Agenda packet — Santa Ana City Council, August 16, 2022 (part 5 of 7)

Other Allowable Costs
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities, (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs must also be in support of equipment, training, and critical resources that have previously City Council 18 – 114 8/16/2022
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been purchased with either federal grant money or any other source of funding other than FEMA preparedness grant program dollars.

Critical Emergency Supplies
In furtherance of DHS’s mission, critical emergency supplies, such as shelf-stable food products, water, and basic medical supplies are an allowable expense under THSGP. Prior to allocating grant funds for stockpiling purposes, each Tribe must have FEMA’s approval of a five-year viable inventory management plan, an effective distribution strategy, and related sustainment costs if the planned grant expenditure is over $100,000.

The inventory management plan and distribution strategy, to include sustainment costs, will be developed and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under THSGP. FEMA will establish guidelines and requirements for the purchase of these supplies under THSGP and monitor development and status of the Tribe’s inventory management plan and distribution strategy. Linkages between specific projects undertaken with THSGP funds and strategic goals and objectives will be highlighted through regular required reporting mechanisms. If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed and monitored by FEMA.

Secure Identification
THSGP funds may be used to support the development and production of enhanced tribal documents (e.g., Enhanced Tribal Cards) designed to meet the requirements of the Western Hemisphere Travel Initiative (WHTI). More information on the WHTI may be found at http://www.dhs.gov/files/programs/gc_1200693579776.shtm and https://www.cbp.gov/travel/uscitizens/western-hemisphere-travel-initiative.

When completing the Investment Justification, refer to the National Preparedness Goal at for a list of the core capabilities that best fit the proposed activities and costs. For additional assistance in determining the core capabilities that fit the proposed WHTI project, please contact the CSID by phone at (800) 368-6498 or by e-mail at [email protected]
Fidelity Bonds
Reasonable costs of fidelity bonds (or like insurance as provided for by applicable state or tribal laws) covering the maximum amount of THSGP funds the officer, official, or employee handles at any given time for all personnel who disburse or approve disbursement of THSGP funds may be allowable if required by the terms and conditions of the award or if generally required by the tribe in its general operations. If a fidelity bond is required by a tribe in its general operations, those costs must be charged as indirect costs. See 2 C.F.R. § 200.427.

THSGP Investment Modifications – Changes in Scope or Objective Changes in scope or objective of the award—including those resulting from intended actions by the recipient or subrecipients—require FEMA’s prior written approval, in accordance with 2 C.F.R. §§ 200.308(c)(1), 200.407. THSGP is competitive, with applications recommended for funding based on threat, vulnerability, and consequence, and their mitigation of potential terrorist attacks. However, consistent with 2 C.F.R § 200.308(c)(1), Change in Scope Prior Approval, FEMA requires prior approval of any change in scope or objective of the grant-funded activity after the award is issued. See 2 C.F.R. § 200.308(b), (c). Scope or objective changes will be considered on a case-by-case basis, provided the change does not negatively impact the competitive process used to recommend THSGP awards.

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Requests to change the scope or objective of the grant-funded activity after the award is made must be submitted via ND Grants as a Scope Change Amendment. The amendment request must include the following:
• A written request on the recipient’s letterhead, outlining the scope or objective change, including the approved projects from the IJ, the funds and relative scope or objective significance allocated to those projects, the proposed changes, and any resulting reallocations as a result of the change of scope or objective;
• An explanation why the change of scope or objective is necessary; • How the proposed scope or objective changes to the project support the vulnerabilities and capability gaps identified in the approved IJ; and
• The request must also address whether the proposed changes will impact the recipient’s ability to complete the project within the award’s period of performance.

Recipients may not proceed with implementing any scope or objective changes until they receive prior written approval from FEMA through ND Grants.

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Program Appendix C:

Nonprofit Security Grant Program (NSGP)
As a reminder, while this appendix contains NSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the NSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

NSGP grant recipients and subrecipients may only use NSGP grant funds for the purpose set forth in the grant award and must use funding in a way that is consistent with the statutory authority for the award.

Grant funds may not be used for matching funds for other federal grants or cooperative agreements, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.

Pre-award costs are allowable only with the prior written approval of FEMA and if they are included in the award agreement. To request pre-award costs a written request must be included with the application, signed by the Authorized Organizational Representative (AOR) of the entity. The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval. The following information outlines general allowable and unallowable NSGP costs guidance.

NSGP Funding Guidelines
Recipients and subrecipients must comply with all applicable requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200.

In administering a NSGP grant award, recipients must comply with the following general requirements:

NSGP Priorities
See the annual NSGP NOFO.

Allowable Costs
Management and Administration (M&A)
M&A costs are for activities directly related to the management and administration of the award. M&A activities are those defined as directly relating to the management and administration of NSGP funds, such as financial management and monitoring. M&A expenses must be based on actual expenses or known contractual costs. Requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.

M&A costs are not operational costs, they are the necessary costs incurred in direct support of the grant or as a consequence of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, and responding to official informational requests from state and federal oversight authorities. M&A costs include the following categories of activities:

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• Hiring of full-time or part-time staff or contractors/consultants responsible for activities relating to the management and administration of NSGP funds. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. • Meeting-related expenses directly related to M&A of NSGP funds.

M&A costs are allowed under this program as described below:

Note: States must be able to separately account for M&A costs associated with the NSGP-Urban Area (NSGP-UA) award from those associated with the NSGP-State (NSGP-S) award. • SAA (Recipient) for NSGP-UA M&A: The NSGP-UA is a sub-component of the Urban Area Security Initiative (UASI) program, and states must ensure that 100 percent of each individual NSGP-UA award is passed through to the nonprofit organizations awarded funding by FEMA.

The state may use its UASI funding for M&A purposes associated with administering the NSGPUA award. However, the state’s overall M&A withholding for the NSGP-UA and UASI programs may not exceed the percent noted in the relevant fiscal year (FY) NOFO of the total of the state’s combined UASI and NSGP-UA awards. Additionally, since all costs must be allocable to the applicable grant program, the state must be able to trace the level of expenditures for its UASI M&A costs separately from its NSGP-UA M&A costs, with each set of M&A costs limited to the percent noted in the relevant FY NOFO.
• SAA (Recipient) for NSGP-S M&A:

The NSGP-S is a sub-component of the State Homeland Security Program (SHSP), and states must ensure that 100 percent of each individual NSGP-S award is passed through to the nonprofit organizations awarded funding by FEMA. The state may use its SHSP funding for M&A purposes associated with administering the NSGP-S award. However, the state’s overall M&A withholding for the NSGP-S and SHSP programs may not exceed the percent noted in the relevant FY NOFO of the total of the state’s combined SHSP and NSGP-S awards. Additionally, since all costs must be allocable to the applicable grant program, the state must be able to trace the level of expenditures for its SHSP M&A costs separately from its NSGP-S M&A costs, with each set of M&A costs limited to the percent noted in the relevant fiscal year (FY) NOFO. • Nonprofit (Subrecipient) for NSGP-UA and NSGP-S M&A:

Nonprofit organizations that receive a subaward under this program may use and expend up to the percent noted in the relevant fiscal year (FY) NOFO for M&A purposes associated with the subaward.

Indirect (Facilities and Administrative [F&A]) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.

Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.

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National Incident Management System (NIMS) Implementation Recipients receiving NSGP funding are strongly encouraged to implement NIMS. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System.

Incident management activities require carefully managed resources (personnel, teams, facilities, equipment, and supplies). NIMS defines a national, interoperable approach for sharing resources, coordinating, and managing incidents, and communicating information. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, mitigation, response, and recovery.

Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities. Recipients should manage resources purchased or supported with FEMA grant funding according to NIMS resource management guidance.

Additional information on resource management and NIMS resource typing definitions and job titles/position qualifications is on FEMA’s website at https://www.fema.gov/emergencymanagers/nims/components. Additional information about NIMS in general is available at https://www.fema.gov/emergency-managers/nims.

Allowable Direct Costs
Planning
Funding may be used for security or emergency planning expenses and the materials required to conduct planning activities. Planning must be related to the protection of the facility and the people within the facility and should include consideration of access and functional needs considerations as well as those with limited English proficiency. Examples of planning activities allowable under this program include:
• Development and enhancement of security plans and protocols • Development or further strengthening of security assessments • Emergency contingency plans
• Evacuation/Shelter-in-place plans
• Coordination and information sharing with fusion centers • Other project planning activities with prior approval from FEMA Equipment
Allowable costs are focused on target hardening and physical security enhancements. Funding can be used for the acquisition and installation of security equipment on real property (including buildings and improvements) owned or leased by the nonprofit organization, specifically in prevention of and/or protection against the risk of a terrorist attack. This equipment is limited to select items in the following two sections of items on the Authorized Equipment List (AEL):
• Physical Security Enhancement Equipment (Section 14)
• Inspection and Screening Systems (Section 15)
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In addition to the select items in Sections 14 and 15 listed above, the following equipment is also allowable:
• Notification and Warning Systems
• Radios and Public Address Systems
Unless otherwise stated, equipment must meet all mandatory statutory, regulatory, and FEMA-adopted standards to be eligible for purchase using these funds, including the Americans with Disabilities Act. In addition, recipients will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment.

Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high-cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including but not limited to 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1 regarding prohibitions on covered telecommunications equipment or services.

The installation of certain equipment may trigger EHP requirements. Please reference the EHP sections in the NOFO and this Manual for more information. Additionally, some equipment installation may constitute construction or renovation. Please see the Construction and Renovation section of this appendix for additional information.

Exercises
Funding may be used to conduct security-related exercises. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, and documentation.

Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. All shortcomings or gaps—including those identified for children and individuals with access and functional needs—should be identified in an improvement plan. Improvement plans should be dynamic documents with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.

The Homeland Security Exercise and Evaluation Program (HSEEP) provides a set of guiding principles for exercise programs, as well as a common approach to exercise program management, design and development, conduct, evaluation, and improvement planning. For additional information on HSEEP, refer to https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep. In accordance with HSEEP guidance, subrecipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. This link provides access to a sample After Action Report (AAR)/Improvement Plan (IP) template:
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning. Recipients are encouraged to enter their exercise data and AAR/IP in the Preparedness Toolkit.

Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are City Council 18 – 120 8/16/2022
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purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing capabilities, (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also support equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.

Construction and Renovation
NSGP funding may not be used for construction and renovation projects without prior written approval from FEMA. In some cases, the installation of equipment may constitute construction and/or renovation.

If you have any questions regarding whether an equipment installation project could be considered construction or renovation, please contact your Preparedness Officer. All recipients of NSGP funds must request and receive prior approval from FEMA before any NSGP funds are used for any construction or renovation. Additionally, recipients are required to submit a SF-424C Budget and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project. The total cost of any construction or renovation paid for using NSGP funds may not exceed the greater amount of $1,000,000.00 or 15% of the NSGP award.

All construction and renovation projects require Environmental Planning and Historic Preservation (EHP) review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance.

Additional information on EHP policy and EHP review can be found online at https://www.fema.gov/media-library/assets/documents/90195. EHP review packets should be sent to [email protected].

NSGP recipients using funds for construction projects must comply with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. § 5196(j)(9), which cross-references Davis-Bacon). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the DavisBacon Act, including Department of Labor (DOL) wage determinations, is available from the following website: https://www.dol.gov/whd/govcontracts/dbra.htm.

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Training
Nonprofit organizations may use NSGP funds for the following training-related costs:
• Employed or volunteer security staff to attend security-related training within the United States; • Employed or volunteer staff to attend security-related training within the United States with the intent of training other employees or members/congregants upon completing the training (i.e., “train-the-trainer” type courses);
• Nonprofit organization’s employees, or members/congregants to receive on-site security training.

Allowable training-related costs under the NSGP are limited to attendance fees for training and related expenses, such as materials, supplies, and/or equipment. Overtime, backfill, and travel expenses are not allowable costs.

Allowable training topics are limited to the protection of critical infrastructure key resources, including physical and cybersecurity, target hardening, and terrorism awareness/employee preparedness such as Community Emergency Response Team (CERT) training, indicators and behaviors indicative of terrorist threats, Active Shooter training, and emergency first aid training. Training conducted using NSGP funds must address a specific threat and/or vulnerability, as identified in the nonprofit organization’s IJ. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills. Proposed attendance at training courses and all associated costs using the NSGP must be included in the nonprofit organization’s Investment Justification (IJ).

Contracted Security Personnel
Contracted security personnel are allowed under this program only as described in the NOFO and Manual and comply with guidance set forth in IB 421b and IB 441. NSGP funds may not be used to purchase equipment for contracted security. The recipient must be able to sustain this capability in future years without NSGP funding, and a sustainment plan will be required as part of the closeout package for any award funding this capability.

Additionally, NSGP recipients and subrecipients 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 and applicable procedures for seeking a waiver, please see IB 421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412 – the PRICE Act).

Unallowable Costs
The following projects and costs are considered ineligible for award consideration:
• Organization costs, and operational overtime costs
• Hiring of public safety personnel
• General-use expenditures
• Overtime and backfill
• Initiatives that do not address the implementation of programs/initiatives to build prevention and protection-focused capabilities directed at identified facilities and/or the surrounding communities
• The development of risk/vulnerability assessment models • Initiatives that fund risk or vulnerability security assessments or the development of the IJ • Initiatives in which federal agencies are the beneficiary or that enhance federal property • Initiatives which study technology development
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• Proof-of-concept initiatives
• Initiatives that duplicate capabilities being provided by the Federal Government • Organizational operating expenses
• Reimbursement of pre-award security expenses
• Cameras for license plate readers/license plate reader software • Cameras for facial recognition software
• Weapons or weapons-related training
• Knox boxes
NSGP Investment Modifications – Changes in Scope or Objective Changes in scope or objective of the award—whether as a result of intended actions by the recipient or subrecipients—require FEMA’s prior written approval, in accordance with 2 C.F.R. §§ 200.308(c)(1), 200.407. NSGP is competitive, with applications recommended for funding based on threat, vulnerability, consequence, and their mitigation to a specific facility/location. However, consistent with 2 C.F.R § 200.308(c)(1), Change in Scope Notification, FEMA requires prior written approval of any change in scope/objective of the grant-funded activity after the award is issued. See 2 C.F.R. § 200.308(b), (c).

Scope/objective changes will be considered on a case-by-case basis, provided the change does not negatively impact the competitive process used to recommend NSGP awards. Requests to change the scope or objective of the grant-funded activity after the award is made must be submitted by the State Administrative Agency (SAA) via ND Grants as a Scope Change Amendment. The amendment request must include the following:
• A written request from the NSGP subrecipient on its letterhead, outlining the scope or objective change, including the approved projects from the subrecipient’s IJ, the funds and relative scope or objective significance allocated to those projects, the proposed changes, and any resulting reallocations as a result of the change of scope or objective; • An explanation why the change of scope or objective is necessary; • Validation from the SAA that any deviations from the approved IJ are addressed in the vulnerability assessment submitted by the subrecipient at the time of application; and • The subrecipient request must also address whether the proposed changes will impact its ability to complete the project within the award’s period of performance.

FEMA will generally not approve NSGP change-of-scope requests resulting from the following situations:
• Subrecipients that relocate their facilities after submitting their application who are requesting a change of scope to allow them to use NSGP funds towards projects at the new facility; or • Subrecipients that renovate their facilities after submitting their application in cases where the subsequent renovations would affect the vulnerability/risk assessment upon which the IJ is based.

NSGP project funding is based on the ability of the proposed project to mitigate the risk factors identified in the IJ. For this reason, FEMA may reject requests to significantly change the physical security enhancements that are purchased with NSGP funding where FEMA believes approval of the request would change or exceed the scope of the originally approved project. FEMA will consider all requests to deviate from the security project as originally proposed on a case-by-case basis, consistent with 2 C.F.R. § 200.308(c)(1).

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Subrecipients may not proceed with implementing any scope/objective changes until the SAA receives written approval from FEMA through ND Grants and until the SAA has made any required subaward modifications.

Pass-Through Requirements
Pass-through funding is required under this program. Awards made to the SAA for the NSGP carry additional pass-through requirements. Pass-through is defined as an obligation on the part of the state to make subawards to selected nonprofit organizations. The SAA must provide 100% of funds awarded under NSGP to successful nonprofit applicants within 45 days of receipt of the funds. A letter of intent (or equivalent) to distribute funds is not sufficient. Award subrecipients that are selected for funding under this program must be provided with funding within 45 days from the date the funds are first made available to the recipient so that they can initiate implementation of approved investments.

For the SAA to successfully meet the pass-through requirement and provide funding to the subrecipients, the SAA must meet the following four requirements:
• There must be some action by the SAA to establish a firm commitment to award the funds to the selected nonprofit organization;
• The action must be unconditional on the part of the SAA (i.e., no contingencies for availability of SAA funds);
• There must be documentary evidence of the commitment of the award of funding to the selected nonprofit organization; and
• The SAA must communicate the terms of the subaward to the selected nonprofit organization.

If a nonprofit organization is selected for an NSGP award and elects to decline the award, the SAA must notify their FEMA Preparedness Officer. The SAA may not re-obligate to another subrecipient without prior approval. “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 NSGP awards via the 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 day pass-through period will start on the date the SAA accepted the award. Should an SAA not accept the NSGP award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45-calendar days pass-through period will begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system.

It is important to note that the period of performance (POP) start date does not directly affect the start of the 45-calendar day pass-through period. For example, an SAA may receive notice of the NSGP award on August 20, 2021 while the POP dates for that award are September 1, 2021, through August 31, 2024. In this example, the 45-day pass-through period will begin on the date the SAA accepts the NSGP award or September 4, 2021 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The POP start date of September 1, 2021 would not affect the timing of meeting the 45-calendar day pass-through requirement.

DUNS/SAM Requirements for Recipients and Subrecipients
As the direct applicant and recipient of NSGP funding, the SAA is required to have a Data Universal Numbering System (DUNS) number and be registered in the System for Award Management (SAM) and must maintain the currency of the SAA's information in SAM until the SAA submits the final financial report required under the award or receives final payment, whichever is later. Nonprofit organizations that are first-tier subrecipients applying for NSGP funding through the SAA must have a DUNS number, but are not required to be registered in SAM. See 2 C.F.R. § 25.300.

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Program Appendix D:

Transit Security Grant Program (TSGP)
As a reminder, while this appendix contains TSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the TSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

TSGP grant recipients may only use TSGP grant funds for the purpose set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award.

Grant funds may not be used for matching funds for 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.

TSGP Funding Guidelines
Costs charged to a TSGP award must be consistent with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400 regarding FEMA’s implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.gov and www.performance.gov/CAP/grants/.

Pre-Award Costs
Pre-award costs are not allowable and will not be approved, with the exception of costs resulting from pre-award grant writing services provided by an independent contractor that shall not exceed $1,500.00.

See below for more information on these costs.

TSGP Priorities
See the annual TSGP NOFO.

Security Plan Requirements
The following information regarding security plan requirements is provided in 6 U.S.C. § 1134(c)(2):

Security plans should include the following, as appropriate:
• A prioritized list of all items included in the public transportation agency’s security assessment that have not yet been addressed;
• A detailed list of any additional capital and operational improvements identified by DHS or the public transportation agency and a certification of the public transportation agency’s technical capacity for operating and maintaining any security equipment that may be identified in such list; • Specific procedures to be implemented or used by the public transportation agency in response to a terrorist attack, including evacuation and passenger communication plans and appropriate evacuation and communication measures for the elderly and individuals with disabilities; City Council 18 – 125 8/16/2022
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• A coordinated response plan that establishes procedures for appropriate interaction with state and local law enforcement agencies, emergency responders, and federal officials in order to coordinate security measures and plans for response in the event of a terrorist attack or other major incident;
• A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part 1582;
• Plans for providing redundant and other appropriate backup systems necessary to ensure the continued operation of critical elements of the public transportation system in the event of a terrorist attack or other major incident;
• Plans for providing service capabilities throughout the system in the event of a terrorist attack or other major incident in the city or region which the public transportation system serves; • Methods to mitigate damage within a public transportation system in case of an attack on the system, including a plan for communication and coordination with emergency responders; and • Other actions or procedures as the Secretary of Homeland Security determines are appropriate to address the security of the public transportation system.

Allowable Direct Costs
Specific investments made in support of the funding priorities in the annual TSGP NOFO generally fall into one of the following six allowable expense categories:
• Planning
• Operational Activities
• Equipment and Capital Projects
• Training and Awareness Campaigns
• Exercises
• Management and Administration
The following provides guidance on allowable costs within each of these areas:

Planning
Planning activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Planning Priorities.

TSGP funds may be used for the following types of planning activities:
• Development and enhancement of system-wide security risk management plans, to include cyber • Development or further strengthening of continuity of operations plans, response plans, station action plans, risk assessments, and asset-specific remediation plans • Development or further strengthening of security assessments, including multi-agency and multijurisdictional partnerships and conferences to facilitate planning activities • Hiring of full or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of the grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. • Materials required to conduct planning activities
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Operational Activities
Operational Activities address the Soft Targets/Crowded Places; and Emergent Threat Priorities.

FEMA encourages applicants to develop innovative operational approaches to enhance the security of transit systems. Projects that use visible, unpredictable deterrence, to include operational packages dealing with explosive detection canine teams, mobile screening teams, and anti-terrorism teams, directly support enhancing the protection of soft targets and crowded places. Implementation of one of the three Operational Package (OPack) models discussed below complements existing security systems and provides an appropriate, practical, and cost-effective means of protecting assets.

Agencies may submit Investment Justifications (IJ) to fund transit security police forces/law enforcement providers for patrols and activities on overtime, such as directed patrols, additional canine teams, mobile screening teams, or anti-terrorism team patrols. These activities must be dedicated to the transit environment and must be anti-terrorism in nature. Agencies must identify the type of activity, length of operation (hours), number of personnel, and cost based on length of operation and personnel. Agencies should also provide a risk-based justification for the request, to include linkage to a known event, such as hosting a significant regional sporting or political event; or a period of heightened awareness, such as a national holiday. Three OPack types have been developed to support operational activities and are available for funding under the TSGP:
• Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a transit security/police force, the added value provided through the addition of an EDCT is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter-sabotage program. The TSGP will provide funds to establish dedicated security/police force canine teams. Each canine team will be composed of one dog and one handler.
• Anti-Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit security forces; rather, they augment current capabilities. Each ATT will consist of four individuals, including two overt elements (e.g., uniformed transit sector law enforcement officer, canine team, mobile explosive screeners), and two discreet observer elements. • Mobile Explosive Screening Teams (MESTs). The MEST OPack will allow recipients the flexibility to deploy combinations of certified explosive ordinance technicians with mobile explosive screening technologies, including during local National Special Security Events. This screening technology will be coupled with mobile explosive screening technologies. Each MEST should have a minimum of two members and one mobile explosive screening apparatus.

Note: Funds for canine teams may not be used to fund drug detection and apprehension technique training. Only explosives detection training for the canine teams will be funded.

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Funding Availability for OPacks
OPacks have the potential to be funded for up to a 36-month period from the award date. The monetary figures presented below are stated in terms of cost per period of performance (which indicates actual/complete funding for the 36-month period). Additionally, any OPack costs after the 36-month period of performance (including expenses related to the maintenance, personnel, equipment, etc.) are the responsibility of the applicable transit system. If these positions are not sustained, the public transportation agency may not be eligible for this personnel support in the future. The table below identifies the maximum funding available for the different OPack types.

Available Funding for OPacks
Operational Package
Maximum Funding per Year
(12 months)
Maximum Funding per Period of
Performance (36 months)
EDCT $150,000 per team $450,000 per team
ATT $500,000 per team $1,500,000 per team
MEST $600,000 per team $1,800,000 per team
OPack Requirements
TSGP OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g., canine teams) already supported by the recipient. Applicants submitting IJs for both new OPacks and sustainment funding for existing OPacks must clearly indicate which is their highest priority if funding is available for only one of the IJs. Additionally, applicants must provide the number of existing teams (EDCT, ATT, and MEST) already in place with either in-house funding or TSGP funding. The table below identifies specific OPack requirements.

OPack Requirements
Operational Package Requirements
Explosives Detection Canine Teams Please refer to the pages below for detailed information regarding EDCTs under the TSGP
Five-Year Security Capital Plan and Operational Sustainment Applicant requests for OPack funding must include the submission of a Five-Year Security Capital and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to implement capital projects and demonstrate how the agency will sustain the operational investments (including officers hired with federal funding) and capabilities after grant funding has been expended.

Requests for OPacks will not be funded if the applicant does not have a Security Capital and Operational Sustainment Plan.

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Operational Package Requirements
Anti-Terrorism Teams
Specific for the Canine Team within the ATT:
• Each canine team, composed of one dog and one handler, must be certified by an appropriate, qualified organization • Canines should receive an initial basic training course and also weekly maintenance training sessions thereafter to maintain the certification
• The basic training averages 10 weeks for the team, with weekly training and daily exercising (comparable training and certification standards, such as those promulgated by the Transportation Security Administration (TSA) Explosive
Detection Canine Program), the National Police Canine
Association (NPCA), the United States Police Canine
Association (USPCA), or the International Explosive
Detection Dog Association (IEDDA) may be used to meet
this requirement
• The individuals hired for the covert and overt elements must be properly trained law enforcement officers
• Certifications should be on file with the recipient and must be made available to FEMA upon request
Mobile Explosives Screening Team Certifications should be on file with the recipient and must be made available to FEMA upon request
Allowable Expenses for OPacks
The below table identifies allowable expenses for the various OPacks. Please see the inserted notes for clarification of certain allowable costs.

Allowable Expenses for OPacks
Operational Package
Salary and Fringe BenefitsTraining andCertificationEquipment CostsPurchase and Train a CanineCanine Costs b
1) EDCT ✓ ✓ ✓ ✓c ✓
2) ATT ✓ ✓ ✓ ✓ ✓
3) MEST ✓ ✓d
a Travel costs associated with training for personnel, handlers, and canines are allowable b Canine costs include but are not limited to veterinary, housing, and feeding costs c One type of allowable training is training specific to the detection of common explosives odors. d Equipment and other costs can include but are not limited to explosives detection; stainless steel search tables; consumables such as gloves, swabs, and alcohol; and land mobile radios Specific Guidance on EDCTs
EDCT Certification. Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. TSA-certified EDCTs will meet or exceed certification standards set by the TSA National Explosives Detection Canine Team Program (NEDCTP). Recipient EDCTs that do City Council 18 – 129 8/16/2022
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not participate in the NEDCTP will be required to certify annually under their respective agency, local and state regulations. The recipient (i.e., TSGP-grant supported) will maintain certification, utilization, and training data to show their compliance in meeting or exceeding those guidelines set forth by the Scientific Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), as of September 14, 2007, in addition to requirements set forth in the NOFO.

EDCT Submission Requirements
1) The recipient will ensure that a written security procedure plan exists for the safekeeping of all explosive training aids, including safe transportation. The recipient will document the removal, use and return of explosive training aids used during training exercises or for any other reason.

The plan and all documentation must be made available to FEMA upon request. 2) The recipient will comply with requirements for the proper storage, handling and transportation of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and Explosives’ Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulation. 3) The recipient will ensure that certified EDCTs are available to respond to situations 24 hours a day, seven days per week on an on-duty or off-duty on call basis. If TSGP-funded EDCTs are not available, other non-TSGP-funded EDCTs may be utilized for this response. The intent is to provide maximum coverage during peak operating hours and to maintain the ability to promptly respond to threats that affect public safety or mass transit operations. 4) EDCTs under this grant are single purpose and will be trained to detect “live” explosives only not “simulated” explosives. EDCTs must not have received previous training to detect any other substances.
5) Recipient EDCTs will ensure that each EDCT receives on-site proficiency training at a minimum of four hours per week per duty cycle. This training shall include, but not be limited to mass transit passenger cars, terminal/platform, luggage, freight/warehouse, and vehicles. Complete, detailed, and accurate training records must be maintained for all proficiency training conducted by each EDCT. These records must be made available to FEMA upon request. 6) The TSGP grant recipient will conduct appropriate training or other canine activities, within view of the public, to increase public awareness of EDCTs and provide a noticeable deterrent to acts which affect public safety or mass transit operations. Recipient EDCTs will also ensure that such activities include, over a period of time, a presence in operational areas of the mass transit system during peak and off-peak hours. The recipient agrees that EDCTs will be utilized in the field at least 80% of their duty time, annually.
7) Recipient EDCTs will provide safe and sanitary kennel facilities for program canines, and these costs may be allowable with prior approval by FEMA. This applies to kenneling canines at the mass transit system, handlers’ residences or commercial boarding facilities. Canines must not be left in makeshift accommodations or without proper supervision, protection and care. The recipient will ensure that canines are transported on-duty and off-duty in vehicles configured with adequate temperature control, padding and screening to ensure proper health, safety and security. 8) Recipient EDCTs will ensure that adequate routine and emergency veterinary care are provided for all canines.

Note: FEMA reserves the right to conduct an on-site operational and record review upon 48-hour notice to ensure compliance with applicable federal regulations.

Equipment and Capital Projects
Equipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Equipment/Capital Projects Priorities.

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Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other highrisk, high-consequence areas or systems that have been identified through system-wide risk assessments. • Projects related to physical security enhancements at rail and bus stations in Urban Area Security Initiative (UASI) jurisdictions including security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers, etc.). • Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable.

Equipment Acquisition
TSGP funds must comply with IB 426. TSGP funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL). These costs include:
• Personal protection equipment
• Explosive device mitigation and remediation equipment • Chemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and rescue equipment, logistical support equipment, reference materials, or incident response vehicles • Interoperable communications equipment
• Components or systems needed to address flaws in the computerized systems that control generators, switching stations, and electrical substations as well as other emerging threats to infrastructure critical to the U.S. economy
• Detection Equipment
• Power equipment
• Terrorism incident prevention equipment
• Physical security enhancement equipment
Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA-adopted standards to be eligible for purchase using TSGP funds. Equipment must comply with the Occupational Safety and Health Act requirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a supplier’s declaration of conformity with appropriate supporting data and documentation per International Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as appropriate, prior its purchase. DHS adopted standards are found at https://www.dhs.gov/dhsimplementation-statement-regarding-standard-terms-and-conditions-research-grants. In addition, recipients that are using TSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at https://www.cisa.gov/safecom.

Equipment: Requirements for Small Unmanned Aircraft Systems All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426 and also include a description of the policies and procedures in place to safeguard individuals’ City Council 18 – 131 8/16/2022
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privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.

Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission:
https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies.

The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS).

The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate.

It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’ representations of the systems’ legality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-usetechnology-detect-and-mitigate-unmanned-aircraft.

Cybersecurity Projects
TSGP funds may be used for projects that enhance the cybersecurity of:
• Access controls, sensors, security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.) • Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable) When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the “Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks.

DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based public and private entities and combines key elements of capabilities under the “Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help City Council 18 – 132 8/16/2022
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U.S.-based companies and SLTT governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain types of malicious traffic from entering a company’s networks. Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhanced-cybersecurity-services for a current list of ECS CSP points of contact.

Capital (Construction) Projects Guidance
Recipients must obtain written approval from FEMA prior to the use of any TSGP funds for construction or renovation projects. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.

All construction and renovation projects require Environmental Planning and Historic Preservation (EHP) review. Recipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements).

Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1, instances must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the period of performance. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected].

Training and Awareness Campaigns
Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Training and Awareness Campaign Priorities.

Training
TSGP funds may be used for the following training activities:
• Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns.
• Training Workshops. Grant funds may be used to plan and conduct training workshops to include costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. Recipients are strongly encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in an After-Action Report/Improvement Plan (AAR/IP) and addressed in the training cycle.

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• Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support training-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Reimbursement of these costs should conform with the policies of the state or local unit(s) of government or the awarding agency, whichever is applicable. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is unallowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant.
• Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and approved training courses and programs are allowable. Reimbursement of these costs should follow the policies of the state or local unit(s) of government or the awarding agency, whichever is applicable. In no case is dual compensation allowable.
• Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related, approved training, subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense. • Supplies. Supplies, items that are expended or consumed during the course of the planning and conduct of the training project(s) (e.g., gloves and non-sterile masks), are allowable expenses. • Funds Used to Develop, Deliver, and Evaluate Training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle.

Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instruction design. Information on FEMA-approved training can found at http://www.firstrespondertraining.gov/.

Awareness Campaigns
TSGP funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism-related crime, and for associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies and resources at https://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness campaign for local constituencies and stakeholders.

Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS “If You See Something, Say Something®” campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, tri-folds, etc.) remain consistent with DHS’s messaging and strategy for the campaign and compliant with the initiative’s trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Campaign’s Office ([email protected]), must be facilitated by the FEMA HQ Preparedness Officer.

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Exercises
Exercise activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Exercises Priorities.

TSGP funds may be used for the following exercise activities:
• Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.
• Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise-related activities. In order to be eligible for reimbursement, the costs for hiring staff must conform to the policies of the non-federal entity and federal statutes, where applicable. See, e.g., 2 C.F.R. § 200.430(a). The costs for hiring contractors or consultants must comply with the applicable federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. The costs for hiring staff, consultants, or contractors to support exercise-related activities costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant.
• Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or the awarding agency, whichever is applicable.

Dual compensation is never allowable.
• Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s), subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense. • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).
• Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities.

These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities.

Management and Administration (M&A)
Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A.

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Current fiscal year TSGP funds may be used for the following M&A costs:
• Hiring of full-time or part-time staff, including contractors and consultants, to execute the following:
o Management of the current fiscal year TSGP Award
o Design and implementation of the current fiscal year TSGP submission meeting compliance with reporting/data collection requirements, including data calls o Information collection and processing necessary to respond to FEMA data calls o Domestic-only travel expenses related to TSGP grant administration, in compliance with 2 C.F.R. Part 200
• Acquisition of authorized office equipment, including personal computers or laptops for TSGP M&A purposes
Allowable Indirect Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.

Unallowable Costs
Specific unallowable costs include:
• Grant funds must comply with IB 426 and may not be used for the purchase of the following equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Additional prohibited equipment expenditures include items unrelated to grant allowable activities, such as general-use software, general-use computers and related equipment (other than for allowable M&A activities or otherwise associated preparedness or response functions), general-use vehicles, and licensing fees.
• Personnel costs (except as detailed above).
• Activities unrelated to the completion and implementation of the TSGP. • Other items not in accordance with the AEL or not previously listed as allowable costs.

Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty City Council 18 – 136 8/16/2022
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coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.

Encouraged Use of Certain Products Produced in the United States Pursuant to Executive Order 13858 “Strengthening Buy-American Preferences for Infrastructure Projects,” FEMA encourages non-federal entities under this grant program to use, to the greatest extent practicable and consistent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, the Preparedness Grants Manual and applicable appendices, the grant program’s NOFO, and the federal procurement standards at 2 C.F.R. §§ 200.317-200.326.

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Program Appendix E:

Intercity Bus Security Grant Program (IBSGP)
As a reminder, while this appendix contains IBSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the IBSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

IBSGP grant recipients may only use IBSGP grant funds for the purpose set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for 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.

IBSGP Funding Guidelines
Costs charged to an IBSGP award must be consistent with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400 regarding FEMA’s implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.gov and www.performance.gov/CAP/grants/.

IBSGP Priorities
See the annual IBSGP NOFO.

Allowable Direct Costs
Specific investments made in support of the funding priorities discussed in the annual IBSGP NOFO generally fall into one of the following six allowable expense categories:

1. Planning

2. Operational Activities

3. Equipment and Capital Projects

4. Training and Awareness Campaigns

5. Exercises

6. Management and Administration
The following provides guidance on allowable costs within each of these areas.

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Planning
Planning activities should address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Planning Priorities.

IBSGP funds may be used for the following types of planning activities:
• Development and enhancement of system-wide security risk management plans, to include cyber • Development or further strengthening of continuity of operations plans, response plans, station action plans, risk assessments, and asset-specific remediation plans • Development or further strengthening of security assessments, including multi-agency and multijurisdictional partnerships and conferences to facilitate planning activities • Hiring of full- or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of the grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. • Materials required to conduct planning activities
• Other project planning activities with prior approval from FEMA Operational Activities
Operational Activities should address the Soft Targets/Crowded Places; and Emergent Threat Priorities.

FEMA encourages applicants to develop innovative operational approaches to enhance the security of transportation systems. Examples include:
• Establishing or improving emergency communication systems linking drivers and over-the-road buses to company operation centers, law enforcement agencies or emergency response personnel • Acquiring and installing equipment or systems that collect, store or exchange passenger and/or driver information with established government databases for security purposes • Implementing and operating established methodologies for screening passengers, their carry-on baggage, and/or their checked baggage, for weapons and/or explosives Equipment and Capital Projects
Equipment and Capital Projects should address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Equipment/Capital Projects Priorities.

Equipment – Vehicle/Driver Security Enhancements
Vehicle Security Enhancements focus on vehicle disabling and anti-theft devices, real-time bus inventory and inventory control, tracking, monitoring, and locating technologies. Driver security enhancements focus on protection for the bus driver to prevent would-be terrorists from immobilizing the driver and/or hijacking the bus. Applicants are discouraged from submitting projects that propose the use of closedcircuit television (CCTV) alone as an on-board deterrent to terrorism. Rather, any cameras should have the capability and protocols in place for incident-based real-time monitoring. CCTV Systems that are primarily archival, and do not clearly specify the ability for live monitoring in the Investment Justification (IJ) will not be funded.

Capital Projects – Facility Security Enhancements
• Projects related to physical security enhancements at bus stations, or operator-owned facilities including but not limited to lighting, security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers).

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• Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable.
• Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support security enhancement-related activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.

Note: All Capital and Vehicle/Driver security enhancement projects that include cameras, video surveillance, or alarm systems MUST either be live monitored 24/7 or have the capability for real-time incident-based monitoring. CCTV Systems that are primarily archival and do not clearly specify the ability for live monitoring in the IJ will not be funded.

Equipment Acquisition
IBSGP funds must comply with IB 426 and may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL). These costs include:
• Personal protection equipment
• Explosive device mitigation and remediation equipment • Chemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and rescue equipment, or logistical support equipment
• Interoperable emergency communications equipment
• Detection equipment
• Terrorism incident prevention equipment
• Physical security enhancement equipment
Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Unless otherwise noted, equipment must be certified as meeting required regulatory and DHS- adopted standards to be eligible for purchase using these funds. Equipment must comply with the Occupational Safety and Health Act requirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant DHS-adopted standards through a supplier’s declaration of conformity with appropriate supporting data and documentation per International Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as appropriate, prior to the request. In addition, recipients that are using IBSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. SAFECOM Guidance can be found at: https://www.cisa.gov/safecom.

Cybersecurity Projects
IBSGP funds may be used for projects that enhance the cybersecurity of:
• Access controls; sensors; security cameras; badge/ID readers; ICS/SCADA systems; process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.).

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CCTV Systems that are primarily archival, and do not clearly specify the ability for live monitoring in the IJ will not be funded.
• Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).

When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (“The Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks.

DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain types of malicious traffic from entering a company’s networks.

Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services.

Please visit http://www.cisa.gov/enhanced-cybersecurity-services for a current list of ECS CSP points of contact.

Capital (Construction) Projects Guidance
Recipients must obtain written approval from FEMA prior to the use of any IBSGP funds for construction or renovation projects. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits. Additionally, recipients are required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.

All Capital (Construction) projects require Environmental Planning and Historic Preservation (EHP) review. Recipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and EHP laws and requirements).

Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1, instances must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP City Council 18 – 141 8/16/2022
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policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/medialibrary/assets/documents/90195. EHP review materials should be sent to [email protected].

Training and Awareness Campaigns
Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Training and Awareness Campaign Priorities.

Training
IBSGP funds may be used for the following training activities:
• Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns. The IJ narrative for Training should include:
o A course syllabus, curriculum, or topic plan identifying the proposed course material and contents; and
o Provide the total cost of the training course, the number of participants, and the cost per participant breakdown.
• Training Workshops. Grant funds may be used to plan and conduct training workshops or conferences including costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. • Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support training-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. The services of contractors/consultants may also be procured in the design, development, conduct, and evaluation of CBRNE training. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant.
• Overtime and Backfill Costs. Overtime and backfill costs associated with the design, development, and conduct of training are allowable expenses. Payment of overtime expenses will be for work performed by recipient or subrecipient employees in excess of the established work week related to the planning and conduct of the training project(s). Furthermore, overtime payments and backfill costs associated with sending personnel to training are allowable. Grant funds cannot be used for personnel or direct salary costs for employees to attend training sessions.

Recipients seeking to claim overtime or backfill costs will be required to submit verification.

Straight time costs are not eligible expenses.
• Travel. Domestic travel costs (e.g., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the training project(s) or for attending courses. These costs must be in accordance with applicable state law and regulations as well as the principles at 2 C.F.R. Part 200. International travel is not an allowable cost under IBSGP.
• Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the training project(s) (e.g., copying paper, gloves, tape, and non-sterile masks). • Funds Used to Develop, Deliver, and Evaluate Training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle. • Developing New Courses. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the City Council 18 – 142 8/16/2022
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Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional design. Information on FEMA-approved training can found at the following website • Other Items. These costs include the rental of space/locations for planning and conducting training, badges, etc. Recipients are encouraged to use free public space/locations, whenever available, prior to the rental of space/locations.

Awareness Campaigns
IBSGP funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism-related crime, and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies and resources at https://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness campaign for your local constituencies and stakeholders.

Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS “If You See Something, Say Something®” campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, tri-folds, etc.) remain consistent with the Department’s messaging and strategy for the campaign and compliant with the initiative's trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Campaign’s Office ([email protected]), must be facilitated by the FEMA HQ Preparedness Officer.

Exercises
Exercise activities should address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Exercises Priorities.

IBSGP funds may be used for the following exercise activities:
• Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.
• Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise-related activities. The services of contractor/consultant staff may be procured to support exercise-related activities. The services of contractors/consultants may also be procured to support the design, development, conduct, and evaluation of terrorism exercises.

Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.
• Overtime and Backfill Costs. Overtime and backfill costs associated with the design, development, and conduct of terrorism exercises are allowable expenses. Payment of overtime expenses will be for work performed in excess of the established work week related to the planning and conduct of the exercise project(s). Further, overtime payments and backfill costs associated with sending personnel to exercises are allowable, provided that the event being attended is a DHS sponsored exercise. For positions not funded by the grant award, grant funds cannot be used for personnel or straight salary costs for employees to attend exercises, meaning City Council 18 – 143 8/16/2022
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straight time costs for non-grant funded employees to attend exercise are not allowable. Instead, for positions not funded by the grant award, only overtime and backfill costs will be allowable for those employees to attend exercises. Recipients seeking to claim overtime or backfill costs will be required to submit verification.
• Travel. Domestic travel costs (e.g., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise project(s). International travel is not allowable under this program. • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).
• Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities.

Current fiscal year IBSGP funds may be used for the following M&A costs:
• Hiring of full-time or part-time staff including contractors and consultants, to execute the following:
o Management of the current fiscal year IBSGