
Intelligence and information
sharing
Interdiction and disruption
Screening, search, and detection
Access control and identity
verification
Physical protective measures
Risk management for protection
programs and activities
Operational overtime. For more information on
operational overtime, see Section D.14.f of this NOFO.
Physical security enhancements
o Security cameras (closed-circuit television [CCTV])
o Security screening equipment for people and baggage
o Lighting
o Access controls
o Fencing, gates, barriers, etc. Unmanned aircraft system detection technologies Enhancing
information and
intelligence
Intelligence and information
sharing
Interdiction and disruption
Planning
Public information and warning
Fusion center operations (Fusion Center project will be required under this investment, no longer as a standalone investment) Information sharing with all DHS components; fusion
centers; other operational, investigative, and analytic
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8 FY 2023 HSGP NOFO Back to the Top
Priority Areas Core Capabilities Example Project Types
sharing and
analysis
Operational coordination
Risk management for protection
programs and activities
entities; and other federal law enforcement 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
Combating
Domestic
Violent
Extremism
Interdiction and disruption
Intelligence and information
sharing
Planning
Public information and warning
Operational coordination
Risk management for protection
programs and activities
Open-source analysis of disinformation and
misinformation campaigns, targeted violence and threats to life, including tips/leads, and online/social mediabased 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
Enhancing
Community
Preparedness and
Resilience
Planning
Public Information and
Warning
Community Resilience
Risk Management for
Protection Programs and
Activities
Mass Care Services
Intelligence and Information
Sharing
Risk and Disaster Resilience
Assessment
Long Term Vulnerability
Reduction
Establish, train, and maintain Community Emergency
Response Teams (CERT) and Teen CERT, with a focus
on historically 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 continuity 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 with completing the Emergency Financial First Aid Kit or a similar tool to bolster the disaster centric financial resilience of individuals and households
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 Ready2Help
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9 FY 2023 HSGP NOFO Back to the Top
Priority Areas Core Capabilities Example Project Types
Promote community planning, coordination, 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 key
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.
Support integrated and cross-jurisdictional preparedness planning that considers how 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.
Enhancing
Election Security
Cybersecurity
Intelligence and information
sharing
Planning
Long-term vulnerability
reduction
Situational assessment
Infrastructure systems
Operational coordination
Community resilience
Physical security planning support
Physical/site security measures – e.g., locks, shatter
proof glass, alarms, access controls, etc.
General election security navigator support
Cyber navigator support
Cybersecurity risk assessments, training, and planning
Projects that address vulnerabilities identified in
cybersecurity risk assessments
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 awareness/preparedness campaigns discussing
election security and integrity measures.
Enduring Needs
Planning Planning
Risk management for protection
programs and activities
Risk and disaster resilience
assessment
Threats and hazards
identification
Operational coordination
Community resilience
Development of:
o Security Risk Management Plans
o Threat Mitigation Plans
o Continuity of Operations Plans
o Response Plans
Efforts to strengthen governance integration
between/among regional partners
Joint training and planning with DHS officials and other entities designated by DHS
Cybersecurity training and planning
Revision of existing plans to strengthen community
resilience in underserved communities
Training and
Awareness
Long-term vulnerability
reduction
Public information and warning
Operational coordination
Situational assessment
Active shooter training
Intelligence analyst training
SAR and terrorism indicators/behaviors training
Security training for employees
Public awareness/preparedness campaigns
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For FY 2023, each SHSP and UASI recipient is required to submit an Investment Justification (IJ) 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 | FEMA.gov. Detailed information on THIRA/SPR timelines and deadlines can be found in the Preparedness Grants Manual. OPSG Funding Priorities Priority Areas Core Capabilities Example Project Types
Community resilience 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
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
Protection of high-risk, high-consequence areas or
systems that have been identified through risk
assessments
Physical 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
response equipment
Exercises Long-term vulnerability
reduction
Operational coordination
Operational communications
Community resilience
Response exercises, including exercise planning with
community-based organizations
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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
Priority Areas Core Capabilities Lifelines Example Project Types National Priorities
Enhancing
information and
intelligence
sharing and
analysis, and
cooperation with
federal agencies,
including DHS
Intelligence and
information sharing
Safety and
Security
Participation in the DHS/ICE 287(g) training
program
Information sharing with all DHS components;
fusion centers; other operational, investigative, and
analytic entities; and other federal law enforcement
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
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 UASI:
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: $1,120,000,000
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HSGP Programs FY 2023 Allocation
SHSP $415,000,000
UASI $615,000,000
OPSG $90,000,000
Total $1,120,000,000
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 Act of 2002, as amended. THIRA/SPR results do not impact grant allocations or awards. Each state and territory will receive a minimum allocation under the SHSP using thresholds established in the Homeland Security Act of 2002, as amended. All 50 States, the District of Columbia, and the Commonwealth of Puerto Rico will receive 0.35% of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 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 Act of 2002, as amended.
Each state must include a separate IJ for each of the five National Priority Areas with 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 Priority 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.
FY 2023 SHSP ALLOCATIONS
State/Territory FY 2023
Allocation
State/Territory FY 2023
Allocation
Alabama $4,847,500 Montana $4,847,500
Alaska $4,847,500 Nebraska $4,847,500
American Samoa $1,108,000 Nevada $4,847,500
Arizona $4,847,500 New Hampshire $4,847,500
Arkansas $4,847,500 New Jersey $7,074,841
California $57,035,623 New Mexico $4,847,500
Colorado $4,847,500 New York $68,033,267
Connecticut $4,847,500 North Carolina $5,085,387
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State/Territory FY 2023
Allocation
State/Territory FY 2023
Allocation
Delaware $4,847,500 North Dakota $4,847,500
District of Columbia $5,085,387 Northern Mariana Islands $1,108,000 Florida $9,343,905 Ohio $6,190,947
Georgia $5,288,656 Oklahoma $4,847,500
Guam $1,108,000 Oregon $4,847,500
Hawaii $4,847,500 Pennsylvania $8,136,252
Idaho $4,847,500 Puerto Rico $4,847,500
Illinois $13,894,910 Rhode Island $4,847,500
Indiana $4,847,500 South Carolina $4,847,500
Iowa $4,847,500 South Dakota $4,847,500
Kansas $4,847,500 Tennessee $4,847,500
Kentucky $4,847,500 Texas $18,210,451
Louisiana $4,847,500 U.S. Virgin Islands $1,108,000
Maine $4,847,500 Utah $4,847,500
Maryland $7,074,841 Vermont $4,847,500
Massachusetts $6,190,947 Virginia $8,136,252
Michigan $5,085,387 Washington $6,190,947
Minnesota $4,847,500 West Virginia $4,847,500
Mississippi $4,847,500 Wisconsin $4,847,500
Missouri $4,847,500 Wyoming $4,847,500
Total $415,000,000
UASI Allocations
Eligible candidates for the FY 2023 UASI program are identified in the table below.
Eligibility has been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSA) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at 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 MSAs, 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 UASI allocations for each high-risk urban area based on DHS/FEMA’s relative risk methodology pursuant to the Homeland Security Act of 2002, as amended.
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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
State/Territory Urban Area FY 2023 UASI Allocation
Arizona Phoenix Area $5,250,000
California
Anaheim/Santa Ana Area $5,250,000
Bay Area $36,493,265
Los Angeles/Long Beach Area $66,174,270
Riverside Area $3,900,000
Sacramento Area $3,800,000
San Diego Area $16,445,560
Colorado Denver Area $3,900,000
District of Columbia National Capital Region $50,360,095 Florida
Jacksonville Area $1,500,000
Miami/Fort Lauderdale Area $14,528,750
Orlando Area $3,800,000
Tampa Area $3,800,000
Georgia Atlanta Area $7,700,000
Hawaii Honolulu Area $1,500,000
Illinois Chicago Area $66,174,270
Indiana Indianapolis Area $1,645,333
Louisiana New Orleans Area $1,645,333
Maryland Baltimore Area $3,800,000
Massachusetts Boston Area $16,646,500
Michigan Detroit Area $5,250,000
Minnesota Twin Cities Area $5,250,000
Missouri Kansas City Area $1,645,333
St. Louis Area $3,800,000
Nevada Las Vegas Area $5,250,000
New Jersey Jersey City/Newark Area $18,631,275
New York New York City Area $173,950,017
North Carolina Charlotte Area $3,800,000
Ohio Cincinnati Area $1,645,333
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State/Territory Urban Area FY 2023 UASI Allocation
Cleveland Area $1,645,333
Oregon Portland Area $3,800,000
Pennsylvania Philadelphia Area $16,646,500
Pittsburgh Area $1,645,333
Tennessee Nashville Area $1,500,000
Texas
Austin Area $1,500,000
Dallas/Fort Worth/Arlington Area $16,646,500
Houston Area $24,231,000
San Antonio Area $3,800,000
Virginia Hampton Roads Area $3,800,000
Washington Seattle Area $6,250,000
Total $615,000,000
OPSG Allocations
For FY 2023, DHS/FEMA will award OPSG funds based on risk and the anticipated effectiveness of the proposed use of grant funds upon completion of the application review process. The FY 2023 OPSG risk assessment is designed to identify the risk to border security and to assist with the distribution of funds for the grant program. Funding under OPSG is distributed based on the risk to the security of the border and the effectiveness of the proposed projects. Entities eligible for funding are the state, local, and tribal law enforcement agencies that are located along the border of the United States. DHS/FEMA will make final award determinations based upon a review of the anticipated effectiveness of the state’s application as described in Section D, below. 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 reviews, DHS/CBP continues to focus the bulk of OPSG funds based upon risk analyses. The risk model used to allocate OPSG funds considers the potential risk that certain threats pose to border security and 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.
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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
3. Period of Performance: 36 months
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
6. Funding Instrument Type: Grant
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. Virgin 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 of government at the county level or equivalent level of government and federally recognized tribal governments in states
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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 of 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 an 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. Other Eligibility Criteria/Restrictions
a. 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 FEMA’s website at NIMS Implementation and Training | FEMA.gov. Please see the Preparedness Grants Manual for more information on NIMS. 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 EMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 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,
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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 towards 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 any 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 Prevention Framework 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 eligible 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/FEMA’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 will 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 well as information on how to distinguish 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
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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 when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see the subsection titled “Timely Receipt Requirements and Proof of Timely Submission” in Section D of this NOFO.
FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for 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 FEMA to make an award.
Applicants experiencing technical problems outside of their control must notify FEMA 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 award. “Timely notification” means prior to the application deadline and within 48 hours after the applicant became aware of the issue.
A list of FEMA contacts can be found in Section G of this NOFO, “DHS Awarding Agency Contact Information.” For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or [email protected]. The ND Grants Service Desk is available Monday through Friday, 9:00 AM – 6:00 PM 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 by e-mail at [email protected], Monday through Friday, 9:00 AM – 5:00 PM ET. c. Anticipated Funding Selection Date: No later than 07/21/2023 d. Anticipated Award Date: No later than 09/30/2023
e. Other Key Dates
Event Suggested Deadline for Completion
Initial registration in SAM.gov
includes UEI issuance
Four weeks before actual submission deadline
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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://www.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:
Event Suggested Deadline for Completion
Obtaining a valid Employer
Identification Number (EIN) Four weeks before actual submission deadline Creating an account with login.gov Four weeks before actual submission deadline Registering in SAM or updating SAM
registration Four weeks before actual submission deadline Registering in Grants.gov Four weeks before actual submission deadline Registering in ND Grants Four weeks before actual submission deadline Starting application in Grants.gov One week before actual submission deadline Submitting application in Grants.gov Three days before actual submission deadline Submitting the final application in
ND Grants By the submission deadline
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a. Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov and Employer Identification Number (EIN) from the Internal Revenue Service; b. In the application, provide an UEI number;
c. Have an account with login.gov;
d. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;
e. Create a Grants.gov account;
f. Add a profile to a Grants.gov account;
g. Establish an Authorized Organizational Representative (AOR) in Grants.gov; h. Register in ND Grants
i. Submit an initial application in Grants.gov;
j. Submit the final application in ND Grants, including electronically signing applicable forms; and
k. 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 award 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
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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 opportunity.
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 [email protected] 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 | 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
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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 | Grants.gov. I. GRANTS.GOV
SF-424, Application for Federal Assistance, initial application submitted through Grants.gov
Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov
II. 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
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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 might 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 nonconstruction forms. b. Program-Specific Required Forms and Information
I. 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 projectlevel 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.
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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 of terrorism;
Prepare for all hazards and threats, while explaining the nexus to terrorism preparedness;
Protect citizens, residents, visitors, and assets against the greatest threats and hazards, relating to acts of terrorism; and/or
Respond quickly 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 IJs 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.
II. DEVELOPMENT OF INVESTMENTS 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 IJs 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);
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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 IJs.
III. NATIONAL PRIORITY AREA INVESTMENTS: SHSP AND 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 allowable 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 UAS detection and/or mitigation systems, they seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws which may apply to the use of such technologies.
Given the increased risk to soft targets and crowded places, at least one investment must be in support of the state’s and high-risk urban area’s efforts to protect soft targets/crowded 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 crowded places are available through the Cybersecurity and Infrastructure Security Agency and the National Institute of Standards and Technology.
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Information and Intelligence Sharing (3%)
Effective homeland 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. A critical and statutorily charged mission of DHS is to deliver intelligence and information to federal, state, local, tribal, and territorial governments and private sector partners. Cooperation and information sharing among state, local, tribal, territorial, and federal partners across all areas of the homeland security enterprise, including counterterrorism, while upholding privacy, civil rights, and civil liberties protections, is critical to homeland security operations and the prevention of, preparation for, protection against, and response to acts of terrorism, and other threats to life and criminal acts of targeted violence. Counterterrorism includes both international and domestic terrorism, cybersecurity, border security, transnational organized crime, immigration enforcement, economic security, and other areas.
Given the importance of information sharing and collaboration to effective homeland security solutions, at least one investment must be in support of the state’s and high-risk urban area’s efforts to enhance information sharing and cooperation with DHS and other federal agencies. As noted above, this requirement must include at least one dedicated fusion center project. Additional instructions on development of the fusion center project can be found below. Applicants must justify persuasively how they will contribute to the information sharing and collaboration purposes of the investment and a culture of national preparedness. Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for information sharing and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.
Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis. Domestic Violent Extremism (3%) As stated in the Homeland Threat Assessment October 2020, domestic violent extremists, including ideologically motivated lone offenders and small groups, present the most persistent and lethal terrorist threat to the Homeland. These violent extremists capitalize on social and political tensions, which have resulted in an elevated threat environment.
They utilize social media platforms and other technologies to spread violent extremist ideologies that encourage violence and influence action within the United States. The COVID-19 pandemic has further created an environment that may lead to accelerated mobilization to targeted violence and/or radicalization to domestic terrorism, including leveraging lawful protests to incite violence, intimidate targets, and promote their violent extremist ideologies.
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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 | Homeland Security (dhs.gov). Cybersecurity (no minimum percent) Today’s world is more interconnected than ever before, but with increased connectivity 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 cybersecurity projects. The investment will be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Cybersecurity 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 Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The Chief Information Officer (CIO), Chief Information Security Officer (CISO), or equivalent for each recipient should complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment. The NCSR is available at no cost to the user and takes approximately 2-3 hours to complete. The 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 subawards 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 subaward has been issued by the pass-through entity. Although not required by SLTTs that did not receive HSGP funds, 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 Cybersecurity and Infrastructure Security Agency, Cross-Sector Cybersecurity Performance Goals | 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
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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 Community 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. FEMA’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 COVID-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 Priority Area will bolster community preparedness and resilience by investing in local, community-driven capabilities.
Additionally, equity in emergency management requires proactively prioritizing actions that reinforce cultural competency, accessibility, and inclusion, as well as reflect the historical context of specific groups of people. To that end, states, territories, and highrisk urban areas are strongly encouraged to explore how SHSP- and UASI-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 will strengthen the whole 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 emergency 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 directly involved in emergency management. The whole 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 priority percentage for community preparedness and resilience and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.
Additional resources and information regarding community preparedness and resilience are available through Individuals and Communities | FEMA.gov.
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Election Security (3%)
In January 2017, DHS designated the infrastructure used to administer the Nation’s elections as critical infrastructure. This designation 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 Cybersecurity and Infrastructure Security Agency. IV. DEVELOPMENT OF FUSION CENTER PROJECTS: SHSP AND UASI Each applicant must identify a fusion center project that will:
Indicate alignment to a designated 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 Itemization A sample project description and funding itemization are below. 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 will fund:
Salaries, benefits, and training for X number of Fusion Center intelligence analysts Travel costs associated with fusion center analyst training This project will directly sustain the Center’s current capabilities and performance and directly aligns with performance measures 2023.XXX
We anticipate seeing an improvement in the quality and quantity of analytic production and responses to requests for information as a direct result of the funding of this project
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The funding itemization for a fusion center project should include the amount and percent of each relevant solution area. As an example:
Solution Area and Amount of Proposed
Funding
Percent of Proposed
Funding
Planning: $10,000 2%
Organization: $200,000 48%
Equipment: $200,000 48%
Training: $10,000 2%
Exercises: $0 0%
Total: $420,000 100%
V. COMPLETING IJS IN THE GRANT REPORTING TOOL (GRT): SHSP AND UASI In the Related Documents section of the Grants.gov posting, applicants can find the IJ 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, which will facilitate the input of that information into the GRT.
Applicants must ensure the appropriate National Priority Area “Investment Type” (Overview Tab – Investment Information Section) is selected for the corresponding National Priority Area. VI. DEVELOPMENT OF CONCEPT OF OPERATIONS FOR OPSG 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 with state and federal law enforcement agencies, to include, but not limited to CBP/USBP. CONOPs that are developed at the county level should be inclusive of city, county, tribal, and other local law enforcement agencies that are eligible to participate in OPSG operational activities, and the CONOP/Application should describe participating agencies in the Executive Summary.
CONOP/Application details should include the names of the agencies, points of contact, and individual funding requests. All CONOPs/Applications must be developed in collaboration with the local USBP sector office, the SAA, and the local unit of government. Requests for funding in CONOPs/Applications must be based on risks and the operational enforcement support requirements of its corresponding USBP Sector, as well as the national priorities identified below. USBP Sector offices will forward the CONOPs to USBP Headquarters for vetting and coordination. Applicants will forward corresponding OPSG Applications to the SAA for submission to FEMA. USBP Headquarters will reconcile all submitted CONOPs with the OPSG Applications. FEMA will review and evaluate all CONOPs and OPSG Applications and funding will be allocated based on the review and selection criteria identified in this NOFO.
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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 costeffective 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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Of the proposed SHSP- and UASI-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 | 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. a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services
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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 (FY 2019 NDAA), 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 Entity 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 EQUIPMENT 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. II. DEFINITIONS Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:
i. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities); 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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iii. Telecommunications or video surveillance services provided by such entities or using such equipment; or
iv. 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.
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. c. 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, will not be allowed 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 $5,000 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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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: $2,500,000 UASI: $2,500,000
M&A Maximum: $300,000 (5% of $6,000,000)
Maximum M&A for SHSP = $50,000
Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5%) may be retained from the OPSG allocation, and the other $62,500 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 award: $4,500,000
SHSP: $3,500,000 OPSG: $1,000,000
M&A Maximum: $225,000 (5% of $4,500,000)
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 $25,000 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 $175,000 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 Security 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 there is any conflict between IB 416 and this NOFO, the requirements of this NOFO will apply to FY 2023 awards made under this NOFO.
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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 who wish 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-award requests to charge indirect costs will 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 de minimis rate or cost allocation plan, as applicable.
e. Funds Transfer Restrictions
The recipient is prohibited from transferring funds between programs (includes SHSP, UASI, and OPSG). Recipients can submit an investment/project where funds come from multiple funding sources (e.g., SHSP and UASI), however, recipients are not allowed to divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS/FEMA. f. Other Direct Costs I. PLANNING
Planning costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
II. ORGANIZATION
Organization costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
III. EQUIPMENT
Equipment costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
General Purpose Equipment
HSGP allows expenditures on general purpose equipment if it aligns to and supports one or more core capabilities identified in the Goal and has a nexus to terrorism 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 Homeland Security Act of 2002, as amended. Examples of such general-purpose 3Except 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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equipment may include:
o Law enforcement/general use vehicles (OPSG only);
o Emergency medical services equipment and vehicles;
o Fire service equipment and vehicles, to include hose, pump accessories, and foam concentrate for specialized chemical/biological/radiological/nuclear/explosive (CBRNE) response;
o Interoperability of data systems, such as computer aided dispatch (CAD) and record management systems (RMS); and
o Office equipment for staff4
engaged in homeland security program activity.
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 allowable 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 allowed 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 4This 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, which President Joseph R. Biden issued on May 25, 2022. EO 14074 directs the DHS to prohibit the use of grant funding to purchase certain types 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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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, DHS/FEMA will continue to maintain an awareness of the evolving policy developments related to controlled equipment expenditures and keep grant recipients up to date on future developments.
IV. TRAINING
Training costs are allowed under this program. Please see the Preparedness Grants Manual for more information. Recipients are encouraged to consider tuition-free courses offered by 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. EXERCISES Exercise costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
VI. PERSONNEL
Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, organization, training, exercise, and equipment activities. Under OPSG, overtime costs are allowable only in so far as they meet the intent of the program. All recipients and subrecipients of HSGP funds, including SHSP, UASI, and OPSG allocations, may not use more than 50% of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50% personnel cap, please see FEMA IB 421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412) – the PRICE Act. Please see the Preparedness Grants Manual for more information.
VII. OPERATIONAL OVERTIME
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 SHSP, 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
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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. TRAVEL
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 allowable cost under this program unless approved in advance by DHS/FEMA.
IX. CONSTRUCTION AND RENOVATION
Construction and renovation costs to achieve capability targets related to preventing, preparing for, protecting against, or responding to acts of terrorism are allowed under this program. For construction and renovation costs to be allowed, they must be specifically approved by DHS/FEMA in writing 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 apply.
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. MAINTENANCE AND SUSTAINMENT
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 EMERGENCY SUPPLIES
Critical emergency supplies are allowed under this program. Please see the Preparedness Grants Manual for more information.
XII. SECURE IDENTIFICATION
Secure Identification costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
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Allowable Cost Matrix
The following matrix provides allowable cost activities that fall under each of the cost categories noted above. Recipients and subrecipients must follow all applicable requirements in 2 C.F.R.
Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements 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 allowable costs, please contact the appropriate HQ FEMA Preparedness Officer. For additional information on allowable costs, see the Preparedness Grants Manual. Allowable Program Activities SHSP UASI OPSG Allowable Planning Costs
Developing hazard/threat-specific annexes Y Y N
Developing and implementing homeland security support programs and adopting ongoing DHS/FEMA national initiatives Y Y N
Developing related terrorism and other catastrophic event prevention activities Y Y N Developing and enhancing plans and protocols Y Y N
Developing or conducting assessments Y Y N
Hiring of full- or part-time staff or contract/consultants to assist with planning, engagement, and volunteer management activities Y Y N
Materials required to conduct planning, engagement, and volunteer management activities Y Y N
Travel/per diem related to planning, engagement, and volunteer management activities Y Y Y Overtime and backfill costs (in accordance with operational Cost Guidance) Y Y Y Issuance of Western Hemisphere Travel Initiative-compliant Tribal identification cards Y N N Activities to achieve planning inclusive of people with disabilities and others with access and functional needs and limited English proficiency. Y Y N Coordination with Citizen Corps Councils for public information/education and development of volunteer programs Y Y N
Coordination and material support to Citizen Corps Councils and local firehouses for the establishment, training and maintenance of CERTs Y Y N Update governance structures and processes and plans for emergency communications Y Y N Development, and review and revision of continuity of operations plans Y Y N Development, and review and revision of the THIRA/SPR and continuity of operations plans Y Y N
Developing or conducting equity assessments to address planning and preparedness disparities for historically underserved communities Y Y N Allowable Organizational Activities
Note: Personnel hiring, overtime, and backfill 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 Y Y N
Development of whole community partnerships Y Y N
Structures and mechanisms for information sharing between the public and private sector Y Y N
Implementing models, programs, and workforce enhancement initiatives Y Y N
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Allowable Program Activities SHSP UASI OPSG
Tools, resources, and activities that facilitate shared situational awareness between the public and private sectors Y Y N
Operational support Y Y N
Utilization of standardized resource management concepts Y Y N 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 Y Y N Reimbursement for select operational expenses associated with increased security measures at critical infrastructure sites incurred (up to 50% of the allocation) Y Y Y Overtime for information, investigative, and intelligence sharing activities (up to 50% of theallocation) Y Y Y
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).
Y Y Y
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.
Y Y N
Hiring or maintaining staff positions/contractors/consultants to create, support and maintain CERT or Teen CERT Y Y N
Cost of migrating online services to the “.gov” domain Y Y N Allowable Equipment Categories
Personal Protective Equipment Y Y Y
Allowable Equipment Categories
Explosive Device Mitigation and Remediation Equipment Y Y N CBRNE Operational Search and Rescue Equipment Y Y N
Information Technology Y Y Y
Cybersecurity Enhancement Equipment Y Y N
Interoperable Communications Equipment Y Y Y
Detection Y Y Y
Decontamination Y Y N
Medical countermeasures Y Y Y
Power (e.g., generators, batteries, power cells) Y Y Y
CBRNE Reference Materials Y Y N
CBRNE Incident Response Vehicles Y Y N
Terrorism Incident Prevention Equipment Y Y Y
Physical Security Enhancement Equipment Y Y Y
Inspection and Screening Systems Y Y Y
Animal Care and Foreign Animal Disease Y Y N
CBRNE Prevention and Response Watercraft Y Y N
CBRNE Prevention and Response Unmanned Aircraft Y Y N
CBRNE Aviation Equipment Y Y N
CBRNE Logistical Support Equipment Y Y N
Intervention Equipment (e.g., tactical entry, crime scene processing) Y Y Y Critical emergency supplies Y Y N
General use vehicle acquisition, lease, and rental N N Y Specialized vehicle acquisition, lease, and rental Y Y Y Other Authorized Equipment Y Y Y
Allowable Training Costs
Overtime and backfill for emergency preparedness and response personnel attending DHS/FEMA-sponsored and approved training classes Y Y N
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Allowable Program Activities SHSP UASI OPSG
Overtime and backfill expenses for part-time and volunteer emergency response personnel participating in DHS/FEMA training Y Y N
Training workshops and conferences Y Y Y
Activities to achieve training inclusive of people with disabilities and others with access and functional needs and limited English proficiency Y Y N Full- or part-time staff or contractors/consultants Y Y Y Travel Y Y Y
Supplies Y Y N
Instructor certification/re-certification Y Y N
Coordination with Citizen Corps Councils and CERT in conducting training exercises Y Y N Preparedness training for community preparedness initiatives and programs Y Y N Interoperable communications training Y Y N
Activities to achieve planning inclusive of people with limited English proficiency Y Y N Immigration enforcement training Y Y Y
Allowable Exercise Related Costs
Design, Develop, Conduct, and Evaluate an Exercise Y Y N Full- or part-time staff or contractors/consultants Y Y N Overtime and backfill costs, including expenses for part-time and volunteer emergency response personnel participating in DHS/FEMA exercises Y Y N Implementation of HSEEP Y Y N
Activities to achieve exercises inclusive of people with disabilities and others with access and functional needs Y Y N
Travel Y Y N
Supplies Y Y N
Interoperable communications exercises Y Y N
Allowable Exercise Related Costs
Activities to achieve planning inclusive of people with limited English proficiency Y Y N Allowable M&A Costs
Hiring of full- or part-time staff or contractors/consultants to assist with the management of the respective grant program, application requirements, and compliance with reporting and data collection requirements Y Y Y
Development of operating plans for information collection and processing necessary to respond to DHS/FEMA data calls Y Y Y
Overtime and backfill costs Y Y Y
Travel Y Y Y
Meeting related expenses Y Y Y
Authorized office equipment Y Y Y
Recurring expenses such as those associated with cell phones and faxes during the period of performance of the grant program Y Y N
Leasing or renting of space for newly hired personnel during the period of performance of the grant program Y Y N
Completing the Civil Rights Evaluation Tool Y Y Y
Conducting activities related to evaluating project effectiveness for HSGP-funded projects Y Y Y
LETPA Costs
Integration and interoperability of systems and data, such as CAD and RMS, to facilitate the collection, Y Y N
Maturation, enhancement, and sustainment of designated state and major Urban Area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and intelligence analyst training and salaries (subject to certain conditions) Y Y N
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Allowable Program Activities SHSP UASI OPSG
Regional counterterrorism training programs for small, medium, and large jurisdictions to exchange information and discuss the current threat environment, lessons learned, and best practices to help prevent, protect against, and mitigate acts of terrorism Y Y N
Coordination of regional full-scale training exercises (federal, state, and local law enforcement participation) focused on terrorism-related events Y Y N Law enforcement Chemical, Biological, Radiological, Nuclear, and high yield Explosives detection and response capabilities, such as bomb detection/disposal capability development, sustainment, or enhancement, including canine teams, robotics platforms, and x-ray technology
Y Y N
Coordination between fusion centers and other operational analytic, and investigative efforts Y Y N
Implementation, maintenance, and sustainment of the Nationwide Suspicious Activity Reporting Initiative Y Y N
Implementation of the "If You See Something, Say Something®" campaign Y Y N Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical infrastructure locations
Y Y N
E. Application Review Information
1. Application Evaluation Criteria
a. Programmatic Criteria
I. RISK METHODOLOGY
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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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, IJs 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 funds, as requested.
FEMA will also review any submitted National Priority Area-aligned IJs and projects to ensure they meet the minimum spend requirements. Additional information on how the National Priority Area IJs 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. 116-117 (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 governmentwide 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 $250,000:
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
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and performance system accessible through the System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS).
ii. An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered.
iii. 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. § 200.206.
2. Review and Selection Process
a. SHSP and UASI
All proposed investments will undergo a federal review by DHS/FEMA to verify compliance with all administrative and eligibility criteria identified in the NOFO. The federal review will be conducted by FEMA HQ Preparedness Officers. FEMA HQ Preparedness Officers will 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 SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). FEMA and ECD will coordinate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance.
Additional Effectiveness Evaluation Criteria for the National Priority Areas FEMA will evaluate the FY 2023 HSGP IJs and projects submitted in support of the 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.
Cybersecurity investments will be reviewed by DHS/FEMA, CISA, 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. Soft Targets/Crowded Places investments will be reviewed by DHS/FEMA, CISA, 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 will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, 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.
For additional information on Fusion Center requirements, please see the Preparedness Grants Manual. Domestic violent extremism investments will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, DHS Center for Prevention Programs and Partnerships, 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 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 will be reviewed for effectiveness using the scoring criteria set forth in this NOFO.
Election security investments will be reviewed by DHS/FEMA, CISA, 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 scoring criteria set forth in this NOFO.
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.
This includes factors such as the objectives and strategies proposed to address the priority area, how 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 approach 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 sufficiently align with the National Priority Area(s), applicants may 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 will have funds placed on hold in the amount of 30%. The hold will be released only after their December 2023 BSIR submission has been reviewed, 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, IJs 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 well 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 Strategy (40%): 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 otherwise reduce the overall risk to the high-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 will 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 and/or 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 will be reviewed by the SAA and USBP Sector Headquarters for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the Operations Orders. For more information on Operations Orders and other requirements of OPSG, see the Preparedness Grants Manual. DHS/FEMA will verify compliance with all administrative and eligibility criteria identified in the NOFO and required submission of Operations Orders and Inventory of Operations Orders by the established due dates. DHS/FEMA and USBP will use the results of both the risk analysis and the federal review by DHS/FEMA to make recommendations for funding to the Secretary of Homeland Security.
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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, who may consider information and input from various law enforcement offices or subject-matter experts within the Department.
Factors considered include, but are not limited to threat, vulnerability, miles of the border, and other border-specific law enforcement intelligence, as well as the feasibility of FY 2023 Operations Orders to designated localities within border states and territories.
F. Federal Award Administration Information
1. 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 with responsibilities under federal awards. Recipients must accept all conditions in this NOFO and the Preparedness Grants Manual as well as any specific terms and conditions in the Notice of Award to receive an award under this program.
Recipients must accept their awards no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work 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 with other ND Grants materials.
Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of the award have been satisfied or until the award is otherwise rescinded. Failure to accept a grant award 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
Awards 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, township, 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 law), regional or interstate government entity, or agency or instrumentality of a local government.
An Indian tribe or authorized tribal organization, or in Alaska a Native village or Alaska Regional Native Corporation.
A rural community, unincorporated town or village, or other public entity.
Four criteria must be met to pass-through grant funds:
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The SAA must make a firm 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 awarded 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 award. Should an SAA not accept the HSGP award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45 calendar days pass-through period will begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system.
It is important to note that the 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 passthrough period will begin on the date the SAA accepts the HSGP award or September 9, 2023 (15 calendar days after the SAA was notified of the award), 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 writing 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 inherently 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 within 45 calendar days of receipt of the funds.
Under SHSP, the SAA may retain more than 20% of funding for expenditures made by the
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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 with the written consent, such as a Memorandum of Understanding, between 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 written consent must specify the amount of funds to be retained and the intended use of funds, including whether any goods or services will 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 written consent agreements yearly and ensure that they are still valid. If a written consent agreement is already in place from previous fiscal years, DHS/FEMA will continue to recognize it for FY 2023, unless the written consent review indicates the local government is no longer in agreement. If modifications to the existing agreement are necessary, the SAA should contact their assigned FEMA HQ Preparedness Officer.
However, 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 OPSG 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/Fragmentary Operations Order budget has been reviewed 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 awards 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;
NIMS Implementation; and
SAFECOM Guidance. a. DHS Standard Terms and Conditions
All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at: DHS 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 rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with DHS and FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA. The DHS 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 | FEMA.gov. Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws 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 who belong to underserved communities that have been denied such treatment. c. 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 #-206-21-0003, 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
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management standards or building code (44 CFR § 9.11(d)(6)). All GPD-funded non-critical actions in 1% annual chance floodplains (also known as 100-year floodplains) that involve new construction or substantial improvement of structures must be elevated, at a minimum, to the lower of:
Two feet above the 1% annual chance flood elevation (also known as the base flood elevation), in accordance with the Federal Flood Risk Management Standard (FFRMS) “Freeboard Value Approach” (FVA); 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 1% annual chance flood elevation.
All GPD-funded critical actions in 0.2% annual chance floodplains (also known as 500-year floodplains) that involve new construction or substantial improvement of structures must be elevated, at a minimum, to the higher of:
Three feet above the 1% annual chance flood elevation; 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 three feet above the 1% annual chance flood elevation.
See EO 11988, 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 with 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 review process. Federal law requires EHP review 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 EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders.
The GPD EHP screening form is located at FEMA Form. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD 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 NIMS during any point of the period of performance. The list of objectives used for progress and achievement reporting is at https://www.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, NIMS resource typing definitions, job titles, and position qualifications is on FEMA’s website at NIMS Components - Guidance and Tools | FEMA.gov. 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 with these guidelines, FEMA strongly 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 NIMS in general is available at National Incident Management System | FEMA.gov. e. 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 writing 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 designate a full-time SWIC who 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 designated full-time SWIC may also be the state’s or territory’s cybersecurity point of contact. SWIC status
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information will be maintained by CISA and will be verified by FEMA GPD through programmatic monitoring activities.
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 CISA 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 well as emerging technologies, policies, and partners.
Recipients are encouraged to increase awareness and availability of emergency communications exercise opportunities across all levels of government.
States, territories, and other eligible grant recipients are advised that HSGP 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. 4. 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 review award progress and to provide any required technical assistance. During site visits or desk reviews, FEMA will review recipients’ files related to the award. 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 regarding the program.
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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
a. Program Office Contact
FEMA has assigned state-specific Preparedness Officers for the HSGP. If you do not know your Preparedness Officer, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by email at [email protected], 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. When necessary, recipients will be directed to a federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], 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 by contacting the AAD’s Help Desk via e-mail at [email protected]. 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]. e. Environmental Planning and Historic Preservation GPD’s EHP Team provides guidance and information about the EHP review 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 [email protected]. 2. Systems Information a. 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 [email protected].
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b. Non-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at [email protected] or (800) 865-4076, Monday through Friday, 9:00 AM – 6:00 PM ET. User resources are available at Non-Disaster Grants Management System | FEMA.gov. c. 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 1199A, Direct Deposit Form. If you have questions about the online system, please call the Customer Service Center at (866) 927-5646 or email ask[email protected]. 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-World Incident Operations
Community Lifelines
Conflicts of Interest in the Administration of Federal Awards and Subawards Disability Integration
National Incident Management System
Payment Information
Period of Performance Extensions
Procurement Integrity
Record Retention
Whole Community Preparedness
Other Post-Award Requirements
1. Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons.
FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is terminated in whole or in part. To the extent that subawards are permitted under this NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards. a. Noncompliance
If a recipient fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a
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Compliance Notification. If the noncompliance cannot be corrected or the recipient is nonresponsive, 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. c. 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. §§ 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. 115-435 (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
EXHIBIT F
59 FY 2023 HSGP NOFO Back to the Top
the FEMA Preparedness Officer as needed when preparing an extension request. Please see the Preparedness Grants Manual for more information.
4. Financial Assistance Programs for Infrastructure
a. Build America, Buy America Act
Recipients and subrecipients must comply with the Build America, Buy America Act (BABAA), which was enacted as part of the Infrastructure Investment and Jobs Act §§ 70901-70927, Pub. L. No. 117-58 (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 | FEMA.gov and Build America, Buy America Act Frequently Asked Questions (FAQs) | FEMA.gov. Additional information is found in Buy America Preference in FEMA Financial Assistance Programs for Infrastructure, FEMA Interim Policy #207-22-0001. b. Waivers When necessary, recipients (and subrecipients 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 25%.
EXHIBIT F
60 FY 2023 HSGP NOFO Back to the Top
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 | FEMA.gov. c. 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.
EXHIBIT F
61 FY 2023 HSGP NOFO Back to the Top
Project: is any activity related to the construction, alteration, maintenance, or repair of infrastructure in the United States.
EXHIBIT F
Fiscal Year 2023
Homeland Security Grant Program
California Supplement to the
Federal Notice of Funding Opportunity
October 2023
EXHIBIT F
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 ....................................................... 4 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 3—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
Table of Contents | 2023
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
ATTACHMENTS
A – FY 2023 HSGP Allocations
B – FY 2023 HSGP Timeline
C – FY 2023 HSGP Program Checklist
EXHIBIT F
Section 1 ‒ Overview | 2023
Federal Program
Announcement
Information
Bulletins
Grant
Management
Memoranda
Purpose of the
California
Supplement
Eligible
Subrecipients
Tribal
Allocations
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.
DHS issues Information Bulletins (IBs) to provide updates, clarification, and new requirements throughout the life of the grant.
Cal OES issues Grant Management Memoranda (GMMs)
which provide additional information and requirements
regarding HSGP funds.
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 Applicants, referred to as Subrecipients, include Counties/Operational Areas (OAs), Urban Areas (UAs),
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.
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 public 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 Cal 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. § 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. § 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 UASI 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% minimum.
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.
EXHIBIT F
Section 2 ‒ Federal Changes and Initiatives | 2023
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 minimum;
• 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% minimum.
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 UASI
awards across the six NPAs but have new flexibility on how that funding is allocated. Although 15% is required in
minimum spending across five NPAs, as noted above, the
remaining 15% 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 Intelligence 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 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 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 individual
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, UAs, 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 semipredictable 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 reframe 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 (NCSR) is a required
assessment for all Subrecipients of State Homeland Security Program (SHSP) and Urban Areas Security Initiative (UASI) funding to be completed between October and
February 2024.
The NCSR is a no-cost, anonymous, and annual selfassessment 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 equivalent 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 Management
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 preapproved in writing by DHS/FEMA.
EXHIBIT F
Personnel Cap Pursuant to 6 U.S.C. § 609(b), SHSP and UASI funds may be used for personnel costs, totaling up to 50 percent of each fund source. A Subrecipient 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 421b 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. § 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-205-402-125-1.
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 13, 2020, section 889(f)(2)-(3) of the John S. McCain National Defense Authorization Act for FY 2019 (NDAA) and 2 C.F.R. § 200.216, 200.471, and Appendix II to 2 C.F.R. Part 200 prohibit DHS/FEMA Recipients and
Subrecipients (including their contractors and
subcontractors) from using any FEMA funds under open or new awards for the following telecommunications
equipment or services:
1) Telecommunications equipment produced by Huawei
Technologies Company or ZTE Corporation, (or any
subsidiary or affiliate of such entities);
2) 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);
3) Telecommunications or video surveillance services
provided by such entities or using such equipment; or
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 #405-143- 1, Prohibitions on Expending FEMA Award Funds for
Covered Telecommunications Equipment or Services
Prohibited and
Controlled
Equipment
Effective May 25, 2022, Executive Order (EO) 14074,
Advancing Effective, Accountable Policing and Criminal
Justice Practices to Enhance Public Trust and Public Safety, Section 12(a) of EO 14074 directs the Department of
Homeland Security (DHS) to review its grant programs and, consistent with applicable law, 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 controlled 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 SUAS equipment. The Authorized Equipment Listing for 03OE-07-SUAS 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 SUAS 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 passthrough 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:
1. Enhance Information and Intelligence Sharing and
Cooperation with Federal Agencies, including DHS
(National Priority);
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 (nonFusion Center);
9. Enhance Multi-Jurisdictional/Inter-Jurisdictional AllHazards/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).
EXHIBIT F
Section 3 ‒ State Changes and Initiatives | 2023
California
Homeland
Security Strategy
Goals
The State prioritized the following California Homeland Security Strategy Goals for the FY 2023 subawards:
1. Enhance Information Collection, Analysis, and Sharing, in Support of Public Safety Operations Across California;
2. Protect Critical Infrastructure and Key Resources from All 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 AllHazards 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
10.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 UASI 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 Alert and Warning Guidelines,
developed pursuant to Senate Bill 833 of the 2018
Legislative Session.
EXHIBIT F
Section 4 ‒ Required State Application Components | 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 UEI# (Formerly DUNS#) is required. UEI registration information is available sam.gov.
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 completion 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 Training 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. § 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 passthrough 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 Regarding Lobbying Form to certify lobbying activities, as stipulated by the Byrd Anti-Lobbying Amendment,
31 U.S.C. § 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 (UASIs 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 (UASIs 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 application. 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 applicable.
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 2019, UAs 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 16, 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.
EXHIBIT F
Section 5 ‒ State Application Process | 2023
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 (916) 845-8427
Christopher Camacho (916) 845-8789
Laura Halverstadt (916) 845-8899
Antoinette Johnson (916) 845-8260
Jim Lane (916) 845-8428
Tyrone Freeman (916) 328-7750
Abigayle Tirapelle (916) 845-8400
The Program Representative Regional Assignments Map is
available at the Cal 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.
EXHIBIT F
Section 6 ‒ Post Award Requirements | 2023
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 interestbearing accounts. Interest earned amounts up to $500 per year may be retained by Subrecipients 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 2018-17 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 (916) 845-8745 or [email protected].
Exercises,
Improvement
Plans, and AfterAction Reporting
Subrecipients should engage stakeholders to identify longterm 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.
Subrecipients must report on all exercises conducted with HSGP grant funds. An After-Action Report
(AAR)/Improvement Plan (IP) or Summary Report (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].
Exercise costs will not be considered for reimbursement until an AAR/IP is received by Cal OES.
Procurement
Standards and
Written
Procedures
Subrecipients 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, award 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 $150,000 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. Examples 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 postsolicitation cost/price analyses on file for review by federal 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, regardless 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 GMM2017-01A 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-bycase 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 UASI funds may not
exceed $1,000,000 or 15% 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
Subrecipient must contact the Program Representative to request disposition instructions. See 2 C.F.R. § 200.313(e).
Performance
Reporting
Subrecipients 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-todate 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. Verify compliance with performance reporting
requirements by confirming the Subrecipient has
submitted all necessary performance reports;
2. Confirm the Subrecipient has provided sufficient
justification for the request; and
3. 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 projectspecific and will only be considered for the following reasons:
1. Contractual commitments with vendors that prevent
completion of the project within the period of
performance;
2. The project must undergo a complex environmental
review which cannot be completed within this timeframe;
3. Projects are long-term by design and therefore,
acceleration would compromise core programmatic
goals; and
4. 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. All extension requests must address the following:
1. Grant program, fiscal year, and award number;
2. Reason for delay;
3. Current status of the activity/activities;
4. Approved period of performance termination date and
new project completion date;
5. Amount of funds drawn down to date;
6. Remaining available funds, both federal and non-federal;
EXHIBIT F
Extension
Requests
Cont.
7. Budget outlining how remaining federal and non-federal funds will be expended;
8. Plan for completion, including milestones and timeframes for each milestone and the position/person responsible for implementing the plan for completion; and
9. Certification 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 Subrecipients, through day-to-day communications, programmatic site
visits, desk, and on-site compliance assessments. The purpose of the compliance assessment is to ensure Subrecipients 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 utilize 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 Subrecipients 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 10% until timely reporting is reestablished; UASIs 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:
Suspension/
• 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.
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.
Closeout
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:
• 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. § 200.334(f).
In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).
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. §§ 200.334, 200.336.
EXHIBIT F
38 Attachment A ‒ FY 2023 HSGP Allocations | 2023
*SHSP allocations reflect National Priority Area project adjustments State Homeland Security Program (SHSP)
Operational Area Total Award Operational Area Total Award ALAMEDA 1,650,795 ORANGE 3,091,413
ALPINE 76,145 PLACER 465,161
AMADOR 113,439 PLUMAS 93,069
BUTTE 267,310 RIVERSIDE 2,398,207
CALAVERAS 117,971 SACRAMENTO 1,578,910
COLUSA 94,168 SAN BENITO 137,459
CONTRA COSTA 1,178,218 SAN BERNARDINO 2,161,778
DEL NORTE 100,963 SAN DIEGO 3,210,706
EL DORADO 256,682 SAN FRANCISCO 878,889
FRESNO 1,039,636 SAN JOAQUIN 823,130
GLENN 102,425 SAN LUIS OBISPO 342,774
HUMBOLDT 203,934 SAN MATEO 785,321
IMPERIAL 246,059 SANTA BARBARA 499,634
INYO 93,103 SANTA CLARA 1,882,403
KERN 942,855 SANTA CRUZ 329,271
KINGS 220,012 SHASTA 247,205
LAKE 126,762 SIERRA 78,080
LASSEN 103,878 SISKIYOU 116,809
LOS ANGELES 9,481,457 SOLANO 501,615
MADERA 225,138 SONOMA 535,157
MARIN 320,277 STANISLAUS 599,128
MARIPOSA 102,042 SUTTER 169,572
MENDOCINO 168,349 TEHAMA 132,940
MERCED 346,225 TRINITY 90,284
MODOC 83,289 TULARE 528,108
MONO 87,762 TUOLUMNE 127,741
MONTEREY 488,715 VENTURA 870,207
NAPA 204,898 YOLO 285,965
NEVADA 171,574 YUBA 153,481
*Total 41,728,498
EXHIBIT F
Fusion Centers
Region Total Award
SAN FRANCISCO BAY AREA 1,792,050
SACRAMENTO/CENTRAL VALLEY AREA 2,565,000
GREATER LOS ANGELES AREA 2,887,500
SAN DIEGO AREA 2,047,500
ORANGE AREA 835,000
*Total 10,127,050
* SHSP allocations reflect National Priority Area project adjustments Urban Areas Security Initiative (UASI)
*A minimum of 35% of UASI funding must be for Law Enforcement Terrorism Prevention Urban Area
Federal
Allocation to
State
Allocation to
UASI State Initiatives
ANAHEIM/SANTA ANA AREA 5,250,000 4,278,750 971,250
BAY AREA 36,493,265 29,742,011 6,751,254
LOS ANGELES/LONG BEACH AREA 66,174,270 53,932,030 12,242,240 RIVERSIDE AREA 3,900,000 3,178,500 721,500
SACRAMENTO AREA 3,800,000 3,097,000 703,000
SAN DIEGO AREA 16,445,560 13,403,131 3,042,429
Total 132,063,095 107,631,422 24,431,673
EXHIBIT F
Attachment B ‒ FY 2023 HSGP Timeline | 2023
DHS/FEMA Announcement of 2023 HSGP NOFO February 13, 2023 Cal OES Application Due to DHS May 18, 2023
DHS Award to California September 25, 2023
Subrecipient period of performance begins September 1, 2023 2023 HSGP California Supplement release October 2023
Subrecipient Workshops October 2023
Subrecipient Awards (45 days from DHS award) October 2023 Subrecipient Final Applications for FY23 Due to
Cal OES
December 29, 2023
Subrecipient period of performance ends May 31, 2026
Final Cash Requests due to Cal OES Within twenty (20) calendar days after end of grant
Cal OES’s period of performance ends August 31, 2026
EXHIBIT F
Attachment C: FY 2023 HSGP Application Checklist | 2023 Subrecipient: FIPS#:
Program Representative:
Financial Management Forms Workbook:
☐ Grant Award Face Sheet
☐ Authorized Body of 5
☐ Project Ledger
☐ Planning Tab
☐ Organization Tab
☐ Equipment Tab
☐ Training Tab
☐ Exercise Tab
☐ Consultant/Contractor Tab
☐ Management & Administration Tab
☐ Indirect Cost Tab
☐ Authorized Agent Sheet
Attachments:
☐ Original Counter-Signed Award Letter
☐ Governing Body Resolution (Certified)
☐ Standard Assurances (Signed Originals)
☐ FFATA Certification
☐ Lobbying Certification
☐ Subrecipient Grant Management Assessment Form
☐ Indirect Cost Rate Negotiation Agreement
☐ Personnel Cap Waiver (If Applicable)
☐ Intelligence Analyst(s) Certificates (If Applicable)
UASI Only:
☐ UASI Footprint
☐ UAWG Roster
State Agencies and Tribes Only:
☒ Signature Authority Form (in lieu of Governing Body Resolution) For Cal OES Use Only
Reviewed by: Date:
Management Approval: Date:
EXHIBIT F
1 Master Services Agreement
This Master Services Agreement (this “Agreement”) is entered into by and between Flock Group Inc., a Delaware corporation, with a place of business at 1170 Howell Mill Road NW, Suite 210, Atlanta, GA 30318 (“Flock”) and the City of Glendora, a municipal corporation, with a place of business at 150 South Glendora Avenue, Glendora, CA 91741 (“Customer”) (each a “Party,” and together, the “Parties”). This Agreement shall be effective on the date that both Parties have executed it (“Effective Date”). The Parties will sign an Order Form (“Order Form”) which will describe the Flock Services (as defined below) to be performed and the period for performance, attached hereto as Exhibit A.
RECITALS
WHEREAS, Flock offers a software and hardware situational awareness solution through Flock’s technology platform that upon detection is capable of capturing audio, video, image, and recording data and provide notifications to Customer (“Notifications”); WHEREAS, Customer desires access to the Flock Services (defined below) on existing devices, provided by Customer, or Flock provided Flock Hardware (as defined below) in order to create, view, search and archive Footage and receive Notifications, via the Flock Services; and WHEREAS, Flock desires to provide Customer the Flock Services and any access thereto, subject to the terms and conditions of this Agreement, solely for Permitted Purpose (as defined below).
NOW THEREFORE, in consideration of the mutual promises and covenants set forth herein, the Parties agree as follows:
1. DEFINITIONS
Certain capitalized terms, not otherwise defined herein, have the meanings set forth or crossreferenced in this Section 1.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 2 1.1 “Agreement” means the order form (to be provided as Exhibit A, “Order Form”), together with the terms and conditions set forth herein, and any document therein incorporated by reference in Section 11.4.
1.2 “Anonymized Data” means Customer Data permanently stripped of identifying details and any potential personally identifiable information, by commercially available standards which irreversibly alters data in such a way that a data subject (i.e., individual person or entity) can no longer be identified directly or indirectly.
1.3 “Authorized End User(s)” means any individual employees, agents, or contractors of Customer accessing or using the Flock Services, under the rights granted to Customer pursuant to this Agreement.
1.4 “Customer Data” means the data, media, and content provided by Customer through the Flock Services. For the avoidance of doubt, the Customer Data will include the Footage.
1.5. “Customer Hardware” means the third-party camera owned or provided by Customer and any other physical elements that interact with the Embedded Software and the Web Interface to provide the Services.
1.6 “Embedded Software” means the Flock proprietary software and/or firmware integrated with or installed on the Flock Hardware or Customer Hardware.
1.7 “Flock Hardware” means the Flock device(s), which may include the pole, clamps, solar panel, installation components, and any other physical elements that interact with the Embedded Software and the Web Interface, to provide the Flock Services as specifically set forth in the applicable Order Form.
1.8 “Flock IP” means the Flock Services, the Embedded Software, and any intellectual property or proprietary information therein or otherwise provided to Customer and/or its Authorized End Users. Flock IP does not include Footage (as defined below).
1.9 “Flock Services” means the provision of Flock’s software and hardware situational awareness solution, via the Web Interface, for automatic license plate detection, alerts, audio detection, searching image records, video and sharing Footage.
1.10 “Footage” means still images, video, audio, and other data captured by the Flock Hardware or Customer Hardware in the course of and provided via the Flock Services.
1.11 “Integration Data” means any distribution of data from a Customer requested third party integration.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 3 1.12“Installation Services” means the services provided by Flock for the installation of Flock Services.
1.13 “Permitted Purpose” means for legitimate public safety and/or business purpose, including but not limited to the awareness, prevention, and prosecution of crime; investigations; and prevention of commercial harm, to the extent permitted by law.
1.14 “Retention Period” means the time period that the Customer Data is stored within the cloud storage, as specified in the applicable Order Form. Flock deletes all Footage on a rolling thirty (30) day basis, except as otherwise stated on the Order Form. Customer shall be responsible for extracting, downloading and archiving Footage from the Flock Services on its own storage devices.
1.15 “Web Interface” means the website(s) or application(s) through which Customer and its Authorized End Users can access the Flock Services.
2. SERVICES AND SUPPORT
2.1 Provision of Access. Flock hereby grants to Customer a non-exclusive, non-transferable right to access the features and functions of the Flock Services via the Web Interface during the Term, solely for the Authorized End Users. The Footage will be available for Authorized End Users to access and download via the Web Interface for the Retention Period. Authorized End Users will be required to sign up for an account and select a password and username (“User ID”). Customer shall be responsible for all acts and omissions of Authorized End Users.
Customer shall undertake reasonable efforts to make all Authorized End Users aware of all applicable provisions of this Agreement and shall cause Authorized End Users to comply with such provisions. Flock may use the services of one or more third parties to deliver any part of the Flock Services, (such as using a third party to host the Web Interface for cloud storage or a cell phone provider for wireless cellular coverage).
2.2 Embedded Software License. Flock grants Customer a limited, non-exclusive, nontransferable, non-sublicensable (except to the Authorized End Users), revocable right to use the Embedded Software as it pertains to Flock Services, solely as necessary for Customer to use the Flock Services.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 4 2.3 Support Services. Flock shall monitor the Flock Services, and any applicable device health, in order to improve performance and functionality. Flock will use commercially reasonable efforts to respond to requests for support within seventy-two (72) hours. Flock will provide Customer with reasonable technical and on-site support and maintenance services in-person, via phone or by email at [email protected] (such services collectively referred to as “Support Services”).
2.4 Updates to Platform. Flock may make any updates to system or platform that it deems necessary or useful to (i) maintain or enhance the quality or delivery of Flock’s products or services to its agencies, the competitive strength of, or market for, Flock’s products or services, such platform or system’s cost efficiency or performance, or (ii) to comply with applicable law.
Parties understand that such updates are necessary from time to time and will not diminish the quality of the services or materially change any terms or conditions within this Agreement.
2.5 Service Interruption. Services may be interrupted in the event that: (a) Flock’s provision of the Flock Services to Customer or any Authorized End User is prohibited by applicable law; (b) any third-party services required for Flock Services are interrupted; (c) if Flock Services are being used for malicious, unlawful, or otherwise unauthorized use; (d) there is a threat or attack on any of the Flock IP by a third party; or (e) scheduled or emergency maintenance (“Service Interruption”). Flock will make commercially reasonable efforts to provide written notice of any Service Interruption to Customer, to provide updates, and to resume providing access to Flock Services as soon as reasonably possible after the event giving rise to the Service Interruption is cured. Flock will have no liability for any damage, liabilities, losses (including any loss of data or profits), or any other consequences that Customer or any Authorized End User may incur as a result of a Service Interruption. To the extent that the Service Interruption is not caused by Customer’s direct actions or by the actions of parties associated with the Customer, the time will be tolled by the duration of the Service Interruption (for any continuous suspension lasting at least one full day). For example, in the event of a Service Interruption lasting five (5) continuous days, Customer will receive a credit for five (5) free days at the end of the Term.
2.6 Service Suspension. Flock may temporarily suspend Customer’s and any Authorized End User’s access to any portion or all of the Flock IP or Flock Service if (a) there is a threat or attack on any of the Flock IP by Customer; (b) Customer’s or any Authorized End User’s use of the Flock IP disrupts or poses a security risk to the Flock IP or any other customer or vendor of Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 5 Flock; (c) Customer or any Authorized End User is/are using the Flock IP for fraudulent or illegal activities; (d) Customer has violated any term of this provision, including, but not limited to, utilizing Flock Services for anything other than the Permitted Purpose; or (e) any unauthorized access to Flock Services through Customer’s account (“Service Suspension”).
Customer shall not be entitled to any remedy for the Service Suspension period, including any reimbursement, tolling, or credit. If the Service Suspension was not caused by Customer, the Term will be tolled by the duration of the Service Suspension.
2.7 Hazardous Conditions. Flock Services do not contemplate hazardous materials, or other hazardous conditions, including, without limit, asbestos, lead, or toxic or flammable substances.
In the event any such hazardous materials are discovered in the designated locations in which Flock is to perform services under this Agreement, Flock shall have the right to cease work immediately.
3. CUSTOMER OBLIGATIONS
3.1 Customer Obligations. Flock will assist Customer Authorized End Users in the creation of a User ID. Authorized End Users agree to provide Flock with accurate, complete, and updated registration information. Authorized End Users may not select as their User ID, a name that they do not have the right to use, or any other name with the intent of impersonation. Customer and Authorized End Users may not transfer their account to anyone else without prior written permission of Flock. Authorized End Users shall not share their account username or password information and must protect the security of the username and password. Unless otherwise stated and defined in this Agreement, Customer shall not designate Authorized End Users for persons who are not officers, employees, or agents of Customer. Authorized End Users shall only use Customer-issued email addresses for the creation of their User ID. Customer is responsible for any Authorized End User activity associated with its account. Customer shall ensure that Customer provides Flock with up-to-date contact information at all times during the Term of this Agreement. Customer shall be responsible for obtaining and maintaining any equipment and ancillary services needed to connect to, access or otherwise use the Flock Services (e.g., laptops, internet connection, mobile devices, etc.). Customer shall (at its own expense) provide Flock with reasonable access and use of Customer facilities and Customer personnel in order to enable Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 6 Flock to perform the Flock Services (such obligations of Customer are collectively defined as “Customer Obligations”).
3.2 Customer Representations and Warranties. Customer represents, covenants, and warrants that Customer shall use Flock Services only in compliance with this Agreement and all applicable laws and regulations, including but not limited to any laws relating to the recording or sharing of data, video, photo, or audio content.
4. DATA USE AND LICENSING
4.1 Customer Data. As between Flock and Customer, all right, title and interest in the Customer Data, belong to and are retained solely by Customer. Customer hereby grants to Flock a limited, non-exclusive, royalty-free, irrevocable, worldwide license to use the Customer Data and perform all acts as may be necessary for Flock to provide the Flock Services to Customer. Flock does not own and shall not sell Customer Data.
4.2 Customer Generated Data. Flock may provide Customer with the opportunity to post, upload, display, publish, distribute, transmit, broadcast, or otherwise make available, messages, text, illustrations, files, images, graphics, photos, comments, sounds, music, videos, information, content, ratings, reviews, data, questions, suggestions, or other information or materials produced by Customer (“Customer Generated Data”). Customer shall retain whatever legally cognizable right, title, and interest in Customer Generated Data. Customer understands and acknowledges that Flock has no obligation to monitor or enforce Customer’s intellectual property rights of Customer Generated Data. Customer grants Flock a non-exclusive, irrevocable, worldwide, royalty-free, license to use the Customer Generated Data for the purpose of providing Flock Services. Flock does not own and shall not sell Customer Generated Data.
4.3 Anonymized Data. Flock shall have the right to collect, analyze, and anonymize Customer Data and Customer Generated Data to the extent such anonymization renders the data nonidentifiable to create Anonymized Data to use and perform the Flock Services and related systems and technologies, including the training of machine learning algorithms. Customer hereby grants Flock a non-exclusive, worldwide, perpetual, royalty-free right to use and distribute such Anonymized Data to improve and enhance the Flock Services and for other development, diagnostic and corrective purposes, and other Flock offerings. Parties understand Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 7 that the aforementioned license is required for continuity of the Flock Services. Flock does not own and shall not sell Anonymized Data.
4.4 Data Distribution. Customer may, upon request, choose to integrate Flock Services with a third party to either distribute Integration Data or Customer Data (such third party, “Recipient”).
Upon such request, Customer hereby grants to Flock a non-exclusive, non-transferable, royaltyfree, perpetual license to access, share, view, record, duplicate, store, save, reproduce, modify, display, and distribute Customer Data and/or Integration Data, as required by the requested distribution. Customer acknowledges that such data may be viewed, recorded, duplicated, stored, saved, reproduced, modified, displayed, distributed, and retained by Recipient for a period longer than Flock’s standard retention period and hereby provides consent to such retention period. Unless expressly listed in the Order Form, the provision, access, or use of any Application Programming Interfaces ("APIs") is not included under this Agreement. Any rights, licenses, or obligations related to APIs shall be governed solely by the terms set forth in the Order Form or a separate agreement between the parties.
5. CONFIDENTIALITY; DISCLOSURES
5.1 Confidentiality. To the extent required by any applicable public records request, each Party (the “Receiving Party”) understands that the other Party (the “Disclosing Party”) has disclosed or may disclose business, technical or financial information relating to the Disclosing Party’s business (hereinafter referred to as “Proprietary Information” of the Disclosing Party).
Proprietary Information of Flock includes non-public information provided by the Disclosing Party to the Receiving Party regarding features, functionality and performance of this Agreement. Proprietary Information of Customer includes non-public data provided by Customer to Flock or collected by Flock via Flock Services, which includes but is not limited to geolocation information and environmental data collected by sensors. The Receiving Party agrees: (i) to take the same security precautions to protect against disclosure or unauthorized use of such Proprietary Information that the Party takes with its own proprietary information, but in no event less than commercially reasonable precautions, and (ii) not to use (except in performance of the Flock Services or as otherwise permitted herein) or divulge to any third person any such Proprietary Information, unless otherwise required by law or compelled by a court of competent jurisdiction. The Disclosing Party agrees that the foregoing shall not apply Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 8 with respect to any information that the Receiving Party can document (a) is or becomes generally available to the public; or (b) was in its possession or known by it prior to receipt from the Disclosing Party; or (c) was rightfully disclosed to it without restriction by a third party; or (d) was independently developed without use of any Proprietary Information of the Disclosing Party. Nothing in this Agreement will prevent the Receiving Party from disclosing the Proprietary Information pursuant to any judicial or governmental order, provided that the Receiving Party gives the Disclosing Party reasonable prior notice of such disclosure to contest such order. At the termination of this Agreement, all Proprietary Information will be returned to the Disclosing Party, destroyed or erased (if recorded on an erasable storage medium), together with any copies thereof, when no longer needed for the purposes above, or upon request from the Disclosing Party, and in any case upon termination of the Agreement. Notwithstanding any termination, all confidentiality obligations of Proprietary Information that is trade secret shall continue in perpetuity or until such information is no longer trade secret.
5.2 Usage Restrictions on Flock IP. Flock and its licensors retain all right, title and interest in and to the Flock IP and its components, and Customer acknowledges that it neither owns nor acquires any additional rights in and to the foregoing not expressly granted by this Agreement.
Customer further acknowledges that Flock retains the right to use the foregoing for any purpose in Flock’s sole discretion. Customer and Authorized End Users shall not: (i) directly or indirectly, reverse engineer, decompile, disassemble, or otherwise attempt to discover, or recreate the source code, object code or underlying structure, ideas or algorithm of the Flock Services or any software provided hereunder; modify, translate, or create derivative works based on the Flock Services or any software provided hereunder, (ii) attempt to modify, alter, tamper with or repair any of the Flock IP, or attempt to create any derivative product from any of the foregoing; (iii) interfere or attempt to interfere in any manner with the functionality or proper working of any of the Flock IP; (iv) remove, obscure, or alter any notice of any intellectual property or proprietary right appearing on or contained within the Flock Services or Flock IP; (v) use the Flock Services for anything other than the Permitted Purpose; or (vi) assign, sublicense, sell, resell, lease, rent, or otherwise transfer, convey, pledge as security, or otherwise encumber, Customer’s rights. There are no implied rights.
5.3 Disclosure of Footage. Subject to and during the Retention Period, Flock may access, use, preserve and/or disclose the Footage to law enforcement authorities, government officials, and/or Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 9 third parties, if legally required to do so or if Flock has a good faith belief that such access, use, preservation or disclosure is reasonably necessary to comply with a legal process, enforce this Agreement, or detect, prevent or otherwise address security, privacy, fraud or technical issues, or emergency situations.
6. PAYMENT OF FEES
6.1 Billing and Payment of Fees. Customer shall pay the fees set forth in the applicable Order Form based on the billing structure and payment terms as indicated in the Order Form. To the extent the Order Form is silent, Customer shall pay all invoices net thirty (30) days from the date of receipt. If Customer believes that Flock has billed Customer incorrectly, Customer must contact Flock no later than thirty (30) days after the closing date on the first invoice in which the error or problem appeared to receive an adjustment or credit. Customer acknowledges and agrees that a failure to contact Flock within this period will serve as a waiver of any claim. If any undisputed fee is more than thirty (30) days overdue, Flock may, without limiting its other rights and remedies, suspend delivery of its service until such undisputed invoice is paid in full. Flock shall provide at least thirty (30) days’ prior written notice to Customer of the payment delinquency before exercising any suspension right.
6.2 Notice of Changes to Fees. In the event of any changes to fees, Flock shall provide Customer with sixty (60) days notice (email sufficient) prior to the end of the Initial Term or Renewal Term (as applicable). Any such changes to fees shall only impact subsequent Renewal Terms.
6.3 Taxes. To the extent Customer is not a tax exempt entity, Customer is responsible for all taxes, levies, or duties, excluding only taxes based on Flock’s net income, imposed by taxing authorities associated with the order. If Flock has the legal obligation to pay or collect taxes, including amount subsequently assessed by a taxing authority, for which Customer is responsible, the appropriate amount shall be invoice to and paid by Customer unless Customer provides Flock a legally sufficient tax exemption certificate and Flock shall not charge Customer any taxes from which it is exempt. If any deduction or withholding is required by law, Customer shall notify Flock and shall pay Flock any additional amounts necessary to ensure that the net amount that Flock receives, after any deduction and withholding, equals the amount Flock would have received if no deduction or withholding had been required.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 10 7. TERM AND TERMINATION
7.1 Term. The “Initial Term” of this Agreement shall be for the period of time set forth on the Order Form (the “Term”). Unless otherwise indicated on the Order Form, the Term shall commence upon first installation of Flock Hardware, as applicable. Following the Term, unless otherwise indicated on the Order Form, this Agreement will automatically renew for successive renewal terms of the greater of one year or the length set forth on the Order Form (each, a “Renewal Term”) unless either Party gives the other Party notice of non-renewal at least thirty (30) days prior to the end of the then-current term.
7.2 Termination. Upon termination or expiration of this Agreement, Flock will remove any applicable Flock Hardware at a commercially reasonable time period. In the event of any material breach of this Agreement, the non-breaching Party may terminate this Agreement prior to the end of the Term by giving thirty (30) days prior written notice to the breaching Party; provided, however, that this Agreement will not terminate if the breaching Party has cured the breach prior to the expiration of such thirty (30) day period (“Cure Period”). Either Party may terminate this Agreement (i) upon the institution by or against the other Party of insolvency, receivership or bankruptcy proceedings, (ii) upon the other Party's making an assignment for the benefit of creditors, or (iii) upon the other Party's dissolution or ceasing to do business. In the event of a material breach by Flock, and Flock is unable to cure within the Cure Period, Flock will refund Customer a pro-rata portion of the pre-paid fees for Flock Services not received due to such termination.
7.3 Survival. The following Sections will survive termination: 1, 3, 5, 6, 7, 8.3, 8.4, 9, 10.1 and
11.6. 8. REMEDY FOR DEFECT; WARRANTY AND DISCLAIMER
8.1 Manufacturer Defect. Upon a malfunction or failure of Flock Hardware or Embedded Software (a “Defect”), Customer must notify Flock’s technical support team. In the event of a Defect, Flock shall make a commercially reasonable attempt to repair or replace the defective Flock Hardware at no additional cost to the Customer. Flock reserves the right, in its sole discretion, to repair or replace such Defect, provided that Flock shall conduct inspection or Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 11 testing within a commercially reasonable time, but no longer than seven (7) business days after Customer gives notice to Flock.
8.2 Replacements. In the event that Flock Hardware is lost, stolen, or damaged, Customer may request a replacement of Flock Hardware at a fee according to the reinstall fee schedule (https://www.flocksafety.com/reinstall-fee-schedule). In the event that Customer chooses not to replace lost, damaged, or stolen Flock Hardware, Customer understands and agrees that Flock is not liable for any resulting impact to Flock Service, nor shall Customer receive a refund for the lost, damaged, or stolen Flock Hardware.
8.3 Warranty. Flock shall use reasonable efforts consistent with prevailing industry standards to maintain the Flock Services in a manner which minimizes errors and interruptions in the Flock Services and shall perform the Installation Services in a professional and workmanlike manner.
The Flock Services may be temporarily unavailable for scheduled maintenance or for unscheduled emergency maintenance, either by Flock or by third-party providers, or because of other causes beyond Flock’s reasonable control, but Flock shall use reasonable efforts to provide advance notice in writing or by e-mail of any scheduled service disruption.
8.4 Disclaimer. THE REMEDY DESCRIBED IN SECTION 8.1 ABOVE IS CUSTOMER’S SOLE REMEDY, AND FLOCK’S SOLE LIABILITY, WITH RESPECT TO DEFECTS.
FLOCK IS NOT LIABLE FOR ANY DAMAGES OR ISSUES ARISING FROM THIRDPARTY DISTRIBUTIONS REQUESTED BY CUSTOMER. AFOREMENTIONED DISTRIBUTION IS AT CUSTOMER’S OWN RISK. FLOCK DOES NOT WARRANT THAT THE FLOCK SERVICES WILL BE UNINTERRUPTED OR ERROR FREE; NOR DOES IT
MAKE ANY WARRANTY AS TO THE RESULTS THAT MAY BE OBTAINED FROM USE OF THE FLOCK SERVICES. EXCEPT AS EXPRESSLY SET FORTH IN THIS SECTION, THE FLOCK SERVICES ARE PROVIDED “AS IS” AND FLOCK DISCLAIMS ALL
WARRANTIES, EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, IMPLIED
WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. THIS DISCLAIMER ONLY APPLIES TO THE EXTENT ALLOWED BY THE GOVERNING LAW OF THE STATE MENTIONED IN SECTION 11.6.
8.5 Insurance. Flock will maintain commercial general liability policies to be provided as set forth in Exhibit B attached hereto.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 12 8.6 Force Majeure. Parties are not responsible or liable for any delays or failures in performance from any cause beyond their control, including, but not limited to acts of God, changes to law or regulations, embargoes, war, terrorist acts, pandemics (including the spread of variants), issues of national security, acts or omissions of third-party technology providers, riots, fires, earthquakes, floods, power blackouts, strikes, supply chain shortages of equipment or supplies, financial institution crisis, weather conditions or acts of hackers, internet service providers or any other third party acts or omissions.
9. LIMITATION OF LIABILITY; INDEMNITY
9.1 Limitation of Liability. NOTWITHSTANDING ANYTHING TO THE CONTRARY,
FLOCK, ITS OFFICERS, AFFILIATES, REPRESENTATIVES, CONTRACTORS AND
EMPLOYEES SHALL NOT BE RESPONSIBLE OR LIABLE WITH RESPECT TO ANY
SUBJECT MATTER OF THIS AGREEMENT OR TERMS AND CONDITIONS RELATED
THERETO UNDER ANY CONTRACT, NEGLIGENCE, STRICT LIABILITY, PRODUCT LIABILITY, OR OTHER THEORY: (A) FOR LOSS OF REVENUE, BUSINESS OR BUSINESS INTERRUPTION; (B) INCOMPLETE, CORRUPT, OR INACCURATE DATA; (C) COST OF PROCUREMENT OF SUBSTITUTE GOODS, SERVICES OR TECHNOLOGY; (D) FOR ANY INDIRECT, EXEMPLARY, INCIDENTAL, SPECIAL OR CONSEQUENTIAL DAMAGES; (E) FOR ANY MATTER BEYOND FLOCK’S ACTUAL
KNOWLEDGE OR REASONABLE CONTROL INCLUDING REPEAT CRIMINAL ACTIVITY OR INABILITY TO CAPTURE FOOTAGE; OR (F) FOR ANY AMOUNTS
THAT, TOGETHER WITH AMOUNTS ASSOCIATED WITH ALL OTHER CLAIMS, EXCEED TWO (2) TIMES THE FEES PAID AND/OR PAYABLE BY CUSTOMER TO FLOCK FOR THE SERVICES UNDER THIS AGREEMENT IN THE TWELVE (12)
MONTHS PRIOR TO THE ACT OR OMISSION THAT GAVE RISE TO THE LIABILITY,
IN EACH CASE, WHETHER OR NOT FLOCK HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. THIS LIMITATION OF LIABILITY OF SECTION
ONLY APPLIES TO THE EXTENT ALLOWED BY THE GOVERNING LAW OF THE STATE REFERENCED IN SECTION 11.6. NOTWITHSTANDING ANYTHING TO THE
CONTRARY, THE FOREGOING LIMITATIONS OF LIABILITY SHALL NOT APPLY (I) Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 13 IN THE EVENT OF GROSS NEGLIGENCE OR WILLFUL MISCONDUCT, OR (II) INDEMNIFICATION OBLIGATIONS.
9.2 Responsibility. Each Party to this Agreement shall assume the responsibility and liability for the acts and omissions of its own employees, officers, or agents, in connection with the performance of their official duties under this Agreement. Each Party to this Agreement shall be liable for the torts of its own officers, agents, or employees.
9.3 Flock Indemnity. Flock shall indemnify and hold harmless Customer, its agents and employees, from liability of any kind, including claims, costs (including defense) and expenses, on account of: (i) any copyrighted material, patented or unpatented invention, articles, device or appliance manufactured or used in the performance of this Agreement; or (ii) any damage or injury to property or person directly caused by Flock’s installation of Flock Hardware, except for where such damage or injury was caused solely by the negligence of the Customer or its agents, officers or employees; or (iii) the gross negligence or willful misconduct of Flock with respect to the Flock Services. Flock’s performance of this indemnity obligation shall not exceed two (2) times the fees paid and/or payable for the services rendered under this Agreement in the preceding twelve (12) months.
10. INSTALLATION SERVICES AND OBLIGATIONS
10.1 Ownership of Hardware. Flock Hardware is owned and shall remain the exclusive property of Flock. Title to any Flock Hardware shall not pass to Customer upon execution of this Agreement, except as otherwise specifically set forth in this Agreement. Except as otherwise expressly stated in this Agreement, Customer is not permitted to remove, reposition, re-install, tamper with, alter, adjust or otherwise take possession or control of Flock Hardware. Customer agrees and understands that in the event Customer is found to engage in any of the foregoing restricted actions, all warranties herein shall be null and void, and this Agreement shall be subject to immediate termination for material breach by Customer. Customer shall not perform any acts which would interfere with the retention of title of the Flock Hardware by Flock. Should Customer default on any payment of the Flock Services, Flock may remove Flock Hardware at Flock’s discretion. Such removal, if made by Flock, shall not be deemed a waiver of Flock’s rights to any damages Flock may sustain as a result of Customer’s default and Flock shall have the right to enforce any other legal remedy or right.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 14 10.2 Deployment Plan. Flock shall advise Customer on the location and positioning of the Flock Hardware for optimal product functionality, as conditions and locations allow. Flock will collaborate with Customer to design the strategic geographic mapping of the location(s) and implementation of Flock Hardware to create a deployment plan (“Deployment Plan”). In the event that Flock determines that Flock Hardware will not achieve optimal functionality at a designated location, Flock shall have final discretion to veto a specific location, and will provide alternative options to Customer.
10.3 Changes to Deployment Plan. After installation of Flock Hardware, any subsequent requested changes to the Deployment Plan, including, but not limited to, relocating, repositioning, adjusting of the mounting, removing foliage, replacement, changes to heights of poles will incur a fee according to the reinstall fee schedule located at (https://www.flocksafety.com/reinstall-fee-schedule). Customer will receive prior notice and confirm approval of any such fees.
10.4 Customer Installation Obligations. Customer is responsible for any applicable supplementary cost as described in the Customer Implementation Guide, attached hereto as Exhibit C. Customer represents and warrants that it has, or shall lawfully obtain, all necessary right title and authority and hereby authorizes Flock to install the Flock Hardware at the designated locations and to make any necessary inspections or maintenance in connection with such installation.
10.5 Flock’s Obligations. Installation of any Flock Hardware shall be installed in a professional manner within a commercially reasonable time from the Effective Date of this Agreement. Upon removal of Flock Hardware, Flock shall restore the location to its original condition, ordinary wear and tear excepted. Flock will continue to monitor the performance of Flock Hardware for the length of the Term. Flock may use a subcontractor or third party to perform certain obligations under this Agreement, provided that Flock’s use of such subcontractor or third party shall not release Flock from any duty or liability to fulfill Flock’s obligations under this Agreement.
11. MISCELLANEOUS
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 15 11.1 Compliance with Laws. Parties shall comply with all applicable local, state and federal laws, regulations, policies and ordinances and their associated record retention schedules, including responding to any subpoena request(s).
11.2 Severability. If any provision of this Agreement is found to be unenforceable or invalid, that provision will be limited or eliminated to the minimum extent necessary so that this Agreement will otherwise remain in full force and effect.
11.3 Assignment. This Agreement is not assignable, transferable or sublicensable by either Party, without prior consent. Notwithstanding the foregoing, either Party may assign this Agreement, without the other Party's consent, (i) to any parent, subsidiary, or affiliate entity with such Party, or (ii) to any purchaser of all or substantially all of such Party's assets or to any successor by way of merger, consolidation or similar transaction.
11.4 Entire Agreement. This Agreement, together with the Order Form(s), the reinstall fee schedule (https://www.flocksafety.com/reinstall-fee-schedule), and any attached exhibits are the complete and exclusive statement of the mutual understanding of the Parties and supersedes and cancels all previous or contemporaneous negotiations, discussions or agreements, whether written and oral, communications and other understandings relating to the subject matter of this Agreement. All waivers and modifications must be in a writing signed by both Parties, except as otherwise provided herein. None of Customer’s purchase orders, authorizations or similar documents will alter the terms of this Agreement, and any such conflicting terms are expressly rejected. Any mutually agreed upon future purchase order is subject to these legal terms and does not alter the rights and obligations under this Agreement, except that future purchase orders may outline additional products, services, quantities and billing terms to be mutually accepted by Parties. In the event of any conflict of terms found in this Agreement or any other terms and conditions, the terms of this Agreement shall prevail. Customer agrees that Customer’s purchase is neither contingent upon the delivery of any future functionality or features nor dependent upon any oral or written comments made by Flock with respect to future functionality or feature.
11.5 Relationship. No agency, partnership, joint venture, or employment is created as a result of this Agreement and Parties do not have any authority of any kind to bind each other in any respect whatsoever. Flock shall at all times be and act as an independent contractor to Customer.
11.6 Governing Law; Venue. This Agreement shall be governed by the laws of the state in which the Customer is located. The Parties hereto agree that venue would be proper in the Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 16 chosen courts of the State of which the Customer is located. The Parties agree that the United Nations Convention for the International Sale of Goods is excluded in its entirety from this Agreement.
11.7 Special Terms. Flock may offer certain special terms which are indicated in the Order Form and will become part of this Agreement, upon Customer’s prior written consent and the mutual execution by authorized representatives (“Special Terms”). To the extent that any terms of this Agreement are inconsistent or conflict with the Special Terms, the Special Terms shall control.
11.8 Publicity. Upon prior written consent, Flock has the right to reference and use Customer’s name and disclose the nature of the Flock Services in business and development and marketing efforts. Nothing contained in this Agreement shall be construed as conferring on any Party, any right to use the other Party’s name as an endorsement of product/service.
11.9 Feedback. If Customer or Authorized End User provides any suggestions, ideas, enhancement requests, feedback, recommendations or other information relating to the subject matter hereunder, Customer or Authorized End User hereby assigns to Flock all right, title and interest (including intellectual property rights) with respect to or resulting from any of the foregoing.
11.10 Export. Customer may not remove or export from the United States or allow the export or re-export of the Flock IP or anything related thereto, or any direct product thereof in violation of any restrictions, laws or regulations of the United States Department of Commerce, the United States Department of Treasury Office of Foreign Assets Control, or any other United States or foreign Customer or authority. As defined in Federal Acquisition Regulation (“FAR”), section
2.101, the Flock Services, the Flock Hardware and Documentation are “commercial items” and according to the Department of Defense Federal Acquisition Regulation (“DFAR”) section 252.2277014(a)(1) and are deemed to be “commercial computer software” and “commercial computer software documentation.” Flock is compliant with FAR Section 889 and does not contract or do business with, use any equipment, system, or service that uses the enumerated banned Chinese telecommunication companies, equipment or services as a substantial or essential component of any system, or as critical technology as part of any Flock system.
Consistent with DFAR section 227.7202 and FAR section 12.212, any use, modification, reproduction, release, performance, display, or disclosure of such commercial software or Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 17 commercial software documentation by the U.S. Government will be governed solely by the terms of this Agreement and will be prohibited except to the extent expressly permitted by the terms of this Agreement.
11.11 Headings. The headings are merely for organization and should not be construed as adding meaning to the Agreement or interpreting the associated sections.
11.12 Authority. Each of the below signers of this Agreement represent that they understand this Agreement and have the authority to sign on behalf of and bind the Parties they are representing upon the Effective Date. This Agreement shall be binding upon the heirs, executors, administrators, successors and assigns of the Parties.
11.13 Conflict. In the event there is a conflict between this Agreement and any applicable statement of work, or Customer purchase order, this Agreement controls unless explicitly stated otherwise.
11.14 Notices. All notices under this Agreement will be in writing and will be deemed to have been duly given when received, if personally delivered; when receipt is electronically confirmed, if transmitted by email; the day after it is sent, if sent for next day delivery by recognized overnight delivery service; and upon receipt to the address listed on the Order Form (or, if different, below), if sent by certified or registered mail, return receipt requested. All notices will be provided to the email or mailing address listed in the Order Form.
11.15 Non-Appropriation. Notwithstanding any other provision of this Agreement, all obligations of the Customer under this Agreement which require the expenditure of public funds are conditioned on the availability of said funds appropriated for that purpose. To the extent applicable, Customer shall have the right to terminate this Agreement for non-appropriation with thirty (30) days written notice without penalty or other cost.
11.16 Counterparts. This Agreement may be executed in counterparts, each of which shall be deemed to be an original, and such counterparts shall constitute one and the same instrument.
Each of the Parties intend to be bound by the signatures on any telecopied, .pdf or other electronically delivered document, and are aware that the other party will rely on the telecopied, .pdf or other electronically delivered signatures, and hereby waive any defenses to the enforcement of the terms of this Agreement based on the form of signature. .
[SIGNATURE PAGE(S) FOLLOWS]
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 18 IN WITNESS WHEREOF, the Parties hereto have executed this Agreement as of the Effective Date.
CUSTOMER:
CITY OF GLENDORA, a municipal corporation
Adam Raymond
City Manager
APPROVED AS TO FORM:
ALESHIRE & WYNDER, LLP
Danny Aleshire
City Attorney
ATTEST:
Kathleen R. Sessman
City Clerk/Communications Director
FLOCK:
FLOCK GROUP INC., a Delaware corporation
Name: Garrett Langley
Title: Chief Executive Officer
Email: [email protected]
Name: Mark Smith
Title: General Counsel
Email: [email protected]
Address: 1170 Howell Mill Rd., NW Suite 210
Atlanta, GA 30318
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Mar 20, 2025 | 5:03 PM EDT
Mar 20, 2025 | 2:18 PM PDT
EXHIBIT A
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Flock Safety + CA - Glendora PD
______________
Flock Group Inc.
1170 Howell Mill Rd, Suite 210
Atlanta, GA 30318
______________
MAIN CONTACT:
Jake Sherman
[email protected]
8187467444
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38
ORDER FORM
This order form (“Order Form”) hereby incorporates and includes the terms of the previously executed agreement (the “Terms”) which describe and set forth the general legal terms governing the relationship (collectively, the "Agreement" ). The Terms contain, among other things, warranty disclaimers, liability limitations and use limitations.
This additional services Agreement will be effective when this Order Form is executed by both Parties (the “Effective Date”) Customer: CA - Glendora PD Initial Term: 24 Months
Legal Entity Name: CA - Glendora PD Renewal Term: 24 Months Accounts Payable Email: [email protected] Payment Terms: Net 30 Address: 150 N Glendora Ave Glendora, California
91741
Billing Frequency: Total Contract Billed at Signing
Retention Period: 30 Days
Hardware and Software Products
Annual recurring amounts over subscription term
Item Cost Quantity Total
Flock Safety Platform $33,400.00
Flock Safety Bundles
Solar LPR Combo Bundle Included 1 Included
Flock Safety LPR Products
Flock Safety LPR, fka Falcon Included 9 Included
Solar Long-Range LPR, fka Solar Falcon LR Included 1 Included Solar LPR, fka Solar Falcon Included 1 Included
Professional Services and One Time Purchases
Item Cost Quantity Total
One Time Fees
Flock Safety Professional Services
Professional Services - Standard Implementation Fee $650.00 4 $2,600.00 Professional Services - Existing Infrastructure
Implementation Fee $150.00 5 $750.00
Professional Services - Solar Bundle Implementation
Fee $900.00 1 $900.00
Estimated Tax: $0.00
Contract Total: $71,050.00
Taxes shown above are provided as an estimate. Actual taxes are the responsibility of the Customer. This Agreement will automatically renew for successive renewal terms of the greater of one year or the length set forth on the Order Form (each, a “Renewal Term”) unless either Party gives the other Party notice of non-renewal at least thirty (30) days prior to the end of the then-current term.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 The Term for Flock Hardware shall commence upon first installation and validation, except that the Term for any Flock Hardware that requires selfinstallation shall commence upon execution of the Agreement. In the event a Customer purchases more than one type of Flock Hardware, the earliest Term start date shall control. In the event a Customer purchases software only, the Term shall commence upon execution of the Agreement.
Billing Schedule
Billing Schedule Amount (USD)
Total Contract Due at Signing $71,050.00
*Tax not included
Annual Billing Schedule
Total Contract Due at Signing: $71,050.00
Contract Total: $71,050.00
Annual Totals
Annual Recurring: $33,400.00
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Product and Services Description
Flock Safety Platform Items Product Description
Flock Safety LPR, fka Falcon
Law enforcement grade infrastructure-free (solar power + LTE) license plate recognition camera with Vehicle Fingerprint ™ technology (proprietary machine learning software) and real-time alerts for unlimited users.
Professional Services - Standard
Implementation Fee
One-time Professional Services engagement. Includes site and safety assessment, camera setup and testing, and shipping and handling in accordance with the Flock Safety Standard Implementation Service Brief.
Professional Services - Existing
Infrastructure Implementation Fee
One-time Professional Services engagement. Includes site and safety assessment of existing vertical infrastructure location, camera setup and testing, and shipping and handling in accordance with the Flock Safety Standard Implementation Service Brief.
Solar LPR Combo Bundle One solar-powered fixed long-range camera and one solar-powered, standard-range LPR camera on the same pole Solar Long-Range LPR, fka Solar
Falcon LR
Law enforcement grade, long range and high vehicle speed license plate recognition camera with Vehicle Fingerprint ™ technology (proprietary machine learning software) and real-time alerts for unlimited users, with LTE. Solar Power only Solar LPR, fka Solar Falcon
Standard range license plate recognition camera with Vehicle Fingerprint ™ technology (proprietary machine learning software) and real-time alerts for unlimited users, with LTE
Professional Services - Solar
Bundle Implementation Fee
One-time Professional Services engagement. Includes site and safety assessment, camera setup and testing, and shipping and handling in accordance with the Flock Safety Standard Implementation Service Brief.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 By executing this Order Form, Customer represents and warrants that it has read and agrees to all of the terms and conditions contained in the previously executed agreement.
The Parties have executed this Agreement as of the dates set forth below.
FLOCK GROUP, INC. Customer: CA - Glendora PD
By:
\FSSignature2\
By:
\FSSignature1\
Name:
\FSFullname2\
Name:
\FSFullname1\
Title:
\FSTitle2\
Title:
\FSTitle1\
Date:
\FSDateSigned2\
Date:
\FSDateSigned1\
PO Number:
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38
EXHIBIT B
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38
EXHIBIT B
INSURANCE
Required Coverage. Flock shall procure and maintain for the duration of this Agreement insurance against claims for injuries to persons or damages to property that may arise from or in connection with the performance of the Flock Services under this Agreement and the results of that work by Flock or its agents, representatives, employees or subcontractors. Insurance shall be placed with insurers with a current A. M. Best rating of no less than “A” and “VII”. Flock shall obtain and, during the term of this Agreement, shall maintain policies of professional liability (errors and omissions), automobile liability, and general liability insurance for insurable amounts of not less than the limits listed herein. The insurance policies shall provide that the policies shall remain in full force during the life of the Agreement. Flock shall procure and shall maintain during the life of this Agreement Worker's Compensation insurance as required by applicable State law for all Flock employees. For the avoidance of doubt, (i) all required insurance limits by Customer can be met through a combination of primary and excess/umbrella coverage, and (ii) Flock’s Cyber and Professional Liability/Errors and Omissions insurance has a shared limit of Five Million Dollars (5,000,000) per incident and in the aggregate.
Types and Amounts Required. Flock shall maintain, at minimum, the following insurance coverage for the duration of this Agreement:
(i) Commercial General Liability insurance written on an occurrence basis with minimum limits of One Million Dollars ($1,000,000) per occurrence and Two Million Dollars ($2,000,000) in the aggregate for bodily injury, death, and property damage, including personal injury, contractual liability, independent contractors, broad-form property damage, and product and completed operations coverage;
(ii) Workers Compensation insurance in accordance with statutory limits; (iii) Professional Liability/Errors and Omissions insurance with minimum limits of Five Million Dollars ($5,000,000) per occurrence and Five Million Dollars ($5,000,000) in the aggregate;
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 (iv) Commercial Automobile Liability insurance with a minimum combined single limit of One Million Dollars ($1,000,000) per occurrence for bodily injury, death, and property coverage, including owned and non-owned and hired automobile coverage; and (v) Cyber Liability insurance written on an occurrence basis with minimum limits of Five Million Dollars ($5,000,000).
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38
EXHIBIT C
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Law Enforcement
Customer Implementation Guide
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Customer Implementation Guide: LAW ENFORCEMENT 1
Implementation Timeline
Flock Safety Team
Implementation Service briefs: Existing Infrastructure
vs Standard vs AdvanceW
@ Existing Infrastructure Implementatio>
@ Standard Implementatio>
@ Advanced Implementation
Things to Consider When Selecting Locations
Customer Responsibilities: AC-Powered Cams
Electrician HandouP
@ Electrician Installation Step7
@ FAQs about AC-Powered Flock Cameras
Installation Service Brief Summary
Permitting: Pre-Install QuestionnairY
&% TimelinY
U% Right of WaJ
#% AC Power vs. SolaE
"% Traffic Control & Installation Method7
% Paperwork & Required Form7
% Contacts
*Fee Schedule
Help Center
Customer Support
................................................................. 2
............................................................................ 3
............. 6
......................... 12
........................ 14
........................................................................ 15
............................................. 18
.......................................... 19
................................................................................. 21
..................................................................................... 22
.......................................................................... 22 Table of Contents
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Review Locations Confirm camera locations with your sales representative FLOCK: Your sales representative will present several viable options for camera locations
CUSTOMER: Review Deployment Plan & approve camera locations
Please Note: If Public Works is required to move forward, please obtain approval finalize Locations Prepare for finalized camera locations FLOCK: Confirm Deployment Plane and signed agreement. Flock will move forward with next steps for locations that don't need permits (minimum 10 locations needed to move forward with partial installation)
CUSTOMER: Prepare the below items, as neede
If permits are required, begin application proces
If camera will be AC-powered, hire an electrician/street department Step 1 Conduct On-site Survey & Place Flags
FLOCK: Flock technician conducts site survey to (1) evaluate/reconfirm solar or power access, (2) check line of sight to the road, and (3) evaluate/reconfirm cellular service in the area. When the technician deems the locations suitable, s/he will place a white flag at each spot
If the initially determined locations don't meet Flock standards, we will evaluate a new location, obtain customer approval, and redo a site survey. This may push timeline for installation
PLEASE NOTE:
Step 2 Call 811
FLOCK: Flock Safety will coordinate with Call 811 to mark each camera location for underground utilities within a 10 foot radius
Call 811 is a government service, so turnaround times may vary and is outside of Flock control
PLEASE NOTE:
Step 3 Schedule Installation
FLOCK: Flock will (1) ship any site specific material that the technician does not have locally (2) schedule the installation date
Step 4 Install & Validate Cameras
FLOCK: After installation, your Onboarding Specialist will confirm that cameras are capturing footage well and functioning properly. They will then give you full access to the system along with helpful training resources
Ongoing as Needed Finalize Any Installation Needs
FLOCK: While we typically complete installations within 4 weeks of finalizing locations, delays may occur due to external factors. In these instances, we will continue to work through this process until your cameras are fully installed and operational 2 This timeline provides general guidance and understanding of your installation process. While we typically complete installations 6-8 weeks after locations have been finalized, delays can occur as noted in the timeline below:
Implementation Timeline
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Implementation Team How They Will Support You
Field Operations
Team
W The Field Operations team is responsible for the
physical installation and maintenance of
cameras and associated equipment provided by
Flock. This includes a large team of technicians,
schedulers, and many others involved in
ensuring the delivery of the product.7
W They take the technical plan you finalized with
Product Implementation and work closely with
other teams at Flock to make sure that the
cameras are installed quickly and safely and in
a way that maximizes the opportunity to solve
crime at a specific location@
W *Note*: For
, please always direct them to your
and not the
technician.
all Installation questions or
concerns
Customer Success Manager
Project Manager
Your is your
Your project manager will guide you through the
entire installation process, keeping you apprised
of all implementation updates as well as answering
any questions you have during this time. They will
ensure that all the cameras are on the ground and
operating for at least 48 hours before transitioning
you to your Customer Success Manager.
Project Manager primary contact
during camera installation.
3 Flock Safety Team
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Relationship Team How They Will Support You
Flock Safety
Support
The Flock Safety Support team is committed to
answering all your day-to-day questions as quickly
as possible. , simply
email
Support can help you>
= Request camera maintenanc:
= Troubleshoot online platforA
= Contract / Billing questionI
= Update account informatioO
= Camera Sharing questionI
= Quick “How to” questions in your Flock Account
To get in touch with support
[email protected] or call
866-901-1781 Mon-Fri 8am-8pm EST.
Customer Success
Manager
Your Customer Success Manager is your strategic
partner for your lifetime as a Flock customer.
While the cameras are getting installed, your CSM
will help get your account set up and get all key
users trained on the system.
Post-Camera-Installation, your CSM will be your
go-to for most account-related needs: You should
reach out to them to>
= Set up Account Trainin
= Understand benefits of featureI
= Learning best practices for getting relevant
dat£
= Identifying opportunities to expand the security
network in your are£
= Provide feedback on your partnership with
Flock
4 Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Outside Party When they may be involved
If the Flock cameras need to be AC powered, you
(customer) are responsible for providing an
electrician to ensure power connectivity
Electrician/Street
Department
To weigh in on the use of public Rights of Way or
property Public Works (LE)
If installation in your area requires permitting
Department of
Transportation
(DOT), City, or
County agencies
5 PLEASE NOTE: On some occasions, third parties outside of Flock Safety may be (or need to be) involved in your implementation.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 Included in scope:
Once designated locations are approved by the customer, as part of the Flock will perform the following
An in-person site survey to confirm the installation feasibility of a location (location assessment, solar assessment, visibility review, etc. Cameras need sufficient power. Since a solar panel is required per camera, it can prevent adequate solar power if two cameras and two solar panels are on a single pole (blocking visibility). Therefore
if relying on solar power, only one camera can be installed per pole Confirm that a location is safe for work by following State utility locating procedures.)
Each installation may include the following
Installation of camera and solar panel or AC adapter box on a suitable existing pole
Existing
Infrastructure Implementation Service
COST: $150 per camera (one time cost)
Existing Infrastructure Implementation
Existing
Infrastructure Install
Pole None Flock NCHRP 350 /
MASH
Timeline Short Medium Longest
Cost Lowest Mid Highest
Standard
Install
Advanced
Install
Implementation Service Briefs: Existing
Infrastructure vs Standard vs Advanced
6 Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 7 Out of scope:
By default, Flock does include the following as part of the but can provide a quote for sourcing at
an additional cost
Mounting on mast arms (always require bucket truck and traffic control"
Call 811 ‘Call-before-you-Dig’ systeF
Installation of any poles including but not limited t%
Standard, 12’ above grade
NCHRP 350 or MASH approved pole (as may be required for locations in DOT right of way"
A Bucket Truck for accessing horizontal/cross-beams and/or height above 14
Special equipment rentals for site acces-
Site-specific engineered traffic plan-
Third-party provided traffic controA
State or city-specific specialty contractor licenses or unique attachment/ connection requirement-
Custom engineered drawings;
Electrical work requires a licensed electrician.
not Existing
Infrastructure Implementation Service
Flock breakaway polQ
Types of existing infrastructure such as existing utility, light, and traffic signal poles
Pole no higher than 8’-12’ (approval at Flock Safety’s discretion"
Flock will provide and mount an AC adapter unit that a qualified electrician can connect to AC power following our
. Flock is unable to make any AC connections or
boreholes in any material other than dirt, grass, loose gravel (or other non-diggable material). Electrical work requiring a licensed electrician and associated costs, not included in the scope
Access requiring up to a 14’ using an A-frame ladde
Standard MUTCD traffic control procedures performed by a Flock technicia¢
Obtain a business license to operate in the city and state of camera location
electrical wiring
requirements
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 8 Included in scope:
Once designated locations are approved by the customer, as part of the Flock will perform the following
An in-person site survey to confirm the installation feasibility of a location (location assessment, solar assessment, visibility review, etc.)- Confirm that a location is safe for work by following state utility locating procedures. Work with local utilities to prevent service interruptions during the installatio
Engage 811 ‘Call-before-you-Dig’ system to receive legal dig dat" Apply approved markings Coordinate with 811 regarding any necessary high-risk dig clearances or required vendor meet
Each installation may include the following
Installation of camera and solar panel with
Standard Implementation Service
standard, 12’ above grade
Flock breakaway pole
COST: $650 per camera (one time cost)
Standard Implementation
Flock will provide and mount an AC adapter that a qualified electrician can connect to AC power but cannot make any AC connections or boreholes in any material other than dirt, grass, loose gravel (or other non-diggable material)x
Concrete cuttinz
Private utility search for privately owned items not included in standard 811 procedures (communication, networking, sprinklers, etc. Upgrades to power sources to ready them for Flock power (additional fuses, switches, breakers, etc.
Any fees or costs associated with filing for required city, county, or state permit
Licensing or attachment agreements with asset / infrastructure owners- Utility contracts and billing-
Customer requested relocations (see fee schedule)
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 9 Out of scope:
By default, Flock does include the following as part of the Standard Implementation Service but can provide a quote for sourcing at an additional cost! Use and/or mounting to existing infrastructure
NCHRP 350 or MASH approved pole (as may be required for locations in DOT right of way$
A Bucket Truck for accessing horizontal/cross-beams and/or height above 14 Special equipment rentals for site acces2
Site-specific engineered traffic plan2
Third-party provided traffic controA
State or city-specific specialty contractor license2
Custom engineered drawings;
Electrical work requires a licensed electrician.;
Flock will provide and mount an AC adapter that a qualified electrician can connect to AC power but cannot make any AC connections or boreholes in any material other than dirt, grass, loose gravel (or other non-diggable material)
Concrete cuttin
Private utility search for privately owned items not included in standard 811 procedures (communication, networking, sprinklers, etc.) not
Installation of camera and AC adapter that a qualified electrician can connect to AC power on a suitable existing pole, no higher than 8-12’ (approval at Flock Safety’s discretion$
Flock will provide and mount an AC adapter that a qualified electrician can connect to AC power following our . Flock
is unable to make any AC connections or boreholes in any material other than dirt, grass, loose gravel (or other non-diggable material). Electrical work requiring a licensed electrician and associated costs, not included in the scope
Access requiring up to a 14’ A-frame laddex
Standard MUTCD traffic control procedures performed by a Flock technicia~ Obtain a business license to operate in the City and State of camera location electrical wiring requirements
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 10 Upgrades to power sources to ready them for Flock power (additional fuses, switches, breakers, etc.#
Any fees or costs associated with filing for required city, county, or state permit%
Licensing or attachment agreements with asset / infrastructure owners
Utility contracts and billing
Customer requested relocations (see fee schedule)
Included in scope:
Once Designated Locations are confirmed, as part of the , Flock will perform the followingF
An in-person site survey to confirm the installation feasibility of a location (location assessment, solar assessment, visibility review, etc.)
Confirm that a location is safe for work by following State utility locating procedures. Work with local utilities to prevent service interruptions during the installatioC
Engage 811 ‘Call-before-you-Dig’ system to receive legal dig dat\
Apply approved markings Coordinate with 811 regarding any necessary high-risk dig clearances or required vendor meet%
Each installation may include the followingF
Installation of camera and solar panel on a suitable
approved pole-
Installation of camera and AC adapter that a qualified electrician can connect to AC power-
Flock will provide and mount an AC adapter that a qualified electrician can connect to AC power following our .
Flock cannot make any AC connections or boreholes in any material other than dirt, grass, loose gravel (or other non-diggable material).
Advanced
Implementation Service
NCHRP 350 or MASH
electrical wiring requirements
COST: $1,900 per camera (one time cost)
Advanced Implementation
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 11 Out of scope:
By default, Flock does not include the following as part of the but can optionally provide a quote for sourcing
(additional cost)
Installation on or existing
infrastructure
A Bucket Truck for accessing horizontal/cross-beams and/or height above 14 Special equipment rentals for site acces-
Site-specific engineered traffic plan-
Third-party provided traffic contro;
State or City-specific specialty contractor license-
Custom engineered drawing-
Electrical work requires a licensed electrician. Flock will provide and mount an AC adapter that a qualified electrician can connect to AC power but cannot make any AC connections or boreholes in any material other than dirt, grass, loose gravel (or other non-diggable material)
Concrete cuttin
Private utility search for privately owned items not included in standard 811 procedures (communication, networking, sprinklers, etc.
Upgrades to power sources to ready them for Flock power (additional fuses, switches, breakers, etc.
Fees or costs associated with filing for required City, County, or State permits Advanced
Implementation Service
Standard, 12’ above grade Flock breakaway pole
r
Access requiring up to a 14’ A-frame laddeu
Standard MUTCD traffic control procedures performed by a Flock techniciax
Obtain a business license to operate in the City and State of camera location Electrical work requiring a licensed electrician and associated costs, not included in the scope.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 12 - Mountin(
- They can be mounted on existing utility, light, traffic signal poles, or 12 foot Flock poles.
- They should be mounted one per pole. If using AC power, they can be mounted 2 per pole.
- They can be powered with solar panels or direct wire-in AC Power (no outlets).
- They will require adequate cellular service using AT&T or T-Mobile to be able to process & send images.
/
**
**/
- Placemen<
- They capture vehicles driving away from an intersection. - They cannot point into the middle of an intersection. - They should be placed after the intersection to prevent stop and go motion activation or “stop and go” traffic.
Falcon Cameras
- Use Caset
- Flock LPRs are designed to capture images
of rear license plates aimed in the direction
of traffic.
- Flock LPRs are not designed to capture
pedestrians, sidewalks, dumpsters, gates,
other areas of non-vehicle traffic,
intersections.
Things to Consider When Selecting Locations
*
**
***
Permitting (or permission from pole owner) may be required to use existing infrastructure or install in specific areas, depending on local regulations & policies.
Cameras need sufficient power. Since a solar panel is required per camera, it can prevent adequate solar power if two cameras and two solar panels are on a single pole (blocking visibility). Therefore if relying on solar power, only one camera can be installed per pole.
Flock does not provide Electrical services. Once installed, the agency or community must work with an electrician to wire the cameras. Electrician services should be completed within two days of installation to prevent the camera from dying.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 13 Pole
not
If a location requires a "DOT Pole” (i.e., Advanced
Pole, Flock standard pole), the implementation
cost will be $5,000/camera.
Solar Panels
Solar panels need unobstructed southern-facing
views.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 14 Customer Responsibilities: AC-Powered Cams
If the Flock cameras need to be AC-powered, the for
acquiring an electrician and ensuring they connect the camera to power. .
customer is responsible
See steps
2 and 6 below
6. Connect Camera to Power
Notify the electrician that the camera is ready for the power connection installation
5. Install Camera
Flock will install the camera and AC power kit at the specified camera location
4. Conduct Site Survey
Flock will mark camera locations, locate underground utilities and mark if present
3. Sign Flock Safety Agreement
Sign the Flock Safety purchase order to begin the installation of cameras
2. Acquire an Electric Quote
Contact an electrician to receive a quote to run 120volt AC power to 120v the camera
1. Create a Deployment Plan
Work with us to select the best location(s) for Flock Safety cameras and power sources
How to Get Started with a Powered Install
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 15 Electrician Handout
Electrician Installation Steps*
A4 Run AC cable and conduit to the box
according to NEC Article 300 and any
applicable local codes. The gland
accepts ½” conduit4
&4 Open the box using hinges4
4 Connect AC Mains per wiring diagram
below:
c4 Connect AC Neutral wire to the Surge Protector white Neutral wire using the open position on the lever nut4
U4 Connect AC Line wire to the Surge Protector black Line wire using the open position on the lever nut4
]4 Connect AC Ground wire to the Surge Protector green ground wire using the open position on the lever nut.
4. Verify that both the RED LED is lit on the front of the box
5. Close box and zip tie the box shut with the provided zip tie
6. While still on-site, call Flock, who will remotely verify that power is working
correctly:
Southeast Region - (678) 562-8766
West-Region - (804) 607-9213
Central & NE Region - (470) 868-4027
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 16 FAQs about AC-Powered Flock Cameras
What voltage is supported?
The AC kit is designed to work with 120VAC Infrastructure by default. A 240VAC version is available on request.
How much power does this consume
Peak current draw is 1.5 A at 120VAC. The average power draw is roughly 30W in high traffic conditions but maybe lower when fewer vehicles are present.
Who is responsible for contracting the electrician?
The customer is responsible for contracting an electrician. We can help answer questions, but the customer is responsible for identifying and contracting an electrician.
Who is responsible for maintenance?
Flock will handle all maintenance related to Flock’s camera and power equipment.
However, any problems with the electrical supply are the customer’s responsibility.
The AC junction box has two lights to indicate the presence of power and make it easy for quick diagnosis if there is a problem related to the AC power source If the camera indicates to Flock that there is a power supply problem, Flock will notify the customer and request that the customer verifies the lights on the AC junction box. If the AC Source light is illuminated, Flock will send a technician to investigate. If the AC source light is not illuminated, the customer should check any GFCI’s or breakers in the supply circuit or call the electrician who installed the power supply.
How much does it cost?
Work required to bring AC power to each location will be different, so exact pricing is unavailable. Primary cost drivers include arrow boards and the distance from the camera location to the AC power source.
What information do I need to provide my electrician?
The Flock deployment plan and these work instructions should be sufficient to secure a quote. It will be helpful if you know the location of the existing power infrastructure before creating the deployment plan.
?
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 17 Can you plug it into my existing power outlet? The Flock AC power adapter does not use a standard outlet plug but must be directly wired into the power mains.
While using outlet plugs may be convenient, they can easily be unplugged, presenting a tampering risk to this critical safety infrastructure.
The electrician can route power directly to the camera with a direct wire-in connection if an outlet is close to the camera.
How long does this process typically take?
The installation process typically takes 6-8 weeks. To accelerate the process, be sure to have the electrician perform his work shortly after the Flock technician finishes installing the camera.
What kind of electrician should I look for?
Any licensed electrician should perform this work, though we have found that those who advertise working with landscape lighting are most suited for this work.
What happens if the electrician damages the equipment?
The customer is responsible for contracting the electrician. Any liability associated with this work would be assumed by the customer. If any future work is required at this site due to the electrical infrastructure or the work performed by the electrician would be the responsibility of the customer.
When should the electrician perform his work?
Once Flock installs the camera, you will receive an email alert letting you know that this has been completed. After this, you will need to schedule the electrician to route power to the pole.
What if my electrician has questions about Flock’s AC Kit?
You should share the packet with the electrician if they have questions.
What if the AC power is on a timer?
Sometimes the AC power will be on a timer (like used for exterior lighting). Flock requires that the AC power provided to the camera be constant. The source that the electrician uses must not be on a timing circuit.
AC-Power Kit Details
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 18 Installation Service Brief Summary
Below outlines the statement of work for the Flock Camera Installation:
What is covered by Flock
Flock Cameras &
Online Platform
Mounting Poles
AC Power Kit (as needed)
Solar Panels (as needed)
Site Surveys and Call 811
Scheduling
Installation Labor Costs
Customer Support / Training
Cellular Data Coverage
Maintenance Fees
(review for
more details)
Fees Sheet
Data storage for 30 days
Traffic Control and any
associated costs
*DOT Approved Pole cost Electrician
& ongoing electrical costs
Engineering Drawings
Relocation Fees
Contractor licensing fees
Permit application processing fees
Specialist mounting equipment
Bucket trucks
Loss, theft, damage to Flock
equipment
Camera downtime due to
power outage
***Field Technician Maintenance
for Falcon™ Flex
excluding changes during
initial installation
Including, but not limited
to, MASH poles or
adapters
**
Only applicable for
AC-powered cameras
What is NOT covered by Flock Special note
*
**
***
If a location requires a DOT pole (i.e., not our standard), the implementation cost will be $5,000/camera; This cost is applicable for installations in GA, IL, SC, TN, and CA.
MASH poles: Manual for Assessing Safety Hardware (MASH) presents uniform guidelines for crash testing permanent and temporary highway safety features and recommends evaluation criteria to assess test results
If a camera is lost, stolen, or damaged, a replacement device can be purchased at a discounted price of $800
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 19 Permitting: Pre-Install Questionnaire
Traffic Control & Installation Method
, this typically necessitates an entire lane to be
blocked in the direction of travel.
If a bucket truck is required
Can you provide a patrol car escort, or will
full traffic control be required?*
4. AC Power vs. Sola
If AC powered, is there a 120V power source available, and is there access to an electrician who can connect the existing wire to the Flock Safety powered
If solar-powered, consider the size of the solar panel and potential to impact the visibility of DOT signs/signals
Single Panel: 21.25" x 14" x 2" (Length x Width x Depth Double Panel: 21.25" x 28" x 2" (LxWxD)
installation kit
3. Right of WaÐ
Will any Flock Safety cameras be installed on the city, state, or power company-owned poles or in the city, county, or state Right of Way (RoW) What is the RoW buffer
Will additional permits or written permission be required from third-party entities (such as DOT, power companies, public works, etc.) Will any cameras be installed on city-owned traffic signal poles (vertical mass)?Ô
If yes, please provide heights/photos to determine if a bucket truck is needed for the installation.Ô
Note: A bucket truck is required if the height exceeds 15 feet tall.
2. Timelin
In Flock Safety s experience, in-depth permitting requirements can The SLA for permit document submission is within 15 days from contract signature date (contract Closed-Won)
add 2+
months to the installation timeline.:
1. PLEASE NOTE: If traffic control is required, you may incur additional costs due to city/state requirements; Fees will be determined by quotes received.
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 20 Paperwork & Required Form,
Flock Safety will need copies of paperwork to complete before proceeding (ex., business license applications, encroachment permit applications). We can save critical time by gathering these documents upfront. We appreciate your assistance in procuring these.
5. Contact,
If Flock Safety needs to interface directly with the departments, please share the contact information of the following departmentsC
Permittin7
Public WorkW
Traffic Department
6.
Will standard plans suffice, or are custom plans needed? Custom plans can double the cost, while standard plans can be pulled from the Manual of Uniform Traffic Control Devices n
Will a non-sealed copy of the traffic plan suffice? Or does the traffic plan need to be sealed and/or submitted by a professional engineery Are there state-specific special versions/variances that must be followedy , the shoulder or sidewalk should suffice and
enable Flock Safety to proceed without traffic control systems in place.u Note: In some states (i.e., arrow boards), sidewalks may require signage. If signage is mandatory, Will your Public Works department be able to assist?
If full traffic control is required (cones, arrow boards, etc.) (MUTCD)
If a bucket truck is not required
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 21 After a deployment plan with Designated Locations and equipment has been agreed upon by both Flock and the Customer, any subsequent changes to the deployment plan (“Reinstalls”) driven by a Customer’s request will incur a fee per the table below.
What services incur fees
/ Requested relocations post-approval by customer:
/ Relocations due to poor performance will be the responsibility of Floc / If a customer requests a location against the advisement of Flock, performance issues and any requested relocations will be the responsibility of the customer
/ Per the contract and absent a defect, in the event that Flock Hardware is lost, stolen, or damaged, Customer may request that Flock replace the Flock Hardware at a fee according to the then-current Reinstall policy
/ Misc billables for out of scope items for each implementation
https://www.flocksafety.com/reinstall-fee-scheduleN
Incurred Fees
/ Camera relocatioi
/ Existing infrastructure (non-AC powered)........................................................ / Flock pole (non-AC powered).............................................................................. / Advanced pole (non-AC powered).................................................................. / Replacement
/ Camera only as a result of vandalism, theft, or damage ............................. / Pole replacement only as a result of vandalism, theft, or damagx / Flock pole .......................................................................................................... / Advanced pole ............................................................................................... / Full replacement as a result of vandalism, theft, or damage:
/ Flock pole, camera, and solar (non-AC Powered).................................. / Advanced pole, camera, and solar (non-AC Powered)..........................
$350
$750
$5000
$800
$500
$5000
$1300
$5800
*Fee Schedule
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 22 Trip charge ...................................................................................................................... Examples
Angle adjustment (elective
Install additional Flock signage
$35!
All fees are per reinstall or required visit (in the case that a reinstall is attempted but not completed) and include labor and materials. If you have any questions, please email [email protected].
Help Center
Our Help Center is filled with many resources to help you navigate through the online platform. Below you will find some common questions and their relevant help article:
(National Lookup - network of law enforcement agencies that have opted to allow their network of Flock cameras to be used for searches)
How do I search camera footage?
How do I add a user?
How do I add a vehicle to my own Hot List?
How do I enable browser notifications for Hot List alerts?
How do I get text alerts for Hot List?
How do I request camera access from other nearby agencies?
How do I use the National Lookup to search for a plate? How do I reset my / another user’s password?
Customer Support
You can reach our customer support team anytime by emailing . They can help answer any “How-To” questions you
may have.
[email protected]
Docusign Envelope ID: 82186069-6997-409E-8B76-F64CDF1B3E38 1170 Howell Mill Rd. NW · Suite 210, Atlanta, GA 30318
2024 Sole Source Letter for Flock Safety® Public Safety Solutions March 10, 2025
Glendora Police Department
150 Glendora Ave
Glendora, CA, 91741
Dear Mike Randazzo,
This letter serves to confirm that Flock Group Inc. d/b/a Flock Safety is the sole provider of our proprietary public safety technology solution specifically designed for use by law enforcement, communities, and private entities to increase safety and reduce crime. Flock Safety’s unique system integrates hardware and cloud-based software to enable real-time data processing and secure data sharing capabilities that are unavailable through other providers.
As the sole developer and provider of this proprietary technology, Flock Safety retains exclusive rights to manufacture, license, and support the products and software we offer. Our solutions include cutting-edge features such as machine learning analytics, CJIS-compliant data storage, and a centralized system that facilitates collaboration across multiple jurisdictions, supporting a more robust and efficient public safety network. Specifically, Flock Safety provides the ability to access additional cameras from Flock customers, including:
Glendora, West Covina, Arcadia, Pasadena, Pomona, at no additional cost.
No other vendor offers the specific combination of hardware and cloud-based features, CJIScompliant data handling, or the national network capabilities that Flock Safety provides. For these reasons, Flock Safety is the only source available for these services.
Thank you,
Garrett Langley CEO, Flock Safety®
1170 Howell Mill Rd. NW · Suite 210, Atlanta, GA 30318
Flock Safety® ALPR Cameras
Flock Safety® is the sole manufacturer, developer, and distributor of Flock Safety Falcon®, Flock Safety Falcon® LR, Flock Safety Falcon® SR, Flock Safety Falcon® Flex, Flock Safety Sparrow®, and Flock Safety Wing® automated license plate recognition (“ALPR”) cameras.
Flock Safety Falcon®
Fixed, infrastructure-free license plate recognition (“LPR”) cameras suitable for capturing two (2+) lanes of traffic simultaneously with a single camera from a vertical mass
Includes Solar Falcon® option (next-gen platform standard range), which may cover up to three (3) lanes of traffic simultaneously
Flock Safety Falcon® LR
Fixed, infrastructure-free long-range (“LR”) LPR, suitable for capturing three (3+) lanes of traffic simultaneously with a single camera from a vertical mass Includes Solar Falcon® LR option (next-gen platform LR) Flock Safety Falcon® SR
Fixed, infrastructure-free short-range (“SR”) LPR with solar power capability, suitable for wide angle capture (i.e., parking lots or garages)
Flock Safety Falcon® Flex
Location-flexible, infrastructure-free self-installation LPR camera with solar power option
Ties seamlessly into the Flock Safety® ecosystem with a small and lightweight camera Ability to read up to 30,000 license plates and vehicle attributes on a single battery charge
Flock Safety Sparrow® LPR
Infrastructure- and maintenance-free LPR for 24/7 neighborhood security Flock Safety Wing® LPR
Integrates third-party LPR and video cameras into FlockOS® utilizing existing camera infrastructures
The Flock Safety® ALPR cameras listed above are the only Law Enforcement Grade ALPR cameras to offer the following combination of proprietary features:
Vehicle Fingerprint Technology®
o Patented proprietary machine vision to analyze vehicle license plate, state recognition, and vehicle attributes such as color, type, make and objects (roof rack, bumper stickers, etc.) based on image analytics (not car registration data) o Machine vision to capture and identify characteristics of vehicles with a paper license plate and vehicles with the absence of a license plate o Ability to “Save Search” based on description of vehicles using Flock’s patented Vehicle Fingerprint Technology® without the need for a license plate, and set up alerts based on vehicle description
1170 Howell Mill Rd. NW · Suite 210, Atlanta, GA 30318
o Only LPR provider with “Visual Search,” which can transform digital images from any source into an investigative lead by finding matching vehicles based on the vehicle attributes in the uploaded photo
Integrated Cloud-Software & Hardware Platform
o Best in class ability to capture and process up to 30,000 vehicles per day with a single camera powered exclusively by solar power
o Wireless deployment of solar powered license plate reading cameras with integrated cellular communication weighing less than 5lbs and able to be powered solely by a solar panel of 65W or less
o Web based footage retrieval tool with filtering capabilities such as vehicle color, vehicle type, vehicle manufacturer, partial or full license plate, state of license plate, and object detection
o Utilizes motion trigger to start and stop recording without the need for a reflective plate
o Motion detection allows for unique vehicle cases such as bicycle capture, ATV, motorcycle, etc.
o On device machine processing to limit LTE bandwidth consumption o All images and metadata is encrypted throughout its entire lifecycle from ondevice to storage in Flock’s US-based CJIS-compliant cloud o Covert industrial design for minimizing visual pollution Transparency & Ethical Product Design
o One-of-a-kind “Transparency Portal,” a public-facing dashboard that details the customer’s policies, as well as automatically updates metrics from the Flock Safety® system
o Built-in integration with National Center for Missing & Exploited Children (“NCMEC”) to receive AMBER Alerts to find missing children o Privacy controls to enable certain vehicles to “opt-out” of being captured Integrated Audio & Gunshot Detection
o Ability to pair with Flock Safety Raven® audio detection device, which has natively integrated audio detection capabilities utilizing machine learning to recognize audio signatures typical of crimes in progress (e.g., gunshots) Live Video Integration
o Ability to apply computer vision to third-party cameras using the Flock Safety Wing® LPR, transforming them into evidence capture devices using the same Vehicle Fingerprint® technology offered on the Flock Safety Falcon® ALPR cameras
o Flock Safety Wing® livestream integrates live stream traffic cameras, publicly or privately owned livestream security cameras into one cloud-based situational awareness dashboard to increase response time in mission-critical incidents o Manage various government intelligence including ALPR, livestream cameras, computer-aided dispatch (“CAD”), automatic vehicle location (“AVL”) on Flock Safety Wing® suite
1170 Howell Mill Rd. NW · Suite 210, Atlanta, GA 30318
Situational Awareness
o FlockOS® is the world’s first and only public safety operating system compatible with Flock Safety® LPR video cameras, including Flock Safety Condor™ live streaming fixed and Flock Safety Condor™ pan-tilt-zoom (“PTZ”) video cameras, and the Flock Safety Raven® audio detection device, while seamlessly integrating first and third-party data across video, LPR, and audio to deliver real-time intelligence and retroactive crime solving in a single-pane realtime crime center o Ability to enhance situational awareness capacity by layering all intelligence streams onto the FlockOS® ESRI-based map
o FlockOS® features Flock Safety® unique Real-Time Routing feature that analyzes various data sources to determine where a suspect vehicle has been and its direction of travel, providing users with possible outcomes based on a confidence threshold
Warranty & Service
o Lifetime maintenance and support included in subscription price o Flock Safety® is the only fully integrated ALPR one-stop solution from production of the devices to delivery and installation
o Performance monitoring software to predict potential failures, obstructions, tilts, and other critical or minor issues
Partnerships
o Flock Safety® is the only LPR provider to officially partner with Prepared911 to distribute 911 call audio and transcripts to law enforcement agencies o Through FlockOS®, Flock Safety® is the only LPR provider to officially partner with FirstTwo to enable clicking anywhere on a display map to display the relevant information from FirstTwo
o Access to additional cameras purchased by Flock’s HOA and private business partners, means an ever-increasing amount of cameras and data at no additional cost