Agenda packet — Porterville City Council, November 15, 2022 (part 1 of 3)

City Council Agenda November 15, 2022

Page 1 of 5 ends

CITY COUNCIL AGENDA
CITY HALL, 291 N. MAIN STREET

PORTERVILLE, CALIFORNIA
NOVEMBER 15, 2022, 5:30 PM
Pursuant to the provisions of Assembly Bill 361, signed into law by Governor Newsom on September 16, 2021, the City of Porterville is allowing for and encouraging electronic participation at City Council Meetings. Until further notice, Porterville City Council Meetings will be live streamed on YouTube at https://www.youtube.com/channel/UC5KuhSrNMNL9nwHJVtnJvvA Alternatively, this meeting will also be available via Zoom using the following information Topic: City of Porterville – City Council Meeting of November 15, 2022 Please use the following link below to join the webinar:
https://us06web.zoom.us/j/86522677237?pwd=eE82WEdHT04waHhQQ093RmJ6WTVTdz09 Or via Telephone: 1-669-900-6833 Webinar ID: 865 2267 7237 Passcode: 810072 Call to Order
Roll Call

ORAL COMMUNICATIONS
This is the opportunity to address the City Council on any matter scheduled for Closed Session. Unless additional time is authorized by the Council, all commentary shall be limited to three minutes.

CITY COUNCIL CLOSED SESSION:

A. Closed Session Pursuant to:

1 - Government Code Section 54956.8 – Conference with Real Property Negotiators/Property: APN 259-040-047. Agency Negotiator: John Lollis and Jason Ridenour. Negotiating Parties: City of Porterville and Smee Homes, Inc. Under Negotiation: Terms and Price.

2 - Government Code Section 54956.8 – Conference with Real Property Negotiators/Property: APN 260-300-030. Agency Negotiator: John Lollis and Jason Ridenour. Negotiating Parties: City of Porterville and CZEM Partners, LLC. Under Negotiation: Terms and Price.
3 - Government Code Section 54956.95 – Liability Claim: Claimant: Dionicia Astorga. Agency claimed against: City of Porterville.
4 - Government Code Section 54956.95 – Liability Claim: Claimant: Julian Vasquez, Jr. Agency claimed against: City of Porterville.

City Council Agenda November 15, 2022

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5 - Government Code Section 54956.9(d)(1) – Conference with Legal Counsel – Existing Litigation: Amber Moreno v. City of Porterville, et al., United States District Court, Eastern Division, Case No. 121-at-00590.

6 - Government Code Section 54956.9(d)(1) – Conference with Legal Counsel – Existing Litigatigation: Cecilia Chavez et al. v. City of Porterville et al., United States District Court, Eastern Division, Case No. 122-cv-00794-ADA-SKO.

7 - Government Code Section 54956.9(d)(3) – Conference with Legal Counsel – Anticipated Litigation – Significant Exposure to Litigation: Three (3) cases in which facts are not yet known to potential plaintiff.
8 - Government Code Section 54956.9(d)(4) – Conference with Legal Counsel – Anticipated Litigation – Initiation of Litigation: One (1) case. 6:30 P.M. RECONVENE OPEN SESSION AND REPORT ON

REPORTABLE ACTION TAKEN IN CLOSED SESSION
Pledge of Allegiance Led by Council Member Weyhrauch
Invocation

PRESENTATIONS
Employee of the Month - Austin Gonzalez
Outstanding Business - ZeroNox

ORAL COMMUNICATIONS
This is the opportunity to address the Council on any matter of interest, whether on the agenda or not. Please address all items not scheduled for public hearing at this time. Unless additional time is authorized by the Council, all commentary shall be limited to three minutes.

AB 1234 REPORTS
This is the time for all AB 1234 reports required pursuant to Government Code § 53232.3.

1. Local Initiatives Navigation Center (LINC) Homeless Outreach Event - November 2, 2022

2. Eastern Tule Groundwater Sustainability Agency Board - November 3, 2022

3. Social Services Transportation Advisory Council (SSTAC) - November 8, 2022

4. Transportation Forum - November 9, 2022

5. Tulare County Association of Governments (TCAG)/Tule RiverTribe - Active Transportation Program (ATP) Project Meeting - November 9, 2022

6. LINC Committee - November 9, 2022

7. Porterville Area Development Authority (PADA) Board - November 9, 2022

8. CalVans Board - November 10, 2022
City Council Agenda November 15, 2022

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9. Tulare County Regional Transit Agency (TCRTA) Board - November 10, 2022

REPORTS
This is the time for all committee/commission/board reports; subcommittee reports; and staff informational items.

I. City Commission and Committee Meetings

1. Parks & Leisure Services Commission - November 3, 2022

2. Library & Literacy Commission - November 8, 2022

3. Arts Commission - October 25, 2022

4. Animal Control Commission

5. Youth Commission

6. Transactions and Use Tax Oversight Committee (TUTOC) II. Staff Informational Reports

1. Water Conservation Phase IV Status Update - October 2022

CONSENT CALENDAR
All Consent Calendar Items are considered routine and will be enacted in one motion. There will be no separate discussion of these matters unless a request is made, in which event the item will be removed from the Consent Calendar. All items removed from the Consent Calendar for further discussion will be heard at the end of Scheduled Matters.

1. Fleet Management Software Renewal
Re: Considering approval to renew a one-year service contract for fleet management software with Ron Turley Associates in the amount of $11,374.

2. Authorization for Transit Bus Engine Repair
Re: Considering approval of the transit bus engine overhaul by Cummins Pacific at a cost not to exceed $41,418.

3. Authorization to Re-Advertise for Bids for the Parallel and Connecting Taxiways Rehabilitation Project at the Porterville Municipal Airport Re: Consideration to authorize staff to re-advertise for bids for the taxiway rehabilitation project at the Porterville Municipal Airport.

4. Acceptance of Project - Corporation Yard Electrification Project, Phase 2 Re: Consideration to accept the Corporation Yard Electrification Project, Phase 2, as complete.

5. Acceptance of Project - Transit Center Electrification Project Re: Consideration to accept the Transit Center Electrification Project , as complete.

6. Acceptance of Fiscal Year 2020 State Homeland Security Grant Program Funds Re: Consideration to authorize an agreement to accept $70,282 in Homeland Security grant funds to purchase Bauer SCBA Cylinder Air Fill Station.

City Council Agenda November 15, 2022

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7. Authorization to Execute Cooperative Agreement - Avenue 152 (Olive Avenue) Bridge Re: Consideration of approval of the Cooperative Agreement for the Avenue 152 (Olive Avenue) Tule River Bridge Project.

8. Adoption of a Conflict of Interest Policy for Design-Build Projects Re: Consideration of adopting a Conflict of Interest Policy for the design-build method of project delivery concerning the construction of facilities and improvements.

9. Intent to Schedule a Public Hearing to Consider the Adjustment of Golf Course Fees Re: Consideration to schedule a Public Hearing for December 6, 2022, for consideration of the adjustment of Porterville Municipal Golf Course Fees.

10. Request for Street Closure: 28th Annual Myers Christmas Memorial Tree Lighting - December 13, 2022
Re: Approval of annual event to be held on Tuesday, December 13, 2022, from 5:00 p.m. to 9:00 p.m. at 248 North "E" Street.

11. Reaffirm Conditions of State Assembly Bill 361 to Continue Remote Attendance at Public Meetings
Re: Consider adoption of a draft Resolution consistent with AB 361 to continue to allow remote attendance at public meetings.

12. Status and Review of Local Emergency Drought
Re: Considering approval of the continuance of the Declaration of Local Emergency.

SECOND READINGS

13. Second Reading - Ordinance No. 1893, An Ordinance Amending Chapter 7, Article I, and Adopting by Reference the 2022 Edition of the California Administrative Code, Building Code, Residential Code, Energy Code, Historical Building Code, Existing Building Code, and Referenced Standards Code
Re: Second Reading of Ordinance No. 1893, waiving further reading and adopting said Ordinance.

14. Second Reading - Ordinance No. 1894, An Ordinance Amending Chapter 7, Article IA, and Adopting by Reference the 2022 Edition of the California Mechanical Code Re: Second Reading of Ordinance No. 1894, waiving further reading and adopting said Ordinance.

15. Second Reading - Ordinance No. 1895, An Ordinance Amending Chapter 7, Article II, and Adopting by Reference the 2022 Edition of the California Plumbing Code Re: Second Reading of Ordinance No. 1895, waiving further reading and adopting said Ordinance.

16. Second Reading - Ordinance No. 1896, An Ordinance Amending Chapter 7, Article III, Section 7-9 and Deleting Section 7-10 and Adopting by Reference the 2022 Edition of the California Electrical Code
Re: Second Reading of Ordinance No. 1896, waiving further reading and adopting said Ordinance.

City Council Agenda November 15, 2022

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17. Second Reading - Ordinance No. 1897, An Ordinance Amending Chapter 7, Article IV and Adopting by Reference the 2022 Edition of the California Green Building Standards Code
Re: Second Reading of Ordinance No. 1897, waiving further reading and adopting said Ordinance.

18. Second Reading - Ordinance No. 1898, An Ordinance Amending Chapter 12, Article I and Adopting by Reference Except as otherwise provided, the 2022 Edition of the California Fire Code Along with Designated Appendices
Re: Second Reading of Ordinance No. 1898, waiving further reading and adopting said Ordinance.

19. Second Reading - Ordinance No. 1899, An Ordinance Amending Chapters 2, 12, and 17 of the Porterville Municipal Code
Re: Second Reading of Ordinance No. 1899, waiving further reading and adopting said Ordinance.

SCHEDULED MATTERS

20. Consideration of City Code Prohibiting Commercial Vehicles From Using Certain Streets
Re: Consideration and review of the City's Code for prohibiting commercial vehicles from using certain streets, specifically E. Yates Avenue, S. Roche Street and E. Worth Avenue between S. Main Street and S. Plano Street.

ORAL COMMUNICATIONS

OTHER MATTERS

CLOSED SESSION
Any Closed Session Items not completed prior to 6:30 p.m. will be considered at this time.

ADJOURNMENT - to the meeting of December 6, 2022 at 5:30 P.M.

In compliance with the Americans with Disabilities Act and the California Ralph M. Brown Act, if you need special assistance to participate in this meeting, or to be able to access this agenda and documents in the agenda packet, please contact the Office of City Clerk at (559) 782-7464.

Notification 48 hours prior to the meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting and/or provision of an appropriate alternative format of the agenda and documents in the agenda packet.

Materials related to an item on this Agenda submitted to the City Council after distribution of the Agenda packet are available for public inspection during normal business hours at the Office of City Clerk, 291 North Main Street, Porterville, CA 93257, and on the City’s website at www.ci.porterville.ca.us.

CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: 1. Water Conservation Phase IV Status Update - October 2022 SOURCE: Public Works
COMMENT: The City has continued to implement an active water conservation approach, conserving and providing flexibility to the community. The City transitioned from Phase III to Phase IV of the City's Water Conservation Plan as of October 1, 2022. The Water Conservation Plan applies to all municipal water users within or outside the city limits.

The Phase III plan limits outdoor watering to two days per week, with "odd" addresses allowed to water on Tuesday and Saturday and "even" addresses allowed to water on Wednesday and Sunday. Outdoor watering is prohibited between the hours of 5 a.m. to 10 a.m. and 5 p.m. to 10 p.m., with no watering allowed Monday, Thursday, or Friday. Watering outdoor landscaping is prohibited during and within forty-eight (48) hours after measurable rainfall, which is now defined as greater than 0.01 inch.

Effective October 1, 2022, the City transitioned to Phase IV of its Water Conservation Plan. The Phase IV plan limits outdoor watering to one day per week, with "odd" addresses allowed to water on Saturday and "even" addresses allowed to water on Sunday. Outdoor watering is prohibited between the hours of 5 a.m. to 10 a.m. and 5 p.m. to 10 p.m., with no watering allowed Monday through Friday. Watering outdoor landscaping is prohibited during and within forty-eight (48) hours after measurable rainfall, which is now defined as greater than 0.01 inch.

Violations of prohibited activities are considered infractions and are punishable by fines of up to $500 for each day the violation occurs. Any peace officer or employee of a public agency charged with enforcing laws and authorized to do so by ordinance may issue a citation to the violator. The City will respond to enforcement by issuing a Notice of Violation for all witnessed occurrences and staff will be processing all reported issues. Enforcement statistics for October 2022 show that thirty (30) notices of violation were issued for water wasting, and four administrative citations were issued.

Water production for October 2022 reflects a zero percent (0%) reduction to the 5-year average. The monthly production for October was 316 million gallons, which is a twenty-one percent (21%) decrease compared to October 2013 at 402 million gallons. Residential consumption for October 2022 was 118 gallons per capita per day (GPCD).

Compliance with individual water supplier conservation requirements is based on cumulative savings. Cumulative tracking means that conservation savings will be added together from one month to the next and compared to the amount of water used during the same months in 2013. City Staff will evaluate conservation totals in two formats: 1) Calculate the cumulative conservation totals for production as compared to production in 2013; and 2) Calculate cumulative conservation totals in relation to GPCD in efforts to evaluate population growth impacts on production as compared to 2013. The cumulative total production for the City of Porterville's conservation efforts will be reflected from June 2015 through October 2022. Porterville's cumulative total production conservation through October 2022 is twenty (20%). The cumulative total of GPCD for the City of Porterville's conservation efforts will be reflected from June 2015 through October 2022. Porterville's cumulative total GPCD conservation through October 2022 is twenty-five percent (25%).

Under the February 2, 2016, emergency regulation, the City of Porterville received a revised conservation standard of twenty-eight percent (28%) with an additional two percent (2%) reduction for climate adjustment, making the City’s conservation standard twenty-six percent (26%). After reviewing the Water Board's Self-Certification criteria for drought impacts on water supplies, the City of Porterville Council approved maintaining a self-imposed standard of twenty-six percent (26%). The continuation of the current conservation goal keeps a standardized message that the City has worked to develop in public outreach, provides resiliency and capacity to ensure three years of supply under drought conditions, and meets the minimum twenty percent (20%) conservation standard defined in the City's Urban Water Management Plan, and assists the City in meeting the requirements of the Sustainable Groundwater Management Act (SGMA).

The State Water Board requires monthly reporting to track what agencies are doing and how they perform throughout the year. Proposed permanent regulations will require agency reporting to continue monitoring the performance of urban water conservation with a preparedness to implement conservation standards as necessary. California Governor Gavin Newsom signed Executive Order N-10-21 on July 8, 2021, urging all Californians to voluntarily reduce their water use by fifteen percent (15%) compared to their prior-year levels due to excessive drought conditions. Water production for the City system shows an eleven percent (11%) increase from October 2021 to October 2022. California Governor Gavin Newsom issued another Executive Order N-7-22 on March 28, 2022, to address drought conditions after the driest first three months of a year in recorded history. EO N-7-22 requires that each water supplier implements at a minimum the shortage response actions adopted under section 10632 of the Water Code for a shortage level of up to twenty percent (Level 2). The City of Porterville's Water Conservation Plan Phase IV meets the requirements for this shortage (Level 2).

RECOMMENDATION: Informational Only
ATTACHMENTS: 1. Monthly Production Status October 2022

2. Monthly Production Status GPCD October 2022

3. Drought Response Phase IV Flyer
Appropriated/Funded:

Review By:

Department Director:

Michael Knight, Public Works Director
Final Approver: John Lollis, City Manager
0 100
200
300
400
500
600
1 2 3 4 5 6 7 8 9 10 11 12 Million Gallons/Month
Monthly Production Status & Cumulative Total June 2015 Through October 2022 Production Comparison to 2013 & 5 Year Average 2013
2017
2018
2019
2020
2021
2022
5 Year AVG

0.00 25.00

50.00 75.00
100.00
125.00
150.00
175.00
200.00
225.00
1 2 3 4 5 6 7 8 9 10 11 12 Gallons Per Capita Day
Month
Monthly Production Status & Cumulative Total June 2015 Through October 2022 Gallon Per Capita Day Comparison to 2013 & 5 Year Average 2013
2017
2018
2019
2020
2021
2022
5 Year AVG
The City of Porterville has adopted Phase IV of its Drought Response Plan.

As part of the Phase IV plan, the City has restricted watering days to one day per week, based on address.

Mandatory
Odd/Even Watering
Schedule
Excessive water
runoff prohibited
The washing of
sidewalks and driveways
is prohibited
Vehicles shall only be
washed on designated
watering days and with
hoses equipped with a
shut-off nozzle
Ornamental water
features are prohibited
unless the fountain uses
a recycling system

WATERING PROHIBITED

BETWEEN THE HOURS OF
5:00 – 10:00 AM
5:00 – 10:00 PM

NO WATERING

MONDAY THROUGH
FRIDAY.

ODD NUMBER ADDRESSES
If your address ends with an
“odd” number, 1, 3, 5, 7, or 9,
your watering day is Saturday only.

EVEN NUMBER ADDRESSES
If your address ends with an
“even” number, 0, 2, 4, 6, or 8,
your watering day is Sunday only.

OR
Item No. 1.

CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Fleet Management Software Renewal
SOURCE: Public Works
COMMENT: The City's Equipment Maintenance Shop currently operates Fleet Management Software provided by a proprietary vendor, Ron Turley Associates. The existing 1-year Contract expires on November 30, 2022. Staff has been testing the paperless shop version of the software, and opting to extend for further evaluation. The 1-year Contract renewal cost for Ron Turley Associates is $11,374.10; the renewal will allow staff sufficient time to analyze the paperless shop operation and compare with alternative vendors. The service contract includes cloud hosting services, unlimited technical support, and provides training for staff performing data entry. Staff recommends renewing the following contract for one year to continue fleet management software support.

The funding for the service contract renewal and extension will be funded from the Equipment Maintenance operating budget.

RECOMMENDATION: That the City Council:

1. Approve the software contract with Ron Turley Associates for one (1) year; and

2. Authorize payment for these services from the Equipment Maintenance Shop Operating Budget.

ATTACHMENTS: 1. Ron Turley Associates, Inc. Renewal Quote Appropriated/Funded:

Review By:

Department Director:

Michael Knight, Public Works Director
Final Approver: John Lollis, City Manager

Item No. 2.

CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Authorization for Transit Bus Engine Repair
SOURCE: Public Works
COMMENT: Vehicle No. 8179 is an active transit bus that has experienced significant engine failure and requires an engine overhaul. This vehicle is powered by a Cummins compressed natural gas (CNG) engine and must be repaired or replaced by a certified CNG service center. The bus has approximately three years of remaining active service life, and its service is necessary for the transition to electrification of the City's Transit fleet over the next year.

Staff is requesting authorization to utilize Cummins Pacific, which is the nearest CNG engine service center, to perform the required engine overhaul at an estimated cost not to exceed $41,418, (inclusive of all parts, taxes, labor, including a 10% contingency). The cost of the repairs will be reimbursed by the Tulare County Regional Transit Agency.

RECOMMENDATION: That the City Council:

1. Authorize transit bus engine overhaul by Cummins Pacific at a cost not to exceed $41,418 (inclusive of all parts, taxes, labor, including a 10% contingency); and

2. Authorize payment of said repair upon satisfactory
completion.

ATTACHMENTS: 1. Cummins Sales and Services Repair Estimate Appropriated/Funded:

Review By:

Department Director:

Michael Knight, Public Works Director
Final Approver: John Lollis, City Manager
03-NOV-2022
8179
ISL G CM2180 EL DORADO

ESCORT RE
14-SEP-2010
13-OCT-2022 CPL089700
494646 / 0
73058981

COMPLAINT
CAUSE

CORRECTION

COVERAGE
FREE GUARDIAN INSPECTION 1. ENGINE INTERMITTENT 2. ONGOING 10.11.22

3. TOWED IN BY WALLACE
GUIDANZ-00443617

HIGH CYLINDER LEAKAGE
ECM CAL- AW90299.01

THANK YOU FOR CHOOSING CUMMINS SALES AND SERVICE

CUSTOMER BILLABLE
ESTIMATE MAY VARY ONCE PARTS HAVE BEEN REMOVED AND INSTALLED. IF

ADDITIONAL PARTS AND LABOR ARE NEEDED A REVISED ESTIMATE WILL BE SENT.

CITY OF PORTERVILLE
291 N MAIN ST
PORTERVILLE, CA 93257-3737
Billing Inquiries? Call (877)480-6970
255161
217499

CITY OF PORTERVILLE
291 N MAIN ST
PORTERVILLE, CA 93257- *** CHARGE ***

ESTIMATE

FRESNO CA BRANCH
2755 S. CHERRY AVENUE
FRESNO, CA 93706-
1 0.00
APPENDIX A IS ATTACHED AND INCORPORATED HEREIN. IN APPENDIX A THERE ARE

ADDITIONAL CONTRACT TERMS AND CONDITIONS, INCLUDING LIMITATION ON

WARRANTIES AND LIABILITIES WHICH ARE EXPRESSIVELY INCORPORATED HEREIN AND

WHICH PURCHASER ACKNOWLDGES HAVE BEEN READ, FULLY UNDERSTOOD AND ACCEPTED.

BAR ARD Number: ARD00293082 EPA: CAL000430089
Remit to:

Cummins Sales and Service
PO Box 772639
Detroit, MI 48277-2639

TO PAY ONLINE LOGON TO
customerpayment.cummins.com
(559)274-4400
AUTHORIZED BY (print name)____________________________________SIGNATURE___________________________DATE_______________________ DIAGNOSTIC CHARGE:

PAGE OF

INVOICE NO

BILL TO OWNER
OSN/MSN/VIN 1N9MNALG9AC084305
RAFAEL BAEZ - 559 7827597
Completion date : 14-Oct-2022 10:12AM. Estimate expires : 20-Nov-2022 11:28AM. 1 1
1 -1
1 1
-1
1 1
-1
1 0
0 0
0 0
0 0
0 0
0 0

KIT,OVERHAUL

HEAD,CYLINDER

KIT,TURBOCHARGER
TURBO,HX35W
TURBO,HX35W
COMPRESSOR,1 CYL AIR
COMP,AIR ISC/ISL 18.7 CFM
CPR, AIR ISC/ISL 18.7 CFM

GASKET,HYDRAULIC PUMP
CECO
DRC
CLEAN
DIRTY
DRC
CLEAN
DIRTY
DRC
CLEAN
DIRTY
CECO
3,961.09
5,618.27
472.50
472.50
2,450.99
270.00
270.00
1,342.50
135.00
135.00

3.95 3,961.09
5,618.27
472.50
- 472.50
2,450.99
270.00
- 270.00
1,342.50
135.00
- 135.00

3.95 5633625
5569421RX
4933818D
4933818D
5357731RX
3802678D
3802678D
5301094RX
3944525D
3944525D
4988280

ORDERED ITEM

ORDERED ITEM
5633416 CECO
4933782RX DRC
3 TERMS AND CONDITIONS
These Terms and Conditions, together with the estimate/quote (the "Quote") and/or invoice ("Invoice") attached to these Terms and Conditions, are hereinafter collectively referred to as this "Agreement" and shall constitute the entire agreement between the customer ("Customer") identified on the Quote and/or Invoice and Cummins Inc. ("Cummins") and supersede any previous agreement or understanding (oral or written) between the parties with respect to the subject matter of this Agreement. Customer shall be deemed to have made an unqualified acceptance of these Terms and Conditions and it shall become a binding agreement between the parties on the earliest of the following to occur: (i) Cummins' receipt of Customer's purchase order or purchase order number; (ii) Customer's signing or acknowledgment of this Agreement; (iii) Cummins' release of Products to production pursuant to Customer's oral or written instruction or direction; (iv) Customer's payment of any amounts due to Cummins; or (v) any other event constituting acceptance under applicable law. No prior inconsistent course of dealing, course of performance, or usage of trade, if any, constitutes a waiver of, or serves to explain or interpret, the Terms and Conditions set forth in this Agreement. Electronic transactions between Customer and Cummins will be solely governed by the Terms and Conditions of this Agreement, and any terms and conditions on Customer's website or other internet site will be null and void and of no legal effect on Cummins. In the event Customer delivers, references, incorporates by reference, or produces any purchase order or document, any terms and conditions related thereto: (i) shall be null and void and of no legal effect on Cummins, and (ii) this Agreement shall remain the governing terms of the transaction.

SCOPE OF SERVICES; PERFORMANCE OF SERVICES Cummins shall supply part(s) and/or component(s) and/or engine(s) and/or generator set(s) ("Goods") and/or perform the maintenance and/or repair ("Services") on the equipment identified in the Quote and/or Invoice ("Equipment"), if applicable, in accordance with the specifications in the Quote and/or Invoice. No additional services or goods are included in this Agreement unless agreed upon by the parties in writing, or otherwise, as applicable.

CUSTOMER OBLIGATIONS If necessary, Customer shall provide Cummins safe and free access to Customer's site and arrange for all related services and utilities necessary for Cummins to safely and freely perform the Services. During the performance of the Services, Customer shall fully and completely secure all or any part of any facility where the Equipment is located to remove and mitigate any and all safety issues and risks, including but not limited to injury to facility occupants, customers, invitees, or any third party and/or property damage or work interruption arising out of the Services. If applicable, Customer shall make all necessary arrangements to address and mitigate the consequences of any electrical service interruption which might occur during the Services. Customer is responsible for operating and maintaining the Equipment in accordance with the owner's manual for the Equipment.

INVOICING AND PAYMENT Unless otherwise agreed to by the parties in writing and subject to credit approval by Cummins, payments are due thirty (30) days from the date of Invoice. If Customer does not have approved credit with Cummins, as solely determined by Cummins, payments are due in advance or at the time of supply of the Goods and/or Services. If payment is not received when due, in addition to any rights Cummins may have at law, Cummins may charge Customer eighteen percent (18%) interest annually on late payments, or the maximum amount allowed by law. Customer agrees to pay all Cummins' costs and expenses (including all reasonable attorneys' fees) related to Cummins' enforcement and collection of unpaid invoices, or any other enforcement of this Agreement by Cummins.

TAXES; EXEMPTIONS The Invoice includes all applicable local, state, or federal sales and/or use or similar taxes which Cummins is required by applicable laws to collect from Customer under this Agreement. Customer must provide a valid tax exemption certificate or direct payment certificate prior to shipment of the Goods or performance of the Services, or such taxes will be included in the Invoice.

DELIVERY; TITLE AND RISK OF LOSS Unless otherwise agreed in writing by the parties, any Goods supplied under this Agreement shall be delivered FOB Origin, freight prepaid to the first destination. If agreed, any charges for third party freight are subject to adjustment to reflect any change in price at time of shipment. Unless otherwise agreed to, packaging method, shipping documents and manner, route and carrier and delivery shall be as Cummins deems appropriate. All shipments are made within normal business hours, Monday through Friday. Unless otherwise agreed in writing by the parties, title and risk of loss for any Goods sold under this Agreement shall pass to Customer upon delivery of Goods by Cummins to freight carrier or to Customer at pickup at Cummins' facility.

DELAYS Any delivery, shipping, installation, or performance dates indicated in this Agreement are estimated and not guaranteed. Further, delivery time is subject to confirmation at time of order. Cummins shall not be liable to Customer or any third party for any loss, damage, or expense suffered by Customer or third party due to any delay in delivery, shipping, installation, or performance, however occasioned, including any delays in performance that result directly or indirectly from acts of Customer or causes beyond Cummins' control, including but not limited to acts of God, accidents, fire, explosions, flood, unusual weather conditions, acts of government authority, or labor disputes. AS A RESULT OF THE OUTBREAK OF THE DISEASE COVID-19 ARISING FROM THE NOVEL CORONAVIRUS, TEMPORARY DELAYS IN DELIVERY, LABOUR OR SERVICES FROM CUMMINS AND ITS SUB-SUPPLIERS OR SUBCONTRACTORS MAY OCCUR. AMONG OTHER

FACTORS, CUMMINS' DELIVERY OBLIGATIONS ARE SUBJECT TO CORRECT AND PUNCTUAL SUPPLY FROM OUR SUB-SUPPLIERS OR SUBCONTRACTORS, AND CUMMINS RESERVES THE RIGHT TO MAKE PARTIAL DELIVERIES OR MODIFY ITS LABOUR OR SERVICE. WHILE CUMMINS SHALL MAKE EVERY COMMERCIALLY REASONABLE EFFORT TO MEET THE DELIVERY, SERVICE OR COMPLETION OBLIGATIONS SET FORTH HEREIN, SUCH DATES ARE SUBJECT TO CHANGE.

LIMITED WARRANTIES
New Goods: New Goods purchased or supplied under this Agreement are governed by the express written manufacturers' warranty. No other warranty for Goods supplied under this Agreement is provided under this Agreement.

Cummins Exchange Components, Other Exchange Components, and Recon: Cummins will administer the Cummins exchange component warranty and the warranties of other manufacturers' exchange components or Recon Components which are sold by Cummins. In the event of defects in such items, only manufacturers' warranties will apply.

HHP Exchange Engine: HHP Exchange Engines remanufactured by Cummins under this Agreement are governed by the express Cummins' written warranty. No other warranty for HHP exchange Engines supplied under this Agreement is provided under this Agreement.

General Service Work: All Services shall be free from defects in workmanship (i) for power generation equipment (including engines in such equipment), for a period of ninety (90) days after completion of Services or 500 hours of operation, whichever occurs first; or (ii) for engines, for a period of ninety (90) days after completion of Services, 25,000 miles or 900 hours of operation, whichever occurs first. In the event of a warrantable defect in workmanship of Services supplied under this Agreement ("Warrantable Defect"), Cummins' obligation shall be solely limited to correcting the Warrantable Defect. Cummins shall correct the Warrantable Defect where (i) such Warrantable Defect becomes apparent to Customer during the warranty period; (ii) Cummins receives written notice of the Warrantable Defect within thirty (30) days following discovery by Customer; and (iii) Cummins has determined that there is a Warrantable Defect. Warrantable Defects remedied under this provision shall be subject to the remaining warranty period of the original warranty of the Services. New Goods supplied during the remedy of Warrantable Defects are warranted for the balance of the warranty period still available from the original warranty of such Goods.

Used Goods: Used Goods are sold "as is, where is" unless exception is made in writing between Cummins and Customer. Customer agrees to inspect all used Goods before completing the purchase.

THE REMEDIES PROVIDED IN THE LIMITED WARRANTIES AND THIS AGREEMENT ARE THE SOLE AND EXCLUSIVE WARRANTIES AND REMEDIES PROVIDED BY CUMMINS TO THE CUSTOMER UNDER THIS AGREEMENT. EXCEPT

AS SET OUT IN THE WARRANTY AND THIS AGREEMENT, AND TO THE EXTENT PERMITTED BY LAW, CUMMINS EXPRESSLY DISCLAIMS ALL OTHER REPRESENTATIONS, WARRANTIES, ENDORSEMENTS, AND CONDITIONS OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING, WITHOUT LIMITATION, ANY STATUTORY OR COMMON LAW IMPLIED REPRESENTATIONS, WARRANTIES AND CONDITIONS OF FITNESS FOR A PURPOSE OR MERCHANTABILITY.

INDEMNIFICATION Customer shall indemnify, defend and hold harmless Cummins from and against any and all claims, actions, costs, expenses, damages and liabilities, including reasonable attorneys' fees, brought against or incurred by Cummins related to or arising out of this Agreement or the Services and/or Goods supplied under this Agreement (collectively, the "Claims"), where such Claims were caused or contributed, in whole or in part, by the acts, omissions, fault or negligence of the Customer. Customer shall present any Claims covered by this indemnity, including any tenders for defense and indemnity by Cummins to its insurance carrier unless Cummins directs that the defense will be handled by Cummins' legal counsel at Customer's expense.

LIMITATION OF LIABILITY NOTWITHSTANDING ANY OTHER TERM OF THIS AGREEMENT, IN NO EVENT SHALL CUMMINS, ITS OFFICERS, DIRECTORS, EMPLOYEES, OR AGENTS BE LIABLE TO CUSTOMER OR ANY THIRD PARTY FOR

ANY INDIRECT, INCIDENTAL, SPECIAL, PUNITIVE, OR CONSEQUENTIAL DAMAGES OF ANY KIND (INCLUDING WITHOUT LIMITATION DOWNTIME, LOSS OF PROFIT OR REVENUE, LOSS OF DATA, LOSS OF OPPORTUNITY, DAMAGE

TO GOODWILL, ENHANCED DAMAGES, MONETARY REQUESTS RELATING TO RECALL EXPENSES AND REPAIRS TO PROPERTY, AND/OR DAMAGES CAUSED BY DELAY) IN ANY WAY RELATED TO OR ARISING FROM CUMMINS' SUPPLY OF GOODS OR SERVICES UNDER THIS AGREEMENT. IN NO EVENT SHALL CUMMINS' LIABILITY TO CUSTOMER OR ANY THIRD PARTY CLAIMING DIRECTLY THROUGH CUSTOMER OR ON CUSTOMER'S BEHALF UNDER THIS AGREEMENT EXCEED THE TOTAL COST OF GOODS AND SERVICES SUPPLIED BY CUMMINS UNDER THIS AGREEMENT GIVING RISE TO THE CLAIM. BY ACCEPTANCE OF THIS AGREEMENT, CUSTOMER ACKNOWLEDGES CUSTOMER'S SOLE REMEDY AGAINST CUMMINS FOR ANY LOSS SHALL BE THE REMEDY PROVIDED HEREIN EVEN IF THE EXCLUSIVE REMEDY IN SECTION 7 IS DEEMED TO HAVE FAILED OF ITS ESSENTIAL PURPOSE.

GOVERNING LAW AND JURISDICTION This Agreement and all matters arising hereunder shall be governed by and construed in accordance with the laws of the State of Indiana without giving effect to any choice or conflict of law provision. The parties agree that the court of the State of Indiana shall have exclusive jurisdiction to settle any dispute or claim arising in connection with this Agreement.

ASSIGNMENT This Agreement is binding on the parties and their successors and assigns. Customer shall not assign this Agreement without the prior written consent of Cummins.

CANCELLATION. Orders placed with and accepted by Cummins may not be cancelled except with Cummins' prior written consent. Cummins may charge Customer a cancellation charge in accordance with current Cummins policy which is available upon request, in addition to the actual, non- recoverable costs incurred by Cummins.

REFUNDS/CREDITS Goods ordered and delivered by Cummins under this Agreement are not returnable unless agreed to by Cummins. Cummins may, at its sole discretion, agree to accept Goods for return and provide credit where Goods are in new and saleable condition and presented with a copy of the original invoice. Credits for returns will be subject to up to a 15% handling/restocking charge and are limited to eligible items purchased from Cummins.

INTELLECTUAL PROPERTY Any intellectual property rights created by either party, whether independently or jointly, in the course of the performance of this Agreement or otherwise related to Cummins pre-existing intellectual property or subject matter related thereto, shall be Cummins' property. Customer agrees to assign, and does hereby assign, all right, title, and interest to such intellectual property to Cummins. Any Cummins pre-existing intellectual property shall remain Cummins? property. Nothing in this Agreement shall be deemed to have given Customer a licence or any other rights to use any of the intellectual property rights of Cummins.

COMPLIANCE WITH LAWS Customer shall comply with all laws applicable to its activities under this Agreement, including without limitation, all applicable national, provincial, and local export, anti-bribery, environmental, health, and safety laws and regulations in effect. Customer acknowledges that the Goods, and any related technology that are sold or otherwise provided hereunder may be subject to export and other trade controls restricting the sale, export, re-export and/or transfer, directly or indirectly, of such Goods or technology to certain countries or parties, including, but not limited to, licensing requirements under applicable laws and regulations of the United States, the United Kingdom and other jurisdictions. It is the intention of Cummins to comply with these laws, rules, and regulations. Any other provision of this Agreement to the contrary notwithstanding, Customer shall comply with all such applicable laws relating to the cross-border movement of goods or technology, and all related orders in effect from time to time, and equivalent measures. Customer shall accept full responsibility for any and all civil or criminal liabilities and costs arising from any breaches of those laws and regulations and will defend, indemnify, and hold Cummins harmless from and against any and all fines, penalties, claim, damages, liabilities, judgments, costs, fees, and expenses incurred by Cummins or its affiliates as a result of Customer's breach.

CONFIDENTIALITY Each party shall keep confidential any information received from the other that is not generally known to the public and at the time of disclosure, would reasonably be understood by the receiving party to be proprietary or confidential, whether disclosed in oral, written, visual, electronic, or other form, and which the receiving party (or agents) learns in connection with this Agreement including, but not limited to: (a) business plans, strategies, sales, projects and analyses; (b) financial information, pricing, and fee structures; (c) business processes, methods, and models; (d) employee and supplier information; (e) specifications; and (f) the terms and conditions of this Agreement. Each party shall take necessary steps to ensure compliance with this provision by its employees and agents.

PRICING To the extent allowed by law, actual prices may vary from the price at the time of order placement, as the same will be based on prices prevailing on the date of shipment. Subject to local laws, Cummins reserves the right to adjust pricing on goods and services due to input and labor cost changes and other unforeseen circumstances beyond Cummins' control.

MISCELLANEOUS All notices under this Agreement shall be in writing and be delivered personally, mailed via first class certified or registered mail, or sent by a nationally recognized express courier service to the addresses set forth in the Quote and/or Invoice. No amendment of this Agreement shall be valid unless it is writing and signed by the parties hereto. Failure of either party to require performance by the other party of any provision hereof shall in no way affect the right to require such performance at any time thereafter or the enforceability of the Agreement generally, nor shall the waiver by a party of a breach of any of the provisions hereof constitute a waiver of any succeeding breach. Any provision of this Agreement that is invalid or unenforceable shall not affect the validity or enforceability of the remaining terms hereof. These terms are exclusive and constitute entire agreement. Customer acknowledges that the provisions were freely negotiated and bargained for and Customer has agreed to purchase of the Goods and/or Services pursuant to these terms and conditions. Acceptance of this Agreement is expressly conditioned on Customer's assent to all such terms and conditions. Neither party has relied on any statement, representation, agreement, understanding, or promise made by the other except as expressly set out in this Agreement.

To the extent applicable, this contractor and subcontractor shall abide by the requirements of 41 CFR §§ 60-1.4(a), 60-300.5(a) and 60-741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities and prohibit discrimination against all individuals based on their race, color, religion, sex, sexual orientation, gender identity or national origin. Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status or disability. The employee notice requirements set forth in 29 CFR Part 471, Appendix A to Subpart A, are hereby incorporated by reference into this contract. 03-NOV-2022
8179
ISL G CM2180 EL DORADO

ESCORT RE
14-SEP-2010
13-OCT-2022 CPL089700
494646 / 0
73058981

CITY OF PORTERVILLE
291 N MAIN ST
PORTERVILLE, CA 93257-3737
Billing Inquiries? Call (877)480-6970
255161
217499

CITY OF PORTERVILLE
291 N MAIN ST
PORTERVILLE, CA 93257- *** CHARGE ***

ESTIMATE

FRESNO CA BRANCH
2755 S. CHERRY AVENUE
FRESNO, CA 93706-
2 APPENDIX A IS ATTACHED AND INCORPORATED HEREIN. IN APPENDIX A THERE ARE

ADDITIONAL CONTRACT TERMS AND CONDITIONS, INCLUDING LIMITATION ON

WARRANTIES AND LIABILITIES WHICH ARE EXPRESSIVELY INCORPORATED HEREIN AND

WHICH PURCHASER ACKNOWLDGES HAVE BEEN READ, FULLY UNDERSTOOD AND ACCEPTED.

BAR ARD Number: ARD00293082 EPA: CAL000430089
Remit to:

Cummins Sales and Service
PO Box 772639
Detroit, MI 48277-2639

TO PAY ONLINE LOGON TO
customerpayment.cummins.com
(559)274-4400
AUTHORIZED BY (print name)____________________________________SIGNATURE___________________________DATE_______________________

PAGE OF

INVOICE NO

BILL TO OWNER
OSN/MSN/VIN 1N9MNALG9AC084305
RAFAEL BAEZ - 559 7827597
Completion date : 14-Oct-2022 10:12AM. Estimate expires : 20-Nov-2022 11:28AM. 1 12
4 4
3 6
1 1
1 1
1 1
1 1
1 1
1 1
1 12
0 0
0 0
0 0
0 0
0 0
0 0
0 0
0 0
0 0
0 0

GASKET,HYDRAULIC PUMP

SCREW,HEX FLANGE HEAD CAP
STUD
NUT

COIL,IGNITION

KIT,SPARK PLUG

SEAL,O RING

KIT,EXH RCN COOLER

GASKET,OIL COOLER CORE

GASKET,LUB OIL CLR COVER

RED ANTIFREEZE BULK
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
CECO
P2-OTHER

14.97 4.02

9.38 3.63
230.95

49.43 5.56

8.81 20.50

20.63 36.37

18.91 13.53

13.76 14.45
1,914.23
739.38

17.95 22.90

11.99 14.97

48.24 37.52

14.52 692.85
296.58

5.56 8.81

20.50 20.63

36.37 18.91

13.53 13.76

14.45 1,914.23
739.38

17.95 22.90
143.88
3940245
3944593
5286984
5263462
5626388
5473009
145582
3867648
3933070
3933071
3976948
3976949
4935693
4935694
4990721
4376312
4352348
3918174
3929011
ZXEDRU1B
ORDERED ITEM 154916 CECO
3 TERMS AND CONDITIONS
These Terms and Conditions, together with the estimate/quote (the "Quote") and/or invoice ("Invoice") attached to these Terms and Conditions, are hereinafter collectively referred to as this "Agreement" and shall constitute the entire agreement between the customer ("Customer") identified on the Quote and/or Invoice and Cummins Inc. ("Cummins") and supersede any previous agreement or understanding (oral or written) between the parties with respect to the subject matter of this Agreement. Customer shall be deemed to have made an unqualified acceptance of these Terms and Conditions and it shall become a binding agreement between the parties on the earliest of the following to occur: (i) Cummins' receipt of Customer's purchase order or purchase order number; (ii) Customer's signing or acknowledgment of this Agreement; (iii) Cummins' release of Products to production pursuant to Customer's oral or written instruction or direction; (iv) Customer's payment of any amounts due to Cummins; or (v) any other event constituting acceptance under applicable law. No prior inconsistent course of dealing, course of performance, or usage of trade, if any, constitutes a waiver of, or serves to explain or interpret, the Terms and Conditions set forth in this Agreement. Electronic transactions between Customer and Cummins will be solely governed by the Terms and Conditions of this Agreement, and any terms and conditions on Customer's website or other internet site will be null and void and of no legal effect on Cummins. In the event Customer delivers, references, incorporates by reference, or produces any purchase order or document, any terms and conditions related thereto: (i) shall be null and void and of no legal effect on Cummins, and (ii) this Agreement shall remain the governing terms of the transaction.

Used Goods: Used Goods are sold "as is, where is" unless exception is made in writing between Cummins and Customer. Customer agrees to inspect all used Goods before completing the purchase.

THE REMEDIES PROVIDED IN THE LIMITED WARRANTIES AND THIS AGREEMENT ARE THE SOLE AND EXCLUSIVE WARRANTIES AND REMEDIES PROVIDED BY CUMMINS TO THE CUSTOMER UNDER THIS AGREEMENT. EXCEPT

LIMITATION OF LIABILITY NOTWITHSTANDING ANY OTHER TERM OF THIS AGREEMENT, IN NO EVENT SHALL CUMMINS, ITS OFFICERS, DIRECTORS, EMPLOYEES, OR AGENTS BE LIABLE TO CUSTOMER OR ANY THIRD PARTY FOR

ANY INDIRECT, INCIDENTAL, SPECIAL, PUNITIVE, OR CONSEQUENTIAL DAMAGES OF ANY KIND (INCLUDING WITHOUT LIMITATION DOWNTIME, LOSS OF PROFIT OR REVENUE, LOSS OF DATA, LOSS OF OPPORTUNITY, DAMAGE

ASSIGNMENT This Agreement is binding on the parties and their successors and assigns. Customer shall not assign this Agreement without the prior written consent of Cummins.

ESCORT RE
14-SEP-2010
13-OCT-2022 CPL089700
494646 / 0
73058981

CITY OF PORTERVILLE
291 N MAIN ST
PORTERVILLE, CA 93257-3737
LOCAL
STATE
478.61
1,221.99
Billing Inquiries? Call (877)480-6970
35,951.29
37,651.89
1,700.60
255161
217499

CITY OF PORTERVILLE
291 N MAIN ST
PORTERVILLE, CA 93257- *** CHARGE ***

ESTIMATE

FRESNO CA BRANCH
2755 S. CHERRY AVENUE
FRESNO, CA 93706-
3 APPENDIX A IS ATTACHED AND INCORPORATED HEREIN. IN APPENDIX A THERE ARE

ADDITIONAL CONTRACT TERMS AND CONDITIONS, INCLUDING LIMITATION ON

WARRANTIES AND LIABILITIES WHICH ARE EXPRESSIVELY INCORPORATED HEREIN AND

WHICH PURCHASER ACKNOWLDGES HAVE BEEN READ, FULLY UNDERSTOOD AND ACCEPTED.

BAR ARD Number: ARD00293082 EPA: CAL000430089
Remit to:

Cummins Sales and Service
PO Box 772639
Detroit, MI 48277-2639

TO PAY ONLINE LOGON TO
customerpayment.cummins.com
(559)274-4400
TOTAL AMOUNT: US $
AUTHORIZED BY (print name)____________________________________SIGNATURE___________________________DATE_______________________ SUB TOTAL:

TOTAL TAX:

PAGE OF

INVOICE NO

BILL TO OWNER
OSN/MSN/VIN 1N9MNALG9AC084305
RAFAEL BAEZ - 559 7827597
Completion date : 14-Oct-2022 10:12AM. Estimate expires : 20-Nov-2022 11:28AM. 8 1
1 1
1 1
1 0
0 0
0 0
0 0
P BL 1 S GN2 15W-40 BULK
CHEM. PKG

HOUSING,BREATHER

PAC, NG

PAC, LF

AIR FILTER

CAC CLEAN RAD

VALVOLINE
FLG
CECO
FLG
FLG
P2-NONSTOCK
P2-NONSTOCK

16.79 29.33

76.25 71.65

51.95 315.65
1,215.00
134.32

29.33 76.25

71.65 51.95
315.65
1,215.00
V891001
CC2610
3957987
NG5900
LF9009
FIL 6891

CAC RAD

CLEAING
MISCELLANEOUS 1,000.00
SURCHARGE TOTAL: 0.00
PARTS COVERAGE CREDIT:

LABOR COVERAGE CREDIT:

MISC. COVERAGE CREDIT:

TOTAL PARTS:

TOTAL LABOR:

TOTAL MISC.:
19,366.49
15,584.80
1,000.00

0.00 0.00

0.00 19,366.49
15,584.80
1,000.00
PARTS:

LABOR:

MISC.:

CR
CR
CR
3 TERMS AND CONDITIONS
These Terms and Conditions, together with the estimate/quote (the "Quote") and/or invoice ("Invoice") attached to these Terms and Conditions, are hereinafter collectively referred to as this "Agreement" and shall constitute the entire agreement between the customer ("Customer") identified on the Quote and/or Invoice and Cummins Inc. ("Cummins") and supersede any previous agreement or understanding (oral or written) between the parties with respect to the subject matter of this Agreement. Customer shall be deemed to have made an unqualified acceptance of these Terms and Conditions and it shall become a binding agreement between the parties on the earliest of the following to occur: (i) Cummins' receipt of Customer's purchase order or purchase order number; (ii) Customer's signing or acknowledgment of this Agreement; (iii) Cummins' release of Products to production pursuant to Customer's oral or written instruction or direction; (iv) Customer's payment of any amounts due to Cummins; or (v) any other event constituting acceptance under applicable law. No prior inconsistent course of dealing, course of performance, or usage of trade, if any, constitutes a waiver of, or serves to explain or interpret, the Terms and Conditions set forth in this Agreement. Electronic transactions between Customer and Cummins will be solely governed by the Terms and Conditions of this Agreement, and any terms and conditions on Customer's website or other internet site will be null and void and of no legal effect on Cummins. In the event Customer delivers, references, incorporates by reference, or produces any purchase order or document, any terms and conditions related thereto: (i) shall be null and void and of no legal effect on Cummins, and (ii) this Agreement shall remain the governing terms of the transaction.

Used Goods: Used Goods are sold "as is, where is" unless exception is made in writing between Cummins and Customer. Customer agrees to inspect all used Goods before completing the purchase.

THE REMEDIES PROVIDED IN THE LIMITED WARRANTIES AND THIS AGREEMENT ARE THE SOLE AND EXCLUSIVE WARRANTIES AND REMEDIES PROVIDED BY CUMMINS TO THE CUSTOMER UNDER THIS AGREEMENT. EXCEPT

LIMITATION OF LIABILITY NOTWITHSTANDING ANY OTHER TERM OF THIS AGREEMENT, IN NO EVENT SHALL CUMMINS, ITS OFFICERS, DIRECTORS, EMPLOYEES, OR AGENTS BE LIABLE TO CUSTOMER OR ANY THIRD PARTY FOR

ANY INDIRECT, INCIDENTAL, SPECIAL, PUNITIVE, OR CONSEQUENTIAL DAMAGES OF ANY KIND (INCLUDING WITHOUT LIMITATION DOWNTIME, LOSS OF PROFIT OR REVENUE, LOSS OF DATA, LOSS OF OPPORTUNITY, DAMAGE

ASSIGNMENT This Agreement is binding on the parties and their successors and assigns. Customer shall not assign this Agreement without the prior written consent of Cummins.

Item No. 3.

CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Authorization to Re-Advertise for Bids for the Parallel and Connecting Taxiways Rehabilitation Project at the Porterville Municipal Airport SOURCE: Finance
COMMENT: On February 8, 2022, staff received sealed bids for the parallel and connecting taxiways rehabilitation project at the Porterville Municipal Airport. Contract specifications included in the bid documents identified a contract award within 120 calendar days of the bid opening date, i.e, June 8, 2022. In April 2022, staff submitted the revised grant application to the Federal Aviation Administration (FAA) based on the actual low bid. On September 7, 2022, the City received notice from the FAA of a grant offer of $4,748,734 to pay ninety percent (90%) of the allowable costs of the project.

Because of the length of time that had expired from the opening of the bid to the FAA grant offer, the low bid contractor would not honor its bid. The City's airport consultant, Tartaglia Engineering, reached out to the low bidder, Papich Construction, to negotiate a one-time single cost adjustment that, if successful, would be packaged as a single change order. This cost adjustment is intended to address all cost increases that the contractor may have experienced due to delay in the award of a contract.

Unfortunately, the cost adjustment that Papich Construction submitted was $1,745,643 (39.5%) above the original bid of $4,418,371. Tartaglia Engineering and staff concluded the cost adjustment provided by the contractor is unreasonable and that re-bidding the project will provide the best and most competitive value to the City.

RECOMMENDATION: That the City Council authorize staff to re-advertise for bids for the Parallel and Connecting Taxiways Rehabilitation Project at the Porterville Municipal Airport.

ATTACHMENTS: 1. Project Layout Plan
Appropriated/Funded:

Review By:

Department Director:

Maria Bemis, Finance Director
Item No. 3.

Final Approver: John Lollis, City Manager

Item No. 4.

CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Acceptance of Project - Corporation Yard Electrification Project, Phase 2 SOURCE: Engineering and Project Management
COMMENT: EverLevel Holdings, LLC has completed the Corporation Yard Electrification Phase II Project, per plans and specifications. The project consisted of installing twelve (12) 50kW electric vehicle charging stations, a pre-engineered canopy with a 21.375kW photovoltaic system, conduits and trench patching at the City Corporation Yard.

Staff tracks construction costs of all Capital Improvement Projects and reports project construction expenditures when the project is accepted by City Council.

At its meeting on January 19, 2021, the Council authorized an expenditure of $710,400 for construction, construction management, quality control and inspection services for this project. The following itemizes the construction related costs in two categories: 1) the construction contract, and 2) a combination of construction management and quality control.

1. Final Construction cost is $618,901.

2. Construction management, quality control and inspection service costs are $41,658.67.

Total project construction costs equate to $660,559.67, which is less than the $710,400 overall budget approved by Council at time of award. The funding sources for this project are Federal Transit Administration 5307 funds and the Transit allocation of Local Transportation Funds.

EverLevel Holdings, LLC requests that the Council accept the project as complete. Staff has reviewed the work and found it acceptable.

RECOMMENDATION: That the City Council:

1. Accept the project as complete; and

2. Authorize the filing of the Notice of Completion.

ATTACHMENTS: 1. Locator Map
Appropriated/Funded:

Review By:

Department Director:

Item No. 4.

Javier Sanchez, Engineering & Project Management Director Final Approver: John Lollis, City Manager

PORTER SLOUGH
ER SLOUGH PROSPECT ST. LOWERY ST. WESTSIDE ST. MANKINS CIR. WAUKESHA ST. LINDALE ST. BEVERLY ST. LOTAS ST.

THURMAN AVE. YORK ST. MASTON ST.

GRAND AVE.

KANAI AVE.

GRAND AVE. YORK DR.

BELLEVIEW AVE.

MEMORY LN. PROSPECT ST. NEWCOMB ST.

MORTON AVE.

PUTNAM AVE.

ON AVE.

CITY OF PORTERVILLE SEWER PLANT
HENDERSON AVE. NEWCOMB ST.

CITY OF PORTERVILLE

ENGINEERING DIVISION
291 NORTH MAIN STREET
PORTERVILLE, CA. 93257
(559) 782-7462
N
O R T
H

PROJECT

LOCATION
Item No. 5.

CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Acceptance of Project - Transit Center Electrification Project SOURCE: Engineering and Project Management
COMMENT: EverLevel Holdings, LLC has completed the Transit Center Electrification Project per plans and specifications. The project consisted of installing two 200kW electric vehicle charging stations, installing a 51,975kW photovoltaic system, removing and replacing damaged curb, gutter and sidewalk at the Transit Center building at Oak Ave and D Street.

Staff tracks construction costs of all Capital Improvement Projects and reports project construction expenditures when the project is accepted by City Council.

At its meeting on December 15, 2020, the Council authorized an expenditure of $1,089,000 for construction, construction management, quality control and inspection services for this project. The following itemizes the construction related costs in two categories: 1) the construction contract, and 2) a combination of construction management and quality control.

1. Final Construction cost is $644,890.53

2. Construction management, quality control and inspection service costs are $18,053.57
Total project construction costs equate to $662,944.10 which is less than the $1,089,000 overall budget approved by Council at time of award. The funding sources for this project are FTA funds, CARB funds, LTF funds and SJVAPCD funds.

EverLevel Holdings, LLC requests that the Council accept the project as complete. Staff has reviewed the work and found it acceptable.

RECOMMENDATION: That the City Council:

1. Accept the project as complete; and

2. Authorize the filing of the Notice of Completion.

ATTACHMENTS: 1. Locator Map
Appropriated/Funded:

Review By:

Department Director:

Item No. 5.

Javier Sanchez, Engineering & Project Management Director Final Approver: John Lollis, City Manager

Item No. 6.

CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Acceptance of Fiscal Year 2020 State Homeland Security Grant Program Funds SOURCE: Fire
COMMENT: The Fire Department was recently awarded a Homeland Security Grant through the State Homeland Security Grant Program Committee of Tulare County in the amount of $70,282. This grant, which provides federal funding through a program administered by California Office of Emergency Services (CalOES), will fund a new Bauer SCBA Cylinder Fill Station. This is a vital piece of firefighting equipment as it supplies the air for self-contained breathing apparatus (SCBA), allowing firefighters to work in environments that are dangerous to life and health.

The grant funds are routed from CalOES to each County's respective OES, for distribution by the above-referenced selection Committee. In order to accept the grant, a Subaward Agreement must be executed and returned to Tulare County OES.

RECOMMENDATION: That the City Council:

1. Authorize the Mayor to sign the Subaward Agreement as authorized agent; and

2. Accept the $70,282 award of grant funds to purchase Bauer SCBA Cylinder Air Fill Station.

ATTACHMENTS: 1. FY 2020 SHSGP Notification of Subrecipient Award

2. FY 2020 SHSGP Subaward Agreement
Appropriated/Funded:

Review By:

Department Director:

Bryan Cogburn, Deputy Fire Chief
Final Approver: John Lollis, City Manager
FY 2020 HOMELAND

SECURITY GRANT

COUNTY OF PORTERVILLE

FIRE DEPARTMENT
Office of Emergency Services
5957 South Mooney Boulevard, Visalia, California 93277
(559) 624-8000 Telephone (559) 624-7499 Facsimile
December 6, 2021
Dave LaPere
Fire Chief
City of Porterville, Fire Department
40 W Cleveland Ave
Porterville CA 93257
[email protected]
Subject: NOTIFICATION OF SUBRECIPIENT AWARD
FY 2020 State Homeland Security Grant Program (SHSGP)
Subaward #: 2020-0095, Cal OES ID: 107-00000, CFDA #: 97-067 Subaward Period of Performance: 09/01/2020 to 05/31/2023 Dear Chief LaPere,
Please accept this letter as the official subaward notification for the Porterville Fire Department, DUNS #: 030969406, from the FY 2020 State Homeland Security Grant Program.

A summary of your subaward follows:
• Project 003 – For the purchase (1) Bauer SCBA Cylinder Air Fill Station: $70,282.

Please see the attached Grant Award Workbook page for the approved equipment and corresponding AEL number(s). Your agency has only been approved to purchase the equipment listed on the Grant Award Workbook page.

As a condition of funding, your agency must accept the Subaward Agreement Regarding FY 2020 State Homeland Security Grant Program Funding for Equipment, Planning, Administration, Training and Exercises. This agreement must be signed by your governing body and accompanied by a copy of the governing body’s resolution accepting the agreement.

For all grant-funded procurement, your agency must adhere to the terms contained within the above-referenced agreement, all relevant State and Federal laws and regulations. In particular, you must adhere to the most restrictive procurement standard on each topic, for each procurement, between the following:
a. Your jurisdiction’s ordinances and formally adopted procurement policies. b. State law; and
c. The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Title 2, Code of Federal Regulations [CFR] Part 200, including but not limited to such sections as 2 CFR §200.320 “Methods of procurement to be followed”)
For activities flagged for additional review on the Grant Award Workbook page (e.g., Environmental Planning and Historic Preservation, Allowability Requests, Aviation, Performance Bond, etc.), your agency shall not incur costs until you and Tulare County OES receive written approval from Cal OES removing the hold.

This subaward is subject to all provisions of 2 CFR Part 200, including Subpart F - Audit Requirements. Any funds received in excess of current needs, approved amounts, or those found owed as a result of a final review or audit, must be refunded to the State within 30 days upon receipt of an invoice.

All activities, invoices, and payments for the awarded activities must be dated within the performance period to be eligible for reimbursement. Reimbursement requested after April 30 of each year may be delayed until the following Fiscal Year; please plan accordingly and be prepared to accrue reimbursement if submitting during this time.

The final deadline for completed reimbursement requests to be submitted is February 28, 2023, to allow time for grant close-out activities.

Requests for reimbursement, questions, or information requests should be submitted to the OES Grant Administrator at [email protected] or at:

Office of Emergency Services
Tulare County HHSA
5957 South Mooney Boulevard
Visalia, California 93277
Sincerely Yours,
Andrew Lockman
Emergency Services Manager
2020 HOMELAND SECURITY GRANT AWARD
SUBAWARD #: 2020-0095, CAL OES ID: 107-00000, CFDA #: 97-067

EQUIPMENT AWARD FOR THE CITY OF PORTERVILLE, FIRE DEPARTMENT Project Equipment Description &
Quantity AEL# AEL Title Discipline Proposed
Vendor Total Cost Hold
Trigger
003 (1) Bauer SCBA Cylinder Air Fill
Station
19GN-00-
COMP
Compressors and
Systems, Breathing Air
FS Bauer
Compressors
$ 70,282 Yes
TOTAL AWARD AMOUNT $ 70,282

Page 1 of 2 ends

QUICK TIPS

FOR HOMELAND SECURITY

GRANT RECIPIENTS
Do NOT purchase anything until you have received an
award letter from Tulare County OES
You must conduct a search on the System for Award Management (SAM) website prior to entering into an agreement with any vendor for HSGP-related expenses. Verification must be provided (i.e. printed search results) upon submission of a reimbursement request to show that the vendor was not debarred or suspended during the time of service for your awarded project(s). If it is discovered that the vendor was debarred or suspended during that time, your project will not be reimbursed.

If your project involves/requires a contract, you must provide the contractor a copy of the Cal OES Standard Grant Assurances for that grant cycle, and stipulate that they must abide by the terms of those assurances.

Your project may be placed on conditional hold by the State even though the grant was approved. DO NOT proceed with any part of your award purchase until you receive authorization from Tulare County OES that the conditional hold has been released. This can be due to Sole Source or EHP reviews.

All invoices must be dated after the date printed on the Tulare County OES award letter or they will not be reimbursed.

You may only purchase the equipment listed on the Equipment Workbook page provided with your award letter. Any deviation from the approved equipment and/or AEL number will not be reimbursed.

A performance period is issued for each project. The ending date of the performance period is the ending date of your award. No purchases are allowed after this date.

Environmental and Historic Preservation (EHP) reviews must be approved before you initiate the purchasing process. If documentation shows that purchases occurred prior to receiving EHP approval, those purchases will not be reimbursed.

All public safety communications equipment must be P25-compliant. NO EXCEPTIONS.

Page 2 of 2 ends

You must obtain a performance bond for any equipment item over $250,000 or any vehicle, aircraft or watercraft, funded with HSGP funds.

Sole source procurements in excess of $100,000 must receive prior written approval. Interagency agreements between units of government are excluded from this provision.

Maintenance contracts and warranties for equipment are allowable costs. You may purchase a maintenance contract or warranty at the time of procurement or at a later time to extend the useful life of the equipment. For example, you may purchase a maintenance contract or warranty from one fiscal year to cover equipment purchased with funding from a different fiscal year. Maintenance contracts must be purchased using funds from FEMA’s preparedness grant programs. The term of the maintenance contract or warranty can exceed the period of performance of the grant to which the contract is being charged.

Most equipment (technology or equipment costing over $5,000) must be tagged with an HSGP Inventory sticker issued by Tulare County OES before reimbursement. If applicable to your project(s), you will receive a letter, sticker(s), and an inventory form to complete and return to Tulare County OES.

Sub-Recipients are responsible for replacing or repairing property and equipment which is willfully or negligently lost, stolen, damaged, or destroyed. Any loss, damage, or theft of the property must be investigated and fully documented and made part of the official project records.

Your equipment will be inventoried by Tulare County OES every two years, and compliance is required. If anything is missing, lost or stolen, your department is responsible to replace it. This does not apply to expendable items, such as gloves, masks or other expendable personal protective equipment.

Tips will not be reimbursed.

Meals will not be reimbursed without prior Cal OES approval.

Lodging will be reimbursed according to the Federal per diem rates set for the County and the season. Lodging will not be reimbursed at all if the rate exceeds the amount allowed by the United Sates General Services Administration, accessible at www.gsa.gov/perdiem.

All training must be pre-approved and issued a training tracking number before any costs associated with that training can be incurred.

Training Certificates must accompany your reimbursement request.

TULARE COUNTY OFFICE OF EMERGENCY SERVICES

SUB-GRANTEE PASSTHROUGH TO LOCAL REIMBURSEMENT REQUEST
FY 2020 Homeland Security Grant Program (HSGP)
Award# 2020- 0095 OES ID # 107-00000
* Reimbursement Request Checklist must be completed and submitted with this form to be eligible for reimbursement

REIMBURSEMENT REQUEST

SUB-RECIPIENT
PROJECT #
(one per form)

CLAIM AMOUNT
____________
$

MICRO PURCHASE

THRESHOLD

BID THRESHOLD
$
($10,000 if unknown)
$
PROCUREMENT TYPE (refer to 2 CFR 200.320 for definitions) __ Micro (under $10,000 or your Micro Threshold, whichever is higher) __ Small (between $10,000/your Micro Threshold and $250,000/your Bid Threshold) __ Competitive (over $250,000+ or your Bid Threshold, whichever is lower) __ Non-Competitive (per 2 CFR 200.320(c))
Under penalty of perjury, I certify that:

I am duly authorized officer of the claimant herein, that this claim is in all respects true, correct, and in accordance with applicable laws, rules, and regulations, that the services mentioned herein were actually rendered, and that I have not violated any of the provision of government Code Section 1090 to 1096, inclusive.

AUTHORIZED AGENT
Name E-Mail Address
(559)
Title Telephone Number
(559)
Mailing Address Fax Number
City, State, Zip Code
**
Signature Date
Submit Reimbursement Request to:

Tulare County Office of Emergency Services
5957 S Mooney Blvd
Visalia CA 93277
559-624-7495 office
([email protected] Date Received
**

TULARE COUNTY OFFICE OF EMERGENCY SERVICES

SUB-GRANTEE PASSTHROUGH TO LOCAL REIMBURSEMENT REQUEST
FY 2020 Homeland Security Grant Program (HSGP)
Award# 2020-0095 OES ID # 107-00000

REIMBURSEMENT REQUEST CHECKLIST
For all reimbursements, you MUST have verified, and MUST re-verify, that each vendor to whom payment was made is NOT listed for exclusion or debarment on the U.S. Government’s “System for Awards Management” database. Sub-Recipients can verify the party’s eligibility by going to the website http://www.sam.gov and searching for the party’s name. Print the party’s result prior to purchase and submit it with the reimbursement request along with the report generated at the time of the Project Proposal. If the party is listed for exclusion or debarment on the website, you will NOT be eligible for reimbursement.

ITEM(S) INVOICE# CHECK# AMOUNT
TOTAL $ 0.00
Remit to OES:

Vendor Quote(s):
 Micro Purchases: Selected Quote
 Small Purchases: Selected Quote and “an adequate number of price or rate quotations” – minimum 2 non-selected quotes for the same item (see 2 CFR 200.320(b))
 Competitive Bid & Non-Competitive Procurements: All Bid documents, including specifications, advertisements, list of recipients (including minority & women owned businesses), all received bids, required analyses such as cost/price analysis, profit negotiation as separate component of cost (see generally, grant assurances and 2 CFR 200; notably, but not limited to, sections 318, 319, 320, 321, 322, 324, 326, and 327)

SYSTEM FOR AWARDS MANAGEMENT (SAM)

REIMBURSEMENT ITEMIZATION

ALL REIMBURSEMENTS
Procurement history documentation, to include rationale for method of procurement, selection of contract type, contractor selection or rejection, and basis for the contract price (see 2 CFR 200.318(i))
Completed Reimbursement Request packet (including this Checklist) Contracts: Vendor contract with Federally Required terms incorporated.

Copies of all Invoices and Packing Slip(s)
Copy of the “System for Awards Management” search results Copy of the canceled check(s) issued to pay the vendor(s) (front and back, legible)
Copies of all reports and deliverables (i.e. final product) Complete and detailed Time Studies for any claimed personnel expenses Vendor contract with Federally Required terms incorporated Timecards of all personnel who received overtime*, including rate of pay Timecards of all personnel used to backfill*, including rate of pay * Overtime and backfill cannot overlap. Overtime and/or backfill are subject to PRIOR approval by the Approval Authority and/or Tulare County OES; approved on a case-by-case basis.

Copies of payroll reports for each claimed pay period
Copy of training CERTIFICATE(S) issued Copy of agenda or syllabus All receipts for travel, meals, lodging*
* Lodging is allowable up to the Federal Per Diem rate per http://www.gsa.gov. Lodging willNOT be reimbursed at all if the cost per night exceeds the Federal Per Diem rate. Tips are NOT reimbursable. Alcohol is not allowable. Meals for hosted training must be preapproved by Cal OES.

Serial numbers of equipment items and deployed address(es) where each item will be used or stored.

TRAINING REIMBURSEMENTS

EQUIPMENT PROJECTS

PLANNING PROJECTS

TULARE COUNTY OFFICE OF EMERGENCY SERVICES

SUB-GRANTEE PASSTHROUGH TO LOCAL REIMBURSEMENT REQUEST
FY 2020 Homeland Security Grant Program (HSGP)
Award# 2020-0095 OES ID # 107-00000
ITEM COST SERIAL# ADDRESS
OES will use the information submitted to provide an EquipmentInventory Tracking Sheet and Homeland Security Asset Tag(s):

Complete the Equipment Inventory Tracking Sheet
Apply the Homeland Security Asset Tag(s), if applicable Initial, sign and date the Equipment Inventory Tracking Sheet Remit the completed Equipment Inventory Tracking Sheet to OES

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FY 2020 HSGP NOFO
The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year (FY) 2020 Homeland Security Grant Program (HSGP) NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take four weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information.

Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at: http://www.grants.gov/web/grants/register.html.

A. Program Description

1. Issued By
Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD)

2. Assistance Listings Number (formerly Catalog of Federal Domestic Assistance Number) 97.067

3. Assistance Listings Title (formerly CFDA Title)
Homeland Security Grant Program

4. Funding Opportunity Title
Homeland Security Grant Program
• State Homeland Security Program
• Urban Area Security Initiative
• Operation Stonegarden

5. Funding Opportunity Number
DHS-20-GPD-067-00-01

6. Authorizing Authority for Program
Section 2002 of the Homeland Security Act of 2002 (Pub. L. No. 107-296, as amended) (6 U.S.C. § 603)

7. Appropriation Authority for Program
Department of Homeland Security Appropriations Act, 2020 (Pub. L. No. 116-93)

8. Announcement Type
New

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FY 2020 HSGP NOFO

9. Program Overview, Objectives, and Priorities
Overview
The Fiscal Year (FY) 2020 Homeland Security Grant Program (HSGP) is one of three grant programs that constitute the Department of Homeland Security (DHS)/Federal Emergency Management Agency’s (FEMA’s) focus on enhancing the ability of state, local, tribal, and territorial governments, as well as nonprofits, to prevent, protect against, respond to, and recover from 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 Quadrennial Homeland Security Review, HSGP supports the goal to Strengthen National Preparedness and Resilience. In FY 2020, there are three components of HSGP:
1) State Homeland Security Program (SHSP): SHSP assists state, local, tribal, and territorial 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 Areas 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. State, local, tribal, and territorial (SLTT) law enforcement agencies utilize their inherent law enforcement authorities to support the border security mission and do not receive any additional authority as a result of participation in OPSG.

The 2018-2022 FEMA Strategic Plan creates a shared vision for reducing the risks posed by terrorism and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. HSGP supports the goals of Building a Culture of Preparedness and Readying the Nation for Catastrophic Disasters. We invite our stakeholders and partners to also adopt these priorities and join us in building a more prepared and resilient Nation, as preparedness is a shared responsibility and funding should support priorities that are most impactful and demonstrate the greatest return on investment.

Finally, for FY 2020, DHS is focused on the criticality of information sharing and collaboration to building a national culture of preparedness and protecting against terrorism and other emerging threats to our national security. DHS and its homeland security mission were born from the “failures among federal agencies and between the federal agencies and state and local authorities to share critical information related to the threat of terrorism” prior to the September 11, 2001, attacks.1 The threat profile has changed in the last two decades – we now face continuous cyber threats by sophisticated actors, threats to soft targets and crowded places, threats to our democratic election 1 Homeland Security Act of 2002: Report Together with Minority and Dissenting Views 222, Select Committee on Homeland Security: 107th Congress, U.S. House of Representatives (2002) (H. Rpt. 107-609).

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FY 2020 HSGP NOFO
process and threats from new and emerging technologies. But information sharing and cooperation between state, local, and tribal authorities and federal agencies, including all DHS officials, is just as vital, and perhaps even more vital, today. Therefore, for FY 2020, we have identified four priority areas, tied to some of the most serious threats that DHS would like to see addressed by state and local governments, that recipients will need to address with their HSGP funds. Perhaps most importantly, we will be focused on forging partnerships to strengthen information sharing and collaboration in each of these priority areas and looking for recipients to remove barriers to communication and cooperation with DHS and other federal agencies.

Objectives
The objective of the FY 2020 HSGP is to fund state, local, tribal, and territorial efforts to prevent terrorism and prepare the Nation for threats and hazards that pose the greatest risk to the security of the United States.

Priorities
Given the evolving threat landscape, it is incumbent upon DHS/FEMA to continuously evaluate the national risk profile and set priorities that help ensure appropriate allocation of scarce security dollars. In assessing the national risk profile for FY 2020, four priority areas attract the most concern.

And due to the unique threats that the nation faces in 2020, DHS/FEMA has determined that these four priorities should be addressed by allocating specific percentages of HSGP funds to each of these four areas, for a total of 20 percent. The following are the four priority areas for FY 2020, along with the corresponding amount of HSGP funds that each recipient will be required to propose for each priority area in order to obtain a full allocation of HSGP funds:
1) Enhancing cybersecurity (including election security) – 5 percent 2) Enhancing the protection of soft targets/crowded places (including election security) – 5 percent;
3) Enhancing information and intelligence sharing and cooperation with federal agencies, including DHS – 5 percent;
4) Addressing emergent threats (e.g., unmanned aerial systems [UASs], etc.) – 5 percent.

Failure by a recipient to propose investments and projects that align with these four priority areas and spending requirements may result in a recipient receiving a reduced grant award. DHS/FEMA may not award funding in excess of a recipient’s minimum allocation threshold2 to the extent that investments and projects do not align with these four priority areas.

A State or high-risk urban area may allocate the remaining 80 percent to 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, and to which that States should consider allocating funding across core capability gaps and national 2 The Homeland Security Act of 2002, as amended, allocates for each of the 50 States, the District of Columbia, and Puerto Rico

0.35 percent of the total funds appropriated for grants under section 2003 and section 2004 of the Act, and 0.08 percent for each of the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands).

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FY 2020 HSGP NOFO
priorities. The following are enduring needs that help recipients implement a comprehensive approach to securing communities:
1) Effective planning;
2) Training and awareness campaigns;
3) Equipment and capital projects; and
4) Exercises.

The table below provides a breakdown of the FY 2020 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 anticipate 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 other funding mechanisms.

FY 2020 SHSP & UASI Funding Priorities
Priority Areas Core Capabilities Lifelines Example Project Types National Priorities
Enhancing
Cybersecurity
(including election
security)
• Cybersecurity
• Intelligence and
information sharing
• Safety and
security
• Cybersecurity risk assessments
• Projects that address vulnerabilities
identified in cybersecurity risk
assessments
o Improving cybersecurity of critical
infrastructure to meet minimum levels
identified by CISA
o Cybersecurity training and planning
Enhancing the
Protection of Soft
Targets/ Crowded
Places (including
election security)
• 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
• Safety and
security
• Operational overtime
• Physical security enhancements
o Security cameras (CCTV)
o Security screening equipment for
people and baggage
o Lighting
o Access controls
o Fencing, gates, barriers, etc.

Enhancing
information and
intelligence sharing
and cooperation with
federal agencies,
including DHS
• Intelligence and
information sharing
• Safety and
security
• Fusion center operations (Fusion Center
project will be required under this
investment, no longer as a stand-alone
investment)
• Information sharing with all DHS
components, fusion centers, and other
entities designated by DHS

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FY 2020 HSGP NOFO
• Cooperation with DHS officials and other
entities designated by DHS in
intelligence, threat recognition and
analysis
• Joint training and planning with DHS
officials and other entities designated by
DHS
Addressing Emergent
Threats, such as
Transnational
Criminal
Organizations and
UAS
• Interdiction &
disruption
• Screening, search and
detection
• Physical protective
measures
• Intelligence and
information sharing
• Planning
• Public Information
and Warning
• Operational
Coordination
• Safety and
security
• Sharing and leveraging intelligence and
information
• UAS detection technologies
• Enhancing weapons of mass destruction
(WMD) and/or improvised explosive
device (IED) prevention, detection,
response and recovery capabilities
o Chemical Biological
Radiological Nuclear and
Explosive (CBRNE) detection,
prevention, response, and
recovery equipment
Enduring Needs
Planning • Planning
• Risk management for
protection programs
and activities
• Risk and disaster
resilience assessment
• Threats and hazards
identification
• Operational
coordination
• Community resilience
• Safety and
security
• Development of:
o Security Risk Management 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
Training &
Awareness
• Long-term
vulnerability
reduction
• Public information
and warning
• Operational
coordination
• Situational
assessment
• Community resilience
• Safety and
security
• Active shooter training
• Security training for employees
• Public awareness/preparedness campaigns
• Joint training and planning with DHS
officials and other entities designated by
DHS
• Cybersecurity training and planning
Equipment & 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
• Safety and
security
• 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.

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FY 2020 HSGP NOFO
Exercises • Long-term
vulnerability
reduction
• Operational
coordination
• Operational
communications
• Community
resilience
• Safety and
security
• Response exercises
Starting in FY 2020, each SHSP and UASI recipient is required to submit an Investment Justification (IJ) for each of the four national priorities identified above. Under the Cybersecurity investment and the Soft Target/Crowded Places investments one project for each of those two investments must be to support enhancing election security. As a reminder, all SHSP- and UASI-funded projects must have a demonstrated nexus 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 (e.g., states, territories, and high-risk urban areas) to complete a THIRA/SPR and prioritize grant funding to support 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 (NPS) tools and resources, can be found at https://www.fema.gov/national-preparedness-system. Detailed information on THIRA/SPR timelines and deadlines can be found in the Preparedness Grants Manual.

FY 2020 OPSG Funding Priorities
Priority Areas Core Capabilities Lifelines Example Project Types National Priorities
Enhancing
information and
intelligence
sharing 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, and other
entities designated by DHS
• Cooperation with DHS officials and other
entities designated by DHS in
intelligence, threat recognition and
analysis
• Joint training and planning with DHS
officials and other entities designated by
DHS
Addressing
Emergent
Threats, such as
Transnational
Criminal
Organizations
• Interdiction & disruption
• Screening, search and
detection
• Physical protective
measures
• Intelligence and
information sharing
• Safety and
security
• Operational overtime for border security
operations as directed by the applicable,
USBP-approved operations order
• Sharing and leveraging intelligence and
information
Starting in FY 2020, each OPSG applicant is required to clearly articulate and identify how the Concept of Operations addresses each of the two national priorities identified above.

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FY 2020 HSGP NOFO

10. Performance Metrics
Performance metrics for this program are as follows:

SHSP and UASI:
• Percentage of funding allocated by the recipient to core capabilities to build orsustain national priorities identified in the section above; and 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
Award Amounts, Important Dates, and Extensions
Available Funding for theHSGP NOFO: $1,120,000,000
HSGP Programs FY 2020 Allocation
State Homeland Security Program $415,000,000
Urban Area Security Initiative $615,000,000
Operation Stonegarden $90,000,000
Total $1,120,000,000
SHSP Allocations
For FY 2020, DHS/FEMA will award SHSP funds based on risk and the anticipated effectiveness of the proposed use of grant funds upon completion of the application review process. The following table identifies the targeted SHSP allocation ranges for each State based on DHS/FEMA’s relative risk methodology pursuant to the Homeland Security Act of 2002, as amended. States are strongly encouraged to apply for funding at least 15% over the high end of their target allocation range as ineffective applications will not be funded. Final award amounts will be based on DHS/FEMA’s evaluation of the effectiveness of proposed investments and projects.

Regardless of the amount of a State’s targeted SHSP allocation range, each State must include a separate investment for each of the four national priority areas identified in the Priorities section, above. The funding level in each national priority area investment must equal or exceed the percentage for that respective national priority area, calculated as a percentage of the State’s targeted SHSP allocation in the table below. For the states that receive a target allocation in excess of the minimum, the percentage is calculated against the high end of the range, as displayed in the table below. 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. Final awards are based on whether the State has proposed investments in each of the four national priority areas in an amount equal to or greater than the percentage for that priority area and based on the effectiveness review.

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FY 2020 HSGP NOFO
DHS/FEMA will allocate to each state and territory a minimum allocation under the SHSP using thresholds established in the Homeland Security Act of 2002, as amended. The minimum allocation for all 50 States, the District of Columbia, and the Commonwealth of Puerto Rico is 0.35 percent of the total funds appropriated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended. The minimum allocation for the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands) is 0.08 percent of the total funds appropriated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended. THIRA/SPR results do not impact grant allocation or award.

Regardless of the final award amount, a state must invest SHSP funding in each of the four national priority areas in an amount equal to or greater than percentage identified above for each national priority area, as approved by DHS/FEMA.

FY 2020 TARGET SHSP ALLOCATIONS
State/Territory FY 2020 Allocation State/Territory FY 2020 Allocation New York $59,174,400 - $73,968,000 Kentucky $4,287,500
California $49,608,800 - $62,011,000 Louisiana $4,287,500 Texas $15,839,200 - $19,799,000 Maine $4,287,500
Illinois $12,085,600 - $15,107,000 Minnesota $4,287,500 Florida $8,127,200 - $10,159,000 Mississippi $4,287,500 Virginia $7,076,800 - $8,846,000 Missouri $4,287,500
Georgia $4,600,000 - $5,750,000 Montana $4,287,500
Pennsylvania $7,076,800 - $8,846,000 Nebraska $4,287,500 Maryland $6,153,600 - $7,692,000 Nevada $4,287,500
New Jersey $6,153,600 - $7,692,000 New Hampshire $4,287,500 Washington $5,384,800 - $6,731,000 New Mexico $4,287,500 Massachusetts $5,384,800 - $6,731,000 North Dakota $4,287,500 Ohio $5,384,800 - $6,731,000 Oklahoma $4,287,500
North Carolina $4,423,200 - $5,529,000 Oregon $4,287,500 District of Columbia $4,423,200 - $5,529,000 Puerto Rico $4,287,500 Michigan $4,423,200 - $5,529,000 Rhode Island $4,287,500 Alabama $4,287,500 South Carolina $4,287,500
Alaska $4,287,500 South Dakota $4,287,500
Arizona $4,287,500 Tennessee $4,287,500
Arkansas $4,287,500 Utah $4,287,500
Colorado $4,287,500 Vermont $4,287,500
Connecticut $4,287,500 West Virginia $4,287,500
Delaware $4,287,500 Wisconsin $4,287,500
Hawaii $4,287,500 Wyoming $4,287,500
Idaho $4,287,500 American Samoa $1,000,000
Indiana $4,287,500 Guam $1,000,000
Iowa $4,287,500 Northern Mariana $1,000,000
Kansas $4,287,500 U.S. Virgin Islands $1,000,000
$415,000,000

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FY 2020 HSGP NOFO
UASI Allocations
Eligible candidates for the FY 2020 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 (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programssurveys/metro-micro.html. THIRA/SPR results do not impact grant allocation or award.

For FY 2020, DHS/FEMA will award UASI funds based on risk and the anticipated effectiveness of the proposed use of grant funds upon completion of the application review process. The following table identifies the targeted 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. Applicants are strongly encouraged to apply for funding at least 15% over the high end of their target allocation range as ineffective applications will not be funded.

Final award amounts will be based on DHS/FEMA’s evaluation of the effectiveness of proposed investments and projects.

In its application, each high-risk urban area, through the State, must include a separate investment for each of the four national priority areas identified in the Priorities section, above.

The funding level in each national priority area investment must equal or exceed the percentage for that respective national priority area, calculated as a percentage of the high-risk urban area’s targeted UASI allocation in the table below. The percentage is calculated against the high end of the range, as displayed in the table below. DHS/FEMA will make final award determinations based upon a review of the anticipated effectiveness of the high-risk urban area’s application as described in Section D, below. Final awards are based on whether the State has proposed investments in each of the four national priority areas in an amount equal to or greater than the percentage for that priority area and based on the effectivenessreview.

Regardless of the final award amount, a high-risk urban area must invest UASI funding in each of the four national priority areas in an amount equal to or greater than percentage identified above for each national priority area, as approved by DHS/FEMA.

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FY 2020 HSGP NOFO
FY 2020 TARGET UASI ALLOCATIONS
State/Territory Funded Urban Area FY 2020 UASI Allocation Arizona Phoenix Area $4,200,000 - $5,250,000
California
Anaheim/Santa Ana Area $4,200,000 - $5,250,000
Bay Area $30,000,000 - $37,500,000
Los Angeles/Long Beach Area $54,400,000 - $68,000,000
Riverside Area $2,800,000 - $3,500,000
Sacramento Area $2,800,000 - $3,500,000
San Diego Area $13,520,000 - $16,900,000
Colorado Denver Area $2,800,000 - $3,500,000
District of Columbia National Capital Region $41,400,000 - $51,750,000 Florida
Miami/Fort Lauderdale Area $11,800,000 - $14,750,000
Orlando Area $2,800,000 - $3,500,000
Tampa Area $2,800,000 - $3,500,000
Georgia Atlanta Area $5,000,000 - $6,250,000
Hawaii Honolulu Area $2,800,000 - $3,500,000
Illinois Chicago Area $54,400,000 - $68,000,000
Louisiana New Orleans Area $2,800,000 - $3,500,000
Maryland Baltimore Area $3,400,000 - $4,250,000
Massachusetts Boston Area $13,520,000 - $16,900,000
Michigan Detroit Area $4,200,000 - $5,250,000
Minnesota Twin Cities Area $4,200,000 - $5,250,000
Missouri St. Louis Area $2,800,000 - $3,500,000
Nevada Las Vegas Area $4,200,000 - $5,250,000
New Jersey Jersey City/Newark Area $15,240,000 - $19,050,000 New York New York City Area $143,000,000 - $178,750,000 Oregon Portland Area $2,800,000 - $3,500,000
Pennsylvania Philadelphia Area $13,520,000 - $16,900,000 Pittsburgh Area $2,800,000 - $3,500,000
Texas
Dallas/Fort Worth/Arlington Area $13,520,000 - $16,900,000 Houston Area $19,680,000 - $24,600,000
San Antonio Area $2,800,000 - $3,500,000
Virginia Hampton Roads Area $2,800,000 - $3,500,000
Washington Seattle Area $5,000,000 - $6,250,000
Total $615,000,000
OPSG Allocations
For FY 2020, 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 2020 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

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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.

Effectiveness of the proposed investments will be evaluated based on the recipient’s investment strategy, budget, collaboration, and past performance.

Period of Performance: 36 months
Extensions to the Period of Performance (PoP) are allowed. For additional information on PoP extensions, refer to the Preparedness Grants Manual.

Projected Period of Performance Start Date: September 1,2020 Projected Period of PerformanceEnd Date: August 31, 2023 Funding Instrument: Grant
C. Eligibility Information

1. Eligible Applicants
The State Administrative Agency (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 under the SHSP and OPSG through the SAA.

2. Eligibility Criteria
Eligible high-risk urban areas for the FY 2020 UASI program have been determined through

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an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSAs) in the United States. Subawards will be made by the SAAs to the designated high-risk urban areas.

In FY 2020, OPSG eligible subrecipients are local units of government at the county level or equivalent level of government and Federally recognized tribal governments in states bordering Canada or Mexico and states and territories with international water borders. All applicants must have active ongoing USBP operations coordinated through a CBP sector office to be eligible for OPSG funding.

In FY 2020, 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.

3. Other Eligibility Criteria
National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2020, recipients must ensure and maintain adoption and implementation of NIMS. Detailed information on NIMS requirements are in the Preparedness Grants Manual.

Emergency Management Assistance Compact (EMAC) Membership In support of 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 2020 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 (GIS), interoperable communications systems, capabilities as defined under the Mitigation Mission Area of the Goal, and fusion centers.

Law Enforcement Terrorism Prevention Activities (LETPA) Per section 2006 of the Homeland Security Act of 2002, as amended (6 U.S.C. § 607), DHS/FEMA is required to ensure that at least 25 percent of grant funding appropriated for grants awarded under HSGP’s authorizing statute are used for law enforcement terrorism prevention activities. DHS/FEMA meets this requirement, in part, by requiring all recipients allocate at least 25 percent of the combined HSGP funds allocated under SHSP and UASI towards law enforcement terrorism prevention activities, as defined in 6 U.S.C. § 607. The LETPA allocation can be from SHSP, UASI, or both. The 25 percent LETPA allocation may be met by funding projects in any combination of the four national priority areas

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identified above and any other investments. And the 25 percent LETPA allocation is in addition to the 80 percent pass-through requirement to local units of government and tribes, referenced below.

The National Prevention Framework describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, to thwart an initial or follow-on terrorist attack and provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eligible for use 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.

4. Cost Share or Match
There is no cost share or match requirement for the FY 2020 HSGP.

D. Application and SubmissionInformation

1. Key Dates and Times
a. Application Start Date: February 14, 2020
b. Application Submission Deadline: April 30 15, 2020 at 5:00 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 the full application. DHS/FEMA will not review applications that are received after the deadline or consider them for funding. DHS/FEMA may, however, extend the application deadline on request for an 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, or other exigent or emergency circumstances.

Applicants experiencing technical issues must notify the FEMA Headquarters (HQ) Program Analyst prior to the application deadline. If applicants do not know their FEMA HQ Program Analyst or if there are programmatic questions or concerns, 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 a.m. – 5:00 p.m. ET. c. Anticipated Funding Selection Date: No later than 7/1/2020 d. Anticipated Award Date: No later than 9/30/2020
e. Other Key Dates:

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Event Suggested Deadline for Completion
Obtain DUNS Number 3/16/2020 3/1/2020
Obtain a valid Employer
Identification Number (EIN) 3/16/2020 3/1/2020
Update SAM registration 3/16/2020 3/1/2020
Submit the initial application in
Grants.gov 4/23/2020 4/8/2020
Submit the final application in ND
Grants 4/30/2020 4/15/2020, 5:00 p.m. ET

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 information on requesting and submitting an application.

4. Steps Required to Submit an Application, Unique Entity Identifier, and System forAward Management (SAM)
To apply for an award under this program, all applicants must:
a. Apply for, update, or verify their Data Universal Numbering System (DUNS) Numberfrom Dun & Bradstreet (D&B) and Employer ID Number (EIN)
b. In the application, provide a valid Data Universal Numbering System DUNS number, which is currently the unique entity identifier;
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;
a. Establish an Authorized Organizational Representative (AOR) in Grants.gov; b. Submit an initial application in Grants.gov;
g. Submit the final application in the Non-Disaster Grants (ND Grants) system and h. 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.

Applicants are advised that DHS may not make a federal award until the applicant has complied with all applicable DUNS and 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 DHS 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, DHS may determine that the applicant is not

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qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant. See the Preparedness Grants Manual for additional information on the steps required to submit an application.

5. Electronic Delivery
DHS/FEMA 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/FEMA requires applicants to submit their initial applications online through Grants.gov and to submitfinal applications through ND Grants.

6. How to Register to Apply through Grants.gov
See the Preparedness Grants Manual for information on requesting and submitting an application.

7. How to Submit an Initial Application to DHS/FEMA via Grants.gov See the Preparedness Grants Manual for information on requesting and submitting an application.

8. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the Authorized Organizational Representative (AOR) role who submitted the application will also receive an acknowledgement of receipt, a tracking number (in this format: GRANTXXXXXXXX) from Grants.gov, and an Agency Tracking Number (in this format: EMX-2020-XX-XXXX) with the successful transmission of the 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. All applications must be received in ND Grants by 5:00 p.m. ET on April 30 15, 2020. 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.

9. Submitting the Final Application in Non-Disaster Grants System (ND Grants) After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/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 but no later than seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their application.

In ND Grants applicants will be prompted to submit all of the information contained in the following forms. Applicants should review these forms before applying to ensure they have all the information required:
• Standard Form 424A, Budget Information (Non-construction); • Standard Form 424B, Standard Assurances (Non-construction); and • Standard Form LLL, Disclosure of Lobbying Activities.

In addition, applicants must submit copies of the following in ND Grants:
• Investment Justification (the Investment Justification Template may be found in the Related Documents Tab of the Grants.gov posting and used as a preparation tool; responses to questions in the Template are entered into theGRT);

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• List of Urban Area Working Group (UAWG) and Senior Advisory Committee (SAC) members;
• SAC charter;
• UAWG charter; and
• Indirect Cost Agreement, if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement. If the applicant is not required to have an indirect cost rate agreement but will charge indirect costs and is required to have an indirect cost rate proposal, the applicant must provide a copy of their indirect cost rate proposal with the application. See the section below on indirect costs for more information or contact the relevant Program Analyst or Grants Management Specialist for further instructions.

Applicants must submit copies of the following in ND Grants if applying for construction projects. The forms may be accessed in the Forms tab under SF-424 Family on Grants.gov:
• Standard Form 424C, Budget Information (Construction); and • Standard Form 424D, Standard Assurances(Construction).

Applicants needing assistance registering for the ND Grants system should contact [email protected] or (800) 865-4076, Monday through Friday, 9 a.m. – 5 p.m. ET.

10. Content and Form of Application Submission
See the Preparedness Grants Manual for information on requesting and submitting an application.

HSGP Specific Application Instructions
Development of the Investment Justification (SHSP and UASI) As part of the FY 2020 HSGP application process for SHSP and UASI funds, applicants must develop formal investment justifications (IJs) that address the proposed investments. Failure to fulfill of all of the terms contained in this section will be considered by DHS/FEMA in its evaluation of the effectiveness of the IJs in accordance with the Risk Methodology and Effectiveness Review described in the Application Review Information and may result in rejection of proposed investments or reduced funding allocations.

Each IJ must demonstrate how proposed investments:
• Support terrorism preparedness;
• Support closing capability gaps or sustaining capabilities identified in the community’s THIRA/SPR process; and
• Support the overcoming of existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information, cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local governments, as well as other regional, and nonprofit partners in efforts to prevent, prepare for, protect against, and respond to acts of terrorism, to meet its target capabilities, support the national security mission of DHS and other federal agencies, and to otherwise reduce the overall risk to the high-risk urban area, the State, or the Nation.

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Each IJ must explain how the proposed investments will support the applicant’s efforts to:
• Prevent a threatened or an actual act ofterrorism;
• Prepare for all hazards and threats, while explaining the nexus to terrorism preparedness; • Protect citizens, residents, visitors, and assets against the greatest threats and hazards, relating to acts of terrorism; and/or
• Respond quickly 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.

Development of Investments and Projects (SHSP)
• Applicants must propose at least four and may include up to ten investments. • Required national priority investment justifications must include the name of the priority in the investment name for easy identification.
• Within each investment in their IJ, applicants must propose at least one project to describe the activities they plan to implement with SHSP funds. There is no limit to the number of projects that may be submitted.
• Of the proposed SHSP-funded investments, one single project, within the required intelligence and information sharing investment, 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.
• Of the proposed SHSP-funded investments, one project in each of the required Cybersecurity and Soft Targets/Crowded Places investments must be in support of enhancing election security.
• All emergency communications investments must describe how such activities align with their Statewide Communication Interoperable Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governance Body (SIGB) when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. The investment name must include the words “emergency communications” to easily identify any emergency communications investments.
• 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 the name of the project, the project description, the name of the subrecipient, if applicable, the recipient type (e.g., state or local), the project location (zip code of the primary location of the project), the primary core capability the project supports, whether the project activities are shareable and deployable, and which priority area (if any) the project is in support of. Projects should describe how the proposed investment supports closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. Failure to fulfill of all of the terms contained in this section may be considered in the evaluation of the effectiveness of the IJs in accordance with the Risk Methodology and Effectiveness Review described in the Application Review Information and may result in rejection of proposed investments or reduced funding allocations. • FEMA encourages states to use any DHS provided assessments, such as those performed

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by DHS’s Protective Security Advisors and Cybersecurity Advisors, when developing their investment justifications.

Priority Investments (SHSP)
States are encouraged to review the Strategic Framework for Countering Terrorism and Targeted Violence when developing investments.

Cybersecurity Investment Justification (5 percent)
At least one investment must be in support of the state’s cybersecurity efforts. The investment must meet or exceed the FY 2020 national priority percentage for cybersecurity, and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of SHSP funds. 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 2020 HSGP grant awards will be required to complete the 2020 Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The CIO, 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 2020 NCSR will be open from October – December 2020.
• The NCSR is an annual requirement for recipients and subrecipients of HSGP funds.

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 Information Bulletin 439.

In January 2017, the Department of Homeland Security 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 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.

Given the importance of the Nation’s election infrastructure, and the multiple and evolving threats to that infrastructure, at least one project within this investment must be in support of the state’s efforts to enhance election security. Additional resources and information regarding election security are available through the Cybersecurity and Infrastructure Security Agency.

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Soft Target Investment Justification (5 percent)
Soft targets and crowded places are increasingly appealing to terrorists and other 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 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, and similar facilities.

Given the increased risk to soft targets and crowded places, at least one investment must be in support of the state’s efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2020 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 in order to receive a full allocation of SHSP funds. Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency. States are encouraged to engaged DHS’ Protective Security Advisors’ security assessments of soft targets to ensure that recommendations from those assessments are taken into consideration when allocating grant funding.

As noted above, given the importance of the Nation’s election infrastructure, and the multiple and evolving threats to that infrastructure, at least one project within this investment must be in support of the state’s efforts to enhance election security. Additional resources and information regarding election security are available through the Cybersecurity and Infrastructure Security Agency.

Information Sharing and Cooperation Investment Justification (5 percent) Effective homeland security operations rely on timely information sharing and actionable intelligence to accurately assess and prevent threats against the United States. 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, 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 counterterrorism, cybersecurity, border security, immigration enforcement, and other areas is critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism.

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 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

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will contribute to the information sharing and collaboration purposes of the investment and a culture of national preparedness, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing. Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for information sharing and cooperation with DHS, and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of SHSP funds. Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis.

Emerging Threats Investment Justification (5 percent)
The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead.

Terrorists remain intent on acquiring weapons of mass destruction (WMD) capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market.

Due to the proliferation of such information and technologies, rogue nations and no-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of unmanned aircraft systems, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests.

Given the increased risk of emerging threats, at least one investment must be in support of the state’s efforts to address emerging threats. Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for emerging threats, and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of SHSP funds. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency.

Development of Investments and Projects (UASI)
• Applicants must propose at least four and may include up to ten investments. • Within each investment in their IJ, Urban Areas must propose at least one project to describe the activities they are planning to implement with UASI funds. There is no limit to the number of projects that may be submitted.
• Required national priority IJs must include the name of the priority in the investment name for easy identification.
• Of the proposed projects, Urban Areas are required to propose one single project, as part of the required intelligence and information sharing investment justification, in support of a designated fusion center within the Urban Area, if applicable. Recipients must coordinate with the fusion center when developing a fusion center project prior to submission. See additional information on how to develop fusion center investments below. • Of the proposed UASI-funded investments, one project in each of the required Cybersecurity and Soft Targets/Crowded Places investments, must be in support of enhancing election security.

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All emergency communications investments must describe how such activities align with their Statewide Communication Interoperable Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governance Body (SIGB) when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. The investment name must include the words “emergency communications” to easily identify any emergency communications investments.

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 the name of the project, the project description, the name of the subrecipient, if applicable, the recipient type (e.g., state or local), the project location (zip code of the primary location of the project), the primary core capability the project supports, whether the project activities are shareable and deployable, and which priority area (if any) the project is in support of. Projects should describe how the proposed investment supports closing capability gaps or sustaining capabilities identified in the THIRA/SPRprocess Priority Investments - UASI
High-risk urban areas are encouraged to review the Strategic Framework for Countering Terrorism and Targeted Violence when developing investments.

Cybersecurity Investment Justification (5 percent)
At least one investment must be in support of the urban area’s cybersecurity efforts. The investment must meet or exceed the FY 2020 national priority percentage for cybersecurity, and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of UASI and SHSP funds. 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 2020 HSGP awards will be required to complete the 2020 Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The CIO, 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 2020 NCSR will be open from October – December 2020.
• The NCSR is an annual requirement for recipients and subrecipients of HSGP funds.

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In January 2017, the Department of Homeland Security 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 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.

Soft Target Investment Justification (5 percent)
Soft targets and crowded places are increasingly appealing to terrorists and other 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 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, and similar facilities.

Given the increased risk to soft targets and crowded places, at least one investment must be in support of the urban area’s efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2020 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, in order to receive a full allocation of UASI funds. Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency.

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critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism.

Given the importance of information sharing and collaboration to effective homeland security solutions, at least one investment must be in support of the 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, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing.

Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for information sharing and cooperation with DHS, and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of UASI funds. Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis.

Due to the proliferation of such information and technologies, rogue nations and non-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of unmanned aircraft systems, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests.

Given the increased risk of emerging threats, at least one investment must be in support of the urban area’s efforts to address emerging threats. Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for emerging threats, and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of UASI funds. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency.

Development of Fusion Center Projects (SHSP and UASI)
If applicable, each applicant must identify a fusion center project that will:
• Indicate alignment to a designated Fusion Center.
• 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 orsustainment requests with fusion center activities as they relate to the Fusion Center Performance Measures found in the Preparedness Grants Manual.

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• If the project description and funding itemization do not directly support the fusion center or clearly align to the Fusion Center Performance Measures, then the project may be conditionally approved until a Fusion Center Addendum is submitted.

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 2020.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.

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: $10,000.00 2%
Organization: $200,000 48%
Equipment: $200,000 48%
Training: $10,000 2%
Exercises: $0 0%
Total: $420,000 100%
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.

Development of Concept of Operations for OPSG
As part of the FY 2020 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

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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.

OPSG Applicants will be required to clearly articulate and identify how the CONOPs will address the national priorities identified below.

Information Sharing and Cooperation
Effective border security operations rely on timely information sharing and actionable intelligence to accurately assess and prevent threats against the United States. 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, 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 counterterrorism, cybersecurity, border security, immigration enforcement, and other areas is critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism.

Given the importance of information sharing and collaboration to effective homeland security solutions, the CONOP must be in support of 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, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing. Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis.

Emerging Threats
The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead.

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Given the increased risk of emerging threats, the CONOP must be in support of the recipient’s efforts to address emerging threats. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency.

11. 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 https://www.archives.gov/Federal-register/codification/executive-order/12372.html; https://www.whitehouse.gov/wp-content/uploads/2017/11/SPOC-Feb.-2018.pdf.

12. Funding Restrictions
Federal funds made available through this award may be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other Federal 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.

13. Environmental Planning and Historic Preservation (EHP) Compliance See the Preparedness Grants Manual for information on EHP Compliance.

14. 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:
• Applicants must describe in the investment how proposed communications investments align to needs identified in their SCIP. Effective project alignment will require advance coordination with the SWIC and consultation with governing bodies such as the SIGB or Statewide Interoperability Executive Committee (SIEC), 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 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 (PPR) 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 information will be maintained by the DHS Office of Emergency Communications 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

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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 the DHS Office of Emergency Communications 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) and must submit an After Action Report/Improvement Plan (AAR/IP) to the Homeland Security Exercise and Evaluation Program’s (HSEEP) electronic message inbox at [email protected] within 90 days of exercise completion. 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.

15. Detailed Budget
Applicants must provide budget summary worksheets for all funds requested at the time of application. The budget summary worksheets must be complete, reasonable, and cost-effective in relation to the proposed project and should provide the basis of computation of all projectrelated 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 used by the direct recipient for projects carried out by the direct recipient and how much funding is being passed through to sub-recipients 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.

16. Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes the SHSP, the UASI, and OPSG). Recipients can submit an investment/project where funds come from multiple funding sources (e.g., the SHSP and UASI), however, recipients are not allowed to

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divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS/FEMA.

17. 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 Authorized Representative 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.

18. Cost Principles
Costs charged to this award must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. For more information on 2 C.F.R. Part 200, please refer to FEMA GPD Information Bulletin 400, FEMA’s Implementation of 2 C.F.R. Part 200, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (“Super Circular” or “Omni Circular”).

19. Direct Costs
a. Planning
Planning costs are allowed under this program.
b. Organization
Organization costs are allowed under this program.
c. Equipment
Equipment costs are allowed under this program.
d. Training
Training costs are allowed under this program.
e. Exercises
Exercise costs are allowed under this program.
f. 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 percent of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50 percent personnel cap, please see FEMA Information Bulletin (IB) 421, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412) – the PRICE Act.
g. 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.

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h. Travel
Domestic travel costs are allowed under this program, as provided for in this NOFO. International travel is not an allowable cost under this program unless approved in advance by DHS/FEMA.
i. 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. Applicants must use the EHP approval process. Limits on the total amount of grant funding that may be used for construction or renovation may apply. Additionally, recipients are required to submit Standard Form 424C. j. Maintenance and Sustainment
Maintenance- and sustainment-related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees, are allowable as described in FP 205-402-125-1, Maintenance Contracts and Warranty Coverage Funded by Preparedness Grants Policy (http://www.fema.gov/media-library/assets/documents/32474). k. Management and Administration (M&A) Costs
Management and administration (M&A) activities are those directly relating to themanagement and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent of HSGP funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HSGP award.

Subrecipients may also retain a maximum of up to five percent of the funding passed through by the state solely for M&A purposes associated with the HSGP award.

Recipients or subrecipients may apply or credit M&A funding toward the recipient’s requirement to allocate funding toward the four national priority areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its enhancing cybersecurity investment, the recipient may credit that funding toward its requirement to allocate at least 5 percent of its award to enhancing cybersecurity.

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 five percent of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum passthrough 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 percent 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 percent of the OPSG award. Examples applying this principle:

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SAA 1:

SHSP: $1,000,000
OPSG: $2,500,000
UASI: $2,500,000
M&A Maximum: $300,000 (5 percent 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 percent) 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.

SAA 2:

SHSP: $3,500,000
OPSG: $1,000,000
M&A Maximum: $225,000 (5 percent 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 percent) 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.

Please note, Information Bulletin (IB) 365: Management and Administration Costs in the Homeland Security and DHS/FEMA Policy 207-087-1, which can be found at https://www.fema.gov/sites/default/files/2020-08/fema_clarification-allowable-m-a-costsunder-opsg.pdf?id=7837, do not apply to awards made in FY 2020 under this NOFO.

The IB and Policy remain in effect for all previous awards.

L. Critical Emergency Supplies
Critical emergency supplies are allowed under this program.

M. Secure Identification
Secure Identification costs are allowed under this program.

N. 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 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. 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. 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.

O. 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

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Emergency Management Assistance Compact (EMAC)3 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 equipment may include:
• Law enforcement vehicles;
• Emergency medical services (EMS) equipment and vehicles; • Fire service equipment and vehicles, to include hose, pump accessories, and foam concentrate for specialized chemical, biological, radiological, nuclear, and explosives (CBRNE) response;
• Interoperability of data systems, such as computer aided dispatch (CAD) and record management systems (RMS); and
• Office equipment for staff4 engaged in homeland security program activity.

Equipment allowability is based on the Authorized Equipment List (AEL) but exceptions may be considered on a case-by-case basis if (1) the equipment identified to be purchased directly maps to a core capability contained within the Goal, and (2) the equipment’s purpose (when operational) falls under the permitted use of funds in accordance with 6 U.S.C. § 609, and any other applicable provision of the Homeland Security Act of 2002, as amended.

P. 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). Funds under HSGP 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 GPD Program Analyst. 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 nationalinitiatives 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 offull- or part-time staff or contract/consultantsto assist with planning activities Y Y N
Materials required to conduct planning activities Y Y N Travel/per diem related to planning activities Y Y Y
Overtime and backfill costs (in accordance with operational Cost Guidance) Y Y Y Issuance of WHTI-compliant Tribal identification cards Y N N Activitiesto achieve planning inclusive of people with disabilities and others with access and functional needs and limited English proficiency. Y Y N 3 Except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time.
4 This applies to all homeland security personnel and is not limited to management and administration staff, and costs are to be captured outside the cap on management and administration costs

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Allowable Program Activities SHSP UASI OPSG
Coordination with Citizen Corps Councils for public information/education and development of volunteer programs 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 continuity of operations plans Y Y N Allowable Organizational Activities
Note: Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent thatsuch 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 Tools,resources, and activitiesthatfacilitate 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 percent of the allocation) Y Y Y Overtime forinformation, investigative, and intelligence sharing activities(up to 50 percent of theallocation) Y Y Y
Hiring of new staff positions/contractors/consultants for participation in information/intelligence analysis and sharing groups orfusion center activities(up to 50 percent of theallocation). Y Y Y
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
Vehicle acquisition, lease, and rental N N Y
Other Authorized Equipment Y Y Y

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Allowable Program Activities SHSP UASI OPSG
Allowable Training Costs
Overtime and backfillfor emergency preparedness and response personnel attending DHS/FEMA-sponsored and approved training classes Y Y N
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 in conducting training exercises 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 Management & Administrative Costs
Hiring of full- or part-time staff or contractors/consultants to assist with the management of the respective grant program, application requirements, and compliance 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 PoP of the grant program Y Y N
Leasing or renting of space for newly hired personnel during the PoP of the grant Program Y Y N
Law Enforcement Terrorism Prevention Activities (LETPA) Costs Integration and interoperability of systems and data, such as CAD and RMS, to facilitate the collection, Y Y N
Maturation and enhancement of designated state and major Urban Area fusion centers Y Y N
Coordination between fusion centers and other analytical and investigative efforts Y Y N

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Allowable Program Activities SHSP UASI OPSG
Implementation and maintenance of the Nationwide SAR 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 Y Y N Building and sustaining preventive radiological and nuclear detection capabilities Y Y N E. Application Review Information

1. Application Evaluation Criteria
a. Programmatic Criteria
Allocations
Risk Methodology and Effectiveness Review
The risk methodology and effectiveness review first determine 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 and Application Evaluation Criteria for additional information on risk methodology and effectiveness review.

The second part of the risk methodology and effectiveness review determines whether the proposed project is clear, logical, and reasonable to address the priority area of interest and contribute to a culture of national preparedness. This part considers factors such as how well the project is described and how well the project addresses the objectives and strategies of the priority area.

Risk and effectiveness will be given equal consideration in determining final award amounts.

NOTE: The THIRA/SPR process is separate from the risk methodology and effectiveness review, and its results do not affect grant allocations.

Evaluation Criteria
FEMA will evaluate the FY 2020 HSGP applications for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments. FEMA’s review will include verification that each IJ or project:
• Meets the national priority required spend percentages. • Aligns with at least one core capability identified in the Goal; • Demonstrates how investmentssupport 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 EMACagreements.

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In addition to the above, 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 part considers 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. Effectiveness will be evaluated prior to award and may impact the final overall award amount. To that end, IJs should include:
• How the proposed investment addresses the national priority; • An explanation of how the proposed projects were selected and will achieve objectives and strategiesto build orsustain the core capability gapsidentified in the SPR, including expected long-term impact where applicable;
• A summary of laws, policies and practices that can be enhanced, eliminated, or otherwise changed in order to achieve the goals of the project and foster a culture of national preparedness;
• A summary of the collaboration efforts to prevent, prepare for, protectagainst, and respond to acts of terrorism as well as anticipated outcomes of the project.

For FY 2020 HSGP applications, effectiveness will be evaluated based on the following five factors:
• Investment Strategy (30%): 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 (10%): 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 (30%): Proposals will be evaluated on how this investment helps the jurisdiction close capability gaps identified in its Stakeholder Preparedness Review and addresses national priorities outlined in the FY 2020 NOFO. Further, proposals will be evaluated on their identification and estimated improvement of core capability(ies), theassociated standardized target(s) that align with their proposed investment, and the ways in which the applicant will measure and/or evaluate improvement. • Collaboration (30%): Proposals will be evaluated based on the degree to which the proposal adequately details how the recipient will use investments and other means to overcome existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information, cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local governments, as well as other regional and nonprofit partners in efforts to prevent, prepare for, protect against, and respond to acts of terrorism, to meet its target capabilities, support the national security mission of DHS and other federal agencies, and to otherwise reduce the overall risk to the high-risk urban area, the State, or the Nation. In evaluating applicants under this factor FEMA will consider the information provided by the applicant and may also consider relevant information from other sources. • Past Performance (additional consideration): Proposals will be evaluated based on the

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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.

Recipients are expected to conform, as applicable, with accepted engineering practices, established codes, standards, modeling techniques, and best practices, and participate in the development of case studies demonstrating the effective use of grant funds, as requested.

Review and Selection Process (SHSP and UASI)
To ensure the effectiveness of proposed investments and projects, all applications will undergo a Federal review as described herein. The Federal review will be conducted by DHS and FEMA. IJs will be reviewed at both the investment and project level. Results of the effectiveness analysis may result in a recipient receiving a reduced grant award.

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.

Information Sharing and Cooperation Investments will be reviewed by DHS/FEMA, DHS 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.

As part of the above, Fusion center projects will be reviewed by DHS/FEMA for compliance with HSGP NOFO requirements to prioritize the alignment of requests with results from the annual Fusion Center Assessment Program. If a fusion center investment does not meet the requirements, a Fusion Center Addendum must be completed and submitted for review and approval prior to expending funds allocated to fusion center activities.

Emerging threats investments will be reviewed by DHS/FEMA, DHS Countering Weapons of Mass Destruction Office, 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.

All other proposed investments not associated with a required investment justification will undergo a Federal review by DHS/FEMA to verify compliance with all administrative and eligibility criteria identified in the NOFO.

Review and Selection Process (OPSG)
Applications will be reviewed by the SAA and USBP for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the

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FY 2020 HSGP NOFO
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.

FY 2020 OPSG funds will be allocated competitively based on risk-based prioritization using the OPSG Risk Assessment described above. Final funding allocations are determined by the Secretary, who may consider information and input from various law enforcement offices or subject-matter experts within the Department. Factors considered include, but are not limited to, threat, vulnerability, miles of the border, and other border-specific law enforcement intelligence, as well as the feasibility of FY 2020 Operations Orders to designated localities within border states and territories.
b. Financial Integrity Criteria
Prior to making a Federal award, DHS/FEMA is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313, and 2 C.F.R. § 200.205 to review information available through any OMBdesignated repositories of government-wide eligibility qualification or financial integrity information. Application evaluation criteria may include the following risk-based considerations of the applicant:
• Financial stability;
• Quality of management systems and ability to meet management standards; • History of performance in managing Federal awards;
• Reports and findings from audits; and
• Ability to effectively implement statutory, regulatory, or other requirements. c. Supplemental Financial Integrity Review
Prior to making a Federal award where the anticipated Federal share of a Federal award will be greater than the simplified acquisition threshold, currently $250,000 (see Section 805 of the National Defense Authorization Act for Fiscal Year 2008, Pub. L. No. 115-91, OMB Memorandum M-18-18 at https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-

18.pdf; see also FEMA GPD Information Bulletin No. 434, Increases and Changes to the MicroPurchase and Simplified Acquisition Thresholds):
• DHS/FEMA is required to review and consider any information about the applicant in the designated integrity and performance system accessible through the System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS) and is also accessible through the SAMwebsite. • An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a Federal awarding agency previously entered. • DHS/FEMA will consider any comments by the applicant, in addition to the 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 reviewof risk posed by applicants, as described in 2 C.F.R. § 200.205.

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FY 2020 HSGP NOFO
F. Federal Award Administration Information

1. Notice of Award
See the Preparedness Grants Manual for information on Notice of Award.

2. SHSP and UASI Pass-Through Requirements
Awards made to the SAA for HSGP carry additional pass-through requirements. Pass-through is defined as an obligation on the part of the SAA to make funds available to local units of government, combinations of local units, tribal governments, or other specific groups or organizations. Four requirements must be met to pass-through grant funds:
• The SAA must make a firm written commitment to 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 percent of the funds awarded under the SHSP and UASI to 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 PoP start date does not directly affect the start of the 45-calendar days pass-through period. For example, an SAA may receive notice of the HSGP award on August 20, 2020, while the PoP dates for that award are September 1, 2020, through August 31, 2022. In this example, the 45-day pass-through period will begin on the date the SAA accepts the HSGP award or September 4, 2020 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The PoP start date of September 1, 2020 would not affect the timing of meeting the 45-calendar day pass-through requirement.

Other SHSP and UASI Pass-Through Requirements
The signatory authority of the SAA must certify in writing to DHS/FEMA that pass-through requirements have been met. A letter of intent (or equivalent) to distribute funds is not considered sufficient. The pass-through requirement does not apply to SHSP awards made to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana Islands. The Commonwealth of Puerto Rico is required to comply with the pass-through requirement, and its SAA must also obligate at least 80 percent of the funds to local units of government within 45 calendar days of receipt of the funds.

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FY 2020 HSGP NOFO
Under SHSP, the SAA may retain more than 20 percent of funding for expenditures made by the state on behalf of the local unit(s) of government. This may occur only with the written consent of the local unit of government, specifying the amount of funds to be retained and the intended use of funds. States shall review their written consent agreements yearly and ensure that they are still valid. If a written consent agreement is already in place from previous fiscal years, DHS/FEMA will continue to recognize it for FY 2020, unless the written consent review indicates the local government is no longer in agreement. If modifications to the existing agreement are necessary, the SAA should contact their assigned FEMA HQ Program Analyst.

Additional OPSG Requirements
The recipient 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
See the Preparedness Grants Manual for information on Administrative and National Policy requirements.

4. Reporting
See the Preparedness Grants Manual for information on reporting requirements, including federal financial reporting requirements, programmatic performance reporting requirements, and closeout reporting requirements.

Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) Process
See the Preparedness Grants Manual for information on the THIRA and SPR process.

Supplemental Information Reporting Systems
In addition to ND Grants, the following information systems are used for the submission of required reports:

Grant Reporting Tool (GRT)
Information on the GRT can be found in the Preparedness Grants Manual.

Unified Reporting Tool (URT)
See the Preparedness Grants Manual for information on the URT.

Closeout Reporting Requirements
See the Preparedness Grants Manual for information on closeout reporting requirements.

Disclosing Information per 2 C.F.R. § 180.335
See the Preparedness Grants Manual for information on disclosing information.

5. Monitoring
Per 2 C.F.R. § 200.336, DHS/FEMA through its authorized representatives, has the right, at all reasonable times, to make site visits to review project accomplishments and management control

Page 40 of 41 ends

FY 2020 HSGP NOFO
systems to review project accomplishments and to provide any required technical assistance. During site visits, DHS/FEMA will review grant recipients’ files related to the grant award. As part of any monitoring and program evaluation activities, grant recipients must permit DHS/FEMA, upon reasonable notice, to review grant-related records and to interview the organization’s staff and contractors regarding the program. Recipients must respond in a timely and accurate manner to DHS/FEMA requests for information relating to the grant program. See the Preparedness Grants Manual for additional information on monitoring.

G. DHS/FEMA Awarding Agency Contact Information

1. Contact and Resource Information
Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource developed by DHS/FEMA for grant stakeholders. CSID provides general information on all DHS/FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, state, and local levels. When necessary, recipients will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 a.m. – 5:00 p.m. ET.

GPD Grant Operations Division
GPD’s Grant Operations Division Business Office provides support regarding financial matters and budgetary, technical assistance. Additional guidance and information can be obtained by contacting the FEMA Call Center at 866-927-5646 or via e-mail to [email protected].

FEMA Regional Offices
FEMA Regional Offices may also provide fiscal support, including pre- and post-award administration and technical assistance such as conducting cash analysis, financial monitoring, and audit resolution for the grant programs included in this solicitation. GPD will provide programmatic support and technical assistance. FEMA Regional Office contact information is available here.

GPD Environmental Planning and Historic Preservation (EHP) The DHS/FEMA GPD EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to [email protected]. EHP Technical Assistance, including the EHP Screening Form, can be found online at https://www.fema.gov/grants/preparedness/preparedness-grants-ehpcompliance.

2. Systems Information
Grants.gov
For technical assistance with Grants.gov, call the customer support hotline 24 hours per day, 7 days per week (except Federal holidays) at (800) 518-4726 or e-mail at [email protected].

Non-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at

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FY 2020 HSGP NOFO
[email protected] or (800) 865-4076, Monday through Friday, 9:00 a.m. – 5:00 p.m. ET.

Payment and Reporting System (PARS)
DHS/FEMA uses the Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, recipients must complete a Standard Form 119A, Direct Deposit Form.

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 Manual for further information. Examples of information contained in the Preparedness Grants Manual include:
• Conflicts of Interest in the Administration of Federal Awards and Subawards; • Extensions;
• Monitoring;
• Procurement Integrity; and
• Other Post-Award Requirements.

In response to recent disasters, FEMA has introduced a new lifelines construct, in order to enable the continuous operation of government functions and critical business essential to human health, safety, or economic security during and after a disaster. To learn more about lifelines, please refer to the Preparedness Grants Manual, or visit https://www.fema.gov/ emergency-managers/national-preparedness/frameworks.

Additionally, recipients can access 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.

Fiscal Year 2020
Homeland Security Grant Program
California Supplement to the
Federal Notice of Funding Opportunity
December 2020

Table of Contents | 2020
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 2020 HSGP
SECTION 2—FEDERAL CHANGES AND INITIATIVES ....................................................... 5 FY 2020 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
SECTION 3—STATE CHANGES AND INITIATIVES .......................................................... 13 FY 2020 Investments
California Homeland Security Strategy Goals
State Initiative Funding
“On Behalf Of”
Regional Approach
Public Alert and Warning
SECTION 4—REQUIRED STATE APPLICATION COMPONENTS ...................................... 15 Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Application Attachments
Standard Assurances

Table of Contents | 2020
Operational Areas Only
Urban Areas Only
Fusion Centers Only
State Agencies and Tribes Only
SECTION 5—THE STATE APPLICATION PROCESS .............................................................. 20 Application Submission
Late or Incomplete Application
HSGP Contact Information
Subaward Approval
SECTION 6—POST AWARD REQUIREMENTS .................................................................... 22 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 2020 HSGP Allocations
B – FY 2020 HSGP Timeline
C – FY 2020 HSGP Application Checklist

Section 1‒ Overview | 2020
Federal Program
Announcement
Information
Bulletins
Grant
Management
Memoranda
Purpose of the
California
Supplement
Eligible
Subrecipients
Tribal Allocations
In April 2020, the U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA) issued the Fiscal Year (FY) 2020 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 2020 HSGP California Supplement to the NOFO (State Supplement) is intended to complement, rather than replace, the NOFO and the FEMA Preparedness Grants Manual. It is
recommended that Applicants thoroughly read the NOFO and the Preparedness Grants Manual before referring to the State Supplement. The State Supplement will emphasize differences between the FY 2019 and FY 2020 HSGP and highlight additional California policies and requirements applicable to FY 2020 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 federallyrecognized tribes. All Subrecipients are encouraged to coordinate with tribal governments to ensure that tribal needs are considered in their grant applications.
1 Section 1‒ Overview | 2020
Subrecipient
Allocations
FY 2020 HSGP Subrecipient allocations are included in
Attachment A.

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 nonfederal resources that occurred for reasons other than the receipt or expected receipt of federal funds. Supplanting will result in the disallowance of the activity(ies) associated with this improper use of the 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 passthrough funding to other local entities.

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 2020
HSGP
• A minimum of 5% of total awarded funds must be allocated towards each of the four national priority areas, each with their own designated Investment Justification.
2 Section 1‒ Overview | 2020
Key Changes to
the FY 2020
HSGP (cont.)
o Enhancing cybersecurity (including election security); o Enhancing the protection of soft targets/crowded places (including election security);
o Enhancing information and intelligence sharing and
cooperation with federal agencies, including DHS; and
o Addressing emerging threats (e.g., transnational criminal organizations, weapons of mass destruction [WMDs],
unmanned aerial systems [UASs], etc.).
• Governing Body Resolutions (GBR) may be valid for up to three years and can be used for multiple grant programs, provided certain criteria is met.
• Effective August 13, 2020, the John S. McCain National Defense Authorization Act for Fiscal Year 2019 prohibits FEMA Recipients and Subrecipients (including their contractors and subcontractors) from obligating or expending federal funds on certain telecommunications products and contracting with certain entities for national security reasons.
3 FY 2020 National
Priorities
Section 2‒ Federal Changes and Initiatives | 2020
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 assess 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 2020:
• Enhancing cybersecurity (including election security); • Enhancing the protection of soft targets/crowded places (including election security);
• Enhancing information and intelligence sharing and
cooperation with federal agencies, including DHS; and
• Addressing emerging threats (e.g., transnational criminal organizations, WMDs, UASs, etc.).

Subrecipients are required to allocate 5% of their subaward towards projects that fall within each of the national priority areas, totaling 20% of their subaward. Both Enhancing
Cybersecurity (IJ #3) and Enhancing the Protection of Soft Targets/Crowded Places (IJ #2) must each comprise of one election security project (no minimum allocation amount for election security projects).

National Priority projects will be reviewed for effectiveness by DHS/FEMA in the December 2020 BSIR and must be deemed
effective prior to the obligation or expenditure of funds. Project costs incurred prior to DHS/FEMA project approval will not be allowable.

Projects may require additional information for DHS/FEMA to determine effectiveness of the project. In these cases, the project will remain on hold pending submission of the requested information and DHS/FEMA approval.
4 Section 2‒ Federal Changes and Initiatives | 2020
FY 2020 National
Priorities (cont.)
Once a project is deemed effective by DHS/FEMA, any
modification to the project requires DHS/FEMA approval.

Effectiveness will be evaluated based on the following five factors:
• Investment Strategy (30%): 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 (10%): 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 (30%): Proposals will be evaluated on how this investment helps the jurisdiction close capability gaps identified in its Stakeholder Preparedness Review and
addresses national priorities outlined in the FY 2020 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.
• Collaboration (30%): Proposals will be evaluated based on the degree to which the proposal adequately details how the Recipient will use investments and other means to overcome existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information, cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local governments, as well as other regional and nonprofit partners in efforts to prevent, prepare for, protect against, and respond to acts of terrorism, to meet its target capabilities, support the national security mission of DHS and other federal agencies, and to otherwise reduce the overall risk to the high-risk urban area, the state, or the nation. In evaluating Applicants under this factor, FEMA will consider the information provided by the Applicant and may also consider relevant information from other sources.
5 FY 2020 National
Priorities (cont.)
National
Campaigns and
Programs
Section 2‒ Federal Changes and Initiatives | 2020
• Past Performance (additional consideration): Proposals will be evaluated based on Applicant’s 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.

Subrecipients who are unable to meet the 5% requirement for each national priority area may submit a waiver request. Waiver requests for each priority area will be approved on a case-bycase basis and can only be approved after the State, as a whole, has met or exceeded the 5% national priority requirement for each area.

A detailed description of allowable investments for each national priority is included in the FY 2020 HSGP NOFO (Page 4-6).

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 disabilities 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. In doing so, Subrecipients are encouraged to consider the necessities of all Californians in the activities and projects funded by the grant including individuals with access or functional needs, defined as:

Individuals with physical, developmental or intellectual disabilities, chronic conditions or injuries, or limited English proficiency; or, individuals who are older adults, children, low income, homeless, transportation disadvantaged, or pregnant.

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. 6 National
Campaigns and
Programs (cont.)
National
Cybersecurity
Review
Section 2‒ Federal Changes and Initiatives | 2020
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 which are open to the public and to use resources to instill a culture of awareness, vigilance, and preparedness. For more information, please see DHS’s Hometown Security Program.

Community Lifelines – FEMA has a lifeline construct to enable the operational continuity of government and critical business essential to human health, safety, or economic security during and after a disaster. These lifelines enable a true unity of effort between government, non-governmental organizations, and the private sector, including infrastructure owners and operators.

Additional information may be found at the Community Lifelines Implementation Toolkit website.

Strategic Framework for Countering Terrorism and Targeted Violence – Terrorist organizations remain a core priority of DHS’s counterterrorism efforts and DHS will continue to make substantial progress in the ability to detect, prevent, protect against, and mitigate the threats these groups pose. DHS developed 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.

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 December 2020.

The NCSR is a no-cost, anonymous, and annual self-assessment designed to measure gaps and capabilities of state, local, tribal, territorial, nonprofit, and private sector agencies’ cybersecurity programs.

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.
7 Section 2‒ Federal Changes and Initiatives | 2020
NIMS
Implementation
Prior to the allocation of any federal preparedness awards in FY 2020, Subrecipients must ensure and maintain the adoption and implementation of the National Incident Management
System (NIMS).

Law
Enforcement
Terrorism
Prevention
Activities
A minimum of 25 percent of FY 2020 HSGP funds must be
dedicated to Law Enforcement Terrorism Prevention Activities (LETPA). To leverage funds for LETPA, activities outlined in the National Prevention Framework and National Protection
Framework are eligible for use of LETPA-focused funds. All other terrorism prevention activities proposed for funding under LETPA must be formally pre-approved by FEMA. Refer to IB 412 for additional information.

Management
and
Administration
The Management and Administration (M&A) allowance for
Subrecipients is set at a maximum of 5% for FY 2020 HSGP.

Indirect Costs Indirect costs are allowable under the FY 2020 HSGP Grant Award. Subrecipients who claim indirect costs may do so, provided they use one of the following two methods:

1. 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.

2. Subrecipients who have never received a negotiated indirect cost rate and receive less than $35 million in direct federal funding per year may claim the 10 percent de minimis indirect cost rate based on Modified Total Direct Costs (MTDC) as described in 2 C.F.R. § 200.68 and Subpart E.

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 Financial Management Forms Workbook (FMFW) on the Indirect cost category ledger if being claimed under the award.

Indirect costs must be based on the claimed direct project costs, excluding equipment expenditures and other distorting items. Up to $25,000 of each subaward may be included as a direct project cost when calculating indirect costs based on MTDC.
8 Indirect Costs
(cont.)
Organization
Costs - Overtime
Personnel Cap
Section 2‒ Federal Changes and Initiatives | 2020
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.

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-17 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. Postevent 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 the Request for Operational Overtime Form at the time of application, if the activity will occur within one year of the final application submission. All subsequent requests must be submitted at least 60 days in advance of the activity. All operational overtime costs must be formally pre-approved in writing by DHS/FEMA.

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:
9 Section 2‒ Federal Changes and Initiatives | 2020
Personnel Cap
(cont.)
Equipment
Typing/
Identification
and Use
Equipment
Maintenance/
Sustainment
• 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 abovementioned information.

Please see IB 421b for more information on the waiver process.

Allowable HSGP equipment is listed on the FEMA Authorized Equipment List (AEL) website.

Subrecipients that allocate FY 2020 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-22 of the
Preparedness Grants Manual for additional information.

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 for examples of allowable general-purpose equipment.

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.
10 Section 2‒ Federal Changes and Initiatives | 2020
Emergency
Communications
Projects
Telecom
Equipment and
Services
Prohibitions
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.

Subrecipients are encouraged to update their Tactical
Interoperable Communications Plan (TICP) and make it available upon request. Updating a TICP is an eligible activity under the FY 2020 HSGP.

Effective August 13, 2020, the John S. McCain National Defense Authorization Act for FY 2019 (NDAA)) prohibits 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
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.
11 Small
Unmanned
Aircraft Systems
Emergency
Operations Plans
Conflict of
Interest
Section 2‒ Federal Changes and Initiatives | 2020
All requests to purchase Small Unmanned Aircraft Systems (SUAS) with FEMA grant funding must comply with IB 426 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 ten questions that must be included in the Aviation Request justification. Please reference Presidential Memorandum:

Promoting Economic Competitiveness While Safeguarding
Privacy, Civil Rights, and Civil Liberties in Domestic Use of Unmanned Aircraft Systems for additional information.

Subrecipients must update their Emergency Operations Plan at least once every two years to remain compliant with the Comprehensive Preparedness Guide 101 version 2.0.

To eliminate and reduce the impact of conflicts of interest in the subaward process, Subrecipients and pass-through entities must follow their own policies and procedures regarding the
elimination or reduction of conflicts of interest when making subawards. Subrecipients and pass-through entities are also required to follow any applicable federal, state, local, and tribal statutes or regulations governing conflicts of interest in the making of subawards.

Subrecipients must disclose to their Program Representative, in writing, any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations, which may arise during the administration of the HSGP subaward within five days of learning of the conflict of interest.
12 FY 2020
Investments
California
Homeland
Security Strategy
Goals
Section 3‒ State Changes and Initiatives | 2020
The State prioritized the following investment strategies for the FY 2020 subawards (the first four are National Priorities):

1. Enhance Information and Intelligence Sharing and Cooperation with Federal Agencies, including DHS (National Priority);

2. Enhance the Protection of Soft Targets/Crowded Places (including election security) (National Priority);

3. Enhance Cybersecurity (including election security)
(National Priority);

4. Address Emergent Threats (National Priority);

5. Enhance Medical and Public Health Preparedness;

6. Strengthen Emergency Communications Capabilities Through Planning, Governance, Technology, and Equipment;

7. Enhance Community Resilience, Including Partnerships with Volunteers and Community-Based Organizations and Programs;

8. Strengthen Information Sharing and Collaboration (non-Fusion Center);

9. Enhance Multi-Jurisdictional/Inter-Jurisdictional All-Hazards Incident Planning, Response & Recovery Capabilities; and

10.Protect Critical Infrastructure and Key Resources (includes Food and Agriculture).

The State prioritized the following California Homeland Security Strategy Goals for the FY 2020 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 All-Hazards Incident Catastrophic Planning, Response, and Recovery
Capabilities;

7. Improve Medical and Health Capabilities;

8. Enhance Incident Recovery Capabilities;

9. Strengthen Food and Agriculture Preparedness;

10.Prevent Violent Extremism Through Multi-Jurisdictional/InterJurisdictional Collaboration and Coordination; and

11.Enhance Homeland Security Exercise, Evaluation, and Training Programs.
13 Section 3‒ State Changes and Initiatives | 2020
State Initiative
Funding
For FY 2020, Cal OES shall retain 20 percent of the SHSP and approximately 17 percent 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.

Regional
Approach
Subrecipients must take a regional approach and consider the needs of local units of government and applicable volunteer organizations in the projects and activities included in their FY 2020 HSGP application.

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.
14 Financial
Management
Forms Workbook
Section 4‒ Required State Application Components | 2020 The FY 2020 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 printed in portrait format.

Authorized Body of 5 – Provide the contact information of Authorized Agents (AA), delegated via the 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 Ledger – Provides detailed information on grant-funded planning activities with a final product identified.

Organization Ledger – Provides detailed information on grantfunded organizational activities.

Equipment Ledger – 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 Ledger – 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.

Exercise Ledger – Provides detailed information on grant-funded exercises.

M&A Ledger – Provides information on grant-funded M&A
activities.

Indirect Costs Ledger – Provides information on indirect costs. 15 Section 4‒ Required State Application Components | 2020 Financial
Management
Forms Workbook
(cont.)
Subrecipient
Grants
Management
Assessment
Application
Attachments
Consultant-Contractor Ledger – 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 the appropriate signature and date.

Per 2 C.F.R. § 200.331, 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.

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.
16 Standard
Assurances
Operational
Areas Only
Section 4‒ Required State Application Components | 2020 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 2020 Standard Assurances as part of their FY 2020 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.

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)
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 2020, FY 2021, FY 2022); and
• Adheres to any necessary elements required by local
protocols, rules, etc., if applicable.
17 Operational
Areas Only
(cont.)
Urban Areas
Only
Section 4‒ Required State Application Components | 2020 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 Governing Body's resolution. A change to an AA's designee must be submitted on agency
letterhead and signed by the AA, announcing the change to their designee.

Urban Area Working Groups (UAWGs) – 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 is found in the FEMA Preparedness Grants Manual.

THIRA – 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.

SPR – 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.
18 Section 4‒ Required State Application Components | 2020 Fusion Centers
Only
State Agencies
and Tribes Only
All projects included in the fusion center investment (IJ #1) must align to, and reference, specific performance areas of the assessment that the funding is intended to support.

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 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.
19 Application
Submission
Late or
Incomplete
Application
HSGP Contact
Information
Section 5‒ State Application Process | 2020
Subrecipients must submit an electronic copy of their completed FMFW to their Program Representative for review. After the application is approved, a completed hardcopy of the FMFW, along with all other application components must be mailed, with original 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 January 31, 2021. The FY 2020 HSGP Timeline is referenced as Attachment B.

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.

All Subrecipient application materials, questions, comments, and correspondence should be directed to:

California Governor’s Office of Emergency Services
ATTN: Grants Management (Building E)
Homeland Security Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Darlene Arambula (916) 845-8427
Christopher Camacho (916) 845-8789
Laura Halverstadt (916) 845-8367
Antoinette Johnson (916) 845-8260
Jim Lane (916) 845-8428
Miguel Ramirez (916) 328-7466
Olivia Skierka (916) 845-8744
Abigayle Tirapelle (916) 845-8400
The Program Representative Regional Assignments Map is
available at the Cal OES website under “Regional Assignments”. 20 Section 5‒ State Application Process | 2020
Subaward
Approval
Subrecipients will receive a formal notification of award no later than 45 days after Cal OES receives 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.
21 Payment
Request Process
Advances and
Interest Earned
on Advances
Semi-Annual
Drawdown
Requirements
Modifications
Section 6‒ Post Award Requirements | 2020
To request an advance or cash reimbursement of FY 2020 HSGP funds, Subrecipients must first complete a payment request using the Cal OES 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 submitted a completed and approved application.

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.

All Subrecipients should be reporting expenditures and requesting funds at least semi-annually throughout the period of
performance. Semi-annual drawdowns should be occurring 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. Subrecipients not in compliance with this requirement will be required to submit all supporting documentation for subsequent cash requests.

Post-award budget, scope, and time modifications must be requested using the Cal OES HSGP FMFW v1.20 , 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.
22 Modifications
(cont.)
Training
Exercises,
Improvement
Plans, and After
Action Reporting
Section 6‒ Post Award Requirements | 2020
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.

A modification request for any project within the national priority areas must receive DHS/FEMA prior approval. These requests include, but are not limited to, a change in project scope, any change to the project budget, and re-programming of funds.

DHS/FEMA and Cal OES may request additional information to validate project effectiveness.

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 must be obtained no later than 30 days before the first day of the training or related activities. Training Feedback numbers must be included on the FMFW Training Ledger in order to be considered for reimbursement.

For more information on this or other training-related inquiries, contact the Cal OES Training Branch at (916) 845-8752.

Subrecipients should engage stakeholders to identify long-term training and exercise priorities. These priorities should address capability targets and gaps identified through the THIRA and SPR process, real-world events, previous exercises, and national areas for improvement identified in the NPR.
23 Section 6‒ Post Award Requirements | 2020
Exercises,
Improvement
Plans, and After
Action Reporting
(cont.)
Procurement
Standards and
Written
Procedures
Procurement
Thresholds
Procurement
Documentation
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 reimbursed until an AAR/IP has been submitted.

Subrecipients must conduct procurement utilizing documented local government procurement standards and procedures, or the federal procurement standards found in 2 C.F.R. Part 200, whichever is more strict. Procurement standards must also contain a written conflict of interest policy which reflect applicable federal, state, local, and tribal laws.

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.

Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement 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 per 2 C.F.R. § 200.403(g). Examples of the types of documents that would cover this information include, but are not limited to:
24 Procurement
Documentation
(cont.)
Noncompetitive
Procurement
Performance
Bond
Section 6‒ Post Award Requirements | 2020
• 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, including required contract provisions; and
Other documents required by federal regulations applicable at the time a grant is awarded to a Subrecipient.

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.

Note: Cal OES will not reimburse for any noncompetitive procurement contracts for any 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.

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 performance period.

Cal OES requires Subrecipients obtain a performance bond for any equipment item over $250,000 or any vehicle, aircraft, or watercraft financed with HSGP funds. Subrecipients must provide a copy of all performance bonds to their Program Representative no later than the time of reimbursement.

Performance Bond Waivers may be granted on a case-by-case basis and must be submitted to Cal OES prior to procurement. 25 Environmental
Planning and
Historic
Preservation
Construction
and Renovation
Section 6‒ Post Award Requirements | 2020
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.

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.

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.
26 Section 6‒ Post Award Requirements | 2020
Construction
and Renovation
(cont.)
Inventory
Control and
Property
Management
Equipment
Disposition
Performance
Reporting
Project construction using SHSP and UASI funds may not exceed $1,000,000 or 15 percent 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.

FY 2020 HSGP 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; • Conducting a physical inventory at least every two years; • A control system to prevent loss, damage, and theft of grant purchased equipment and supplies; and
• Adequate maintenance procedures must be developed to
keep the property in good condition.

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).

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.
27 Performance
Reporting (cont.)
Extension
Requests
Section 6‒ Post Award Requirements | 2020
Access to the BSIR may be obtained through the GRT. To create a new account, please click the link that reads, “Register for an account” and follow the instructions provided. The Subrecipient will be required to ensure up-to-date project information is entered. The Project Ledger in the FMFW may assist with the BSIR data entry process. For additional assistance with the GRT, please contact your Program Representative.

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, 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:
28 Extension
Requests (cont.)
Progress Reports
on Grant
Extensions
Monitoring
Section 6‒ Post Award Requirements | 2020

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;

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 Statement of Work.

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 activity by the end of the subaward period of performance.

All Subrecipients that receive Cal OES approval to extend their FY 2020 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.

Cal OES Grants Monitoring actively monitors Subrecipients, through day-to-day communications, programmatic site visits, and 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 that 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;
29 Monitoring
(cont.)
Failure to Submit
Required Reports
Suspension/
Termination
Section 6‒ Post Award Requirements | 2020
• Comparing actual Subrecipient activities to those approved in the grant application and subsequent 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:
o Standard Assurances, and
o 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.

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 in a row may have subsequent awards reduced by 10 percent until timely reporting is reestablished; UASIs may have a “hold” placed on any future reimbursements.

Cal OES may suspend or terminate grant funding, in whole or in part, or other measures may be imposed for any of the following reasons:
• Failure to submit required reports.
• Failure to expend funds in a timely manner consistent with the grant milestones, guidance, and assurances.
• Failure to comply with the requirements or statutory progress toward the goals or objectives of federal or state law. • Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipient application.
30 Suspension/
Termination
(cont.)
Closeout
Records
Retention
Section 6‒ Post Award Requirements | 2020
• Failure to follow Grant Subaward requirements or Special Conditions.
• Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding.
• False certification in the application or document.
• Failure to adequately manage, monitor, or direct the grant funding activities of their Subrecipients.

Before taking action, Cal OES will provide the Subrecipient reasonable notice of intent to impose corrective measures and will make every effort to informally resolve the problem.

Cal OES will close-out Subrecipient awards when it determines all applicable administrative actions and all required work of the federal award have been completed.

Subawards will be closed after:
• 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.

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).
31 Section 6‒ Post Award Requirements | 2020
Records
Retention (cont.)
In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).

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. §§ 200.333, 200.336. 32 Attachment A ‒ FY 2020 HSGP Allocations | 2020
State Homeland Security Program (SHSP)
Operational Area Population Base
Amount 25% LE SHSP Total Award (25% LE + SHSP)
ALAMEDA 1,669,301 75,000 446,857 1,340,569 1,787,426
ALPINE 1,162 75,000 19,048 57,144 76,192
AMADOR 38,294 75,000 28,571 85,712 114,283
BUTTE 226,466 75,000 76,829 230,488 307,317
CALAVERAS 45,117 75,000 30,321 90,961 121,282
COLUSA 22,117 75,000 24,422 73,267 97,689
CONTRA COSTA 1,155,879 75,000 315,185 945,555 1,260,740 DEL NORTE 27,401 75,000 25,777 77,332 103,109
EL DORADO 191,848 75,000 67,951 203,853 271,804
FRESNO 1,018,241 75,000 279,887 839,659 1,119,546
GLENN 29,132 75,000 26,221 78,664 104,885
HUMBOLDT 135,333 75,000 53,457 160,372 213,829
IMPERIAL 190,266 75,000 67,545 202,636 270,181
INYO 18,593 75,000 23,519 70,555 94,074
KERN 916,464 75,000 253,785 761,355 1,015,140
KINGS 153,710 75,000 58,170 174,510 232,680
LAKE 65,071 75,000 35,438 106,315 141,753
LASSEN 30,150 75,000 26,482 79,446 105,928
LOS ANGELES 10,253,716 75,000 2,648,403 7,945,209 10,593,612 MADERA 159,536 75,000 59,664 178,993 238,657
MARIN 262,879 75,000 86,168 258,502 344,670
MARIPOSA 18,068 75,000 23,384 70,151 93,535
MENDOCINO 89,009 75,000 41,577 124,732 166,309
MERCED 282,928 75,000 91,309 273,928 365,237
MODOC 9,602 75,000 21,213 63,637 84,850
MONO 13,616 75,000 22,242 66,726 88,968
MONTEREY 445,414 75,000 132,980 398,940 531,920
NAPA 140,779 75,000 54,854 164,562 219,416
NEVADA 98,904 75,000 44,115 132,344 176,459
ORANGE 3,222,498 75,000 845,187 2,535,562 3,380,749
PLACER 396,691 75,000 120,485 361,454 481,939
PLUMAS 19,779 75,000 23,823 71,467 95,290
RIVERSIDE 2,440,124 75,000 644,541 1,933,621 2,578,162
SACRAMENTO 1,546,174 75,000 415,280 1,245,838 1,661,118 SAN BENITO 62,296 75,000 34,726 104,179 138,905
SAN BERNARDINO 2,192,203 75,000 580,959 1,742,878 2,323,837 SAN DIEGO 3,351,786 75,000 878,344 2,635,032 3,513,376
SAN FRANCISCO 883,869 75,000 245,426 736,277 981,703
SAN JOAQUIN 770,385 75,000 216,322 648,965 865,287
Attachment A ‒ FY 2020 HSGP Allocations | 2020
Operational Area Population Base
Amount 25% LE SHSP Total Award (25% LE + SHSP)
SAN LUIS OBISPO 280,393 75,000 90,659 271,978 362,637
SAN MATEO 774,485 75,000 217,373 652,120 869,493
SANTA BARBARA 454,593 75,000 135,334 406,003 541,337
SANTA CLARA 1,954,286 75,000 519,943 1,559,830 2,079,773 SANTA CRUZ 274,871 75,000 89,243 267,729 356,972
SHASTA 178,773 75,000 64,598 193,794 258,392
SIERRA 3,213 75,000 19,574 58,722 78,296
SISKIYOU 44,584 75,000 30,184 90,552 120,736
SOLANO 441,307 75,000 131,927 395,780 527,707
SONOMA 500,675 75,000 147,153 441,457 588,610
STANISLAUS 558,972 75,000 162,103 486,309 648,412
SUTTER 97,490 75,000 43,752 131,257 175,009
TEHAMA 64,387 75,000 35,263 105,787 141,050
TRINITY 13,688 75,000 22,261 66,781 89,042
TULARE 479,112 75,000 141,622 424,867 566,489
TUOLUMNE 54,590 75,000 32,750 98,251 131,001
VENTURA 856,598 75,000 238,432 715,295 953,727
YOLO 222,581 75,000 75,833 227,498 303,331
YUBA 77,916 75,000 38,732 116,197 154,929
Total 39,927,315 4,350,000 11,327,203 33,981,597 45,308,800 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 715,000
Total 10,007,050
Attachment A ‒ FY 2020 HSGP Allocations | 2020
Urban Areas Security Initiative (UASI)
*A minimum of 25% 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 4,341,750 908,250
BAY AREA 37,500,000 31,012,500 6,487,500
LOS ANGELES/LONG BEACH AREA 68,000,000 56,236,000 11,764,000 RIVERSIDE AREA 3,500,000 2,894,500 605,500
SACRAMENTO AREA 3,500,000 2,894,500 605,500
SAN DIEGO AREA 16,900,000 13,976,300 2,923,700
Total 134,650,000 111,355,550 23,294,450
Attachment B: FY 20 20 HSGP Timeline | 2020
DHS/FEMA Announcement of 2020 HSGP February 14, 2020
Cal OES Application Due to DHS April 30, 2020
DHS Award to California September 8, 2020
Subrecipient period of performance begins September 1, 2020 2020 HSGP California Supplement release December 2020
Subrecipient Workshops November 2020
Subrecipient Awards (45 days from DHS award) October 23, 2020 Subrecipient Final Applications Due to Cal OES January 31, 2021 Subrecipient period of performance ends May 31, 2023
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, 2023

Attachment C: FY 2020 HSGP Application Checklist | 2020 Subrecipient: FIPS#:

Program Representative:

Financial Management Forms Workbook:
☐ Grant Award Face Sheet
☐ Authorized Body of 5
☐ Project Ledger
☐ Planning Ledger
☐ Organization Ledger
☐ Equipment Ledger
☐ Training Ledger
☐ Exercise Ledger
☐ Consultant/Contractor Ledger
☐ Management & Administration Ledger
☐ Indirect Cost Ledger
☐ 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)
☐ National Priority 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:

GAVIN NEWSOM

GOVERNOR
MARK S. GHILARDUCCI

DIRECTOR
3650 SCHRIEVER AVENUE, MATHER, CA 95655
www.CalOES.ca.gov
October 23, 2020
Andrew Lockman
Emergency Services Manager
Tulare County
5957 S Mooney Boulevard
Visalia, CA 93277
SUBJECT: NOTIFICATION OF SUBRECIPIENT SUBAWARD APPROVAL Fiscal Year (FY) 2020 Homeland Security Grant Program (HSGP) Subaward #2020-0095, Cal OES ID#107-00000
Subaward Period of Performance: 09/01/2020-05/31/2023
Dear Mr. Lockman:

We are pleased to announce the approval of your FY 2020 HSGP subaward in the amount of $566,489. Once the completed application is received and approved, reimbursement of eligible subaward expenditures may be requested using the California Governor’s Office of Emergency Services (Cal OES) Financial Management Forms Workbook. Failure to provide documentation in a timely manner could result in a hold on funding, pursuant to Title 2, Code of Federal Regulations (CFR), Sections 200.338(a) and 200.207(b)(1)-(2).

This subaward is subject to requirements in 2 CFR, Part 200, including the Notice of Funding Opportunity (NOFO), the Preparedness Grants Manual, the California Supplement to the NOFO, and all applicable federal, state, and local requirements. All activities funded with this subaward must be completed within the subaward period of performance.

Subrecipients must obtain additional written approval prior to incurring costs for activities such as aviation, watercraft, allowability request logs, noncompetitive procurement, and projects requiring Environmental Planning and Historic Preservation review. Additionally, all projects falling under the National Priority Investment Justifications must be reviewed and approved for effectiveness by the Andrew Lockman
October 23, 2020

Page 2 of 2 ends

Porterville City CouncilNovember 15, 2022

Porterville City Council
November 15, 2022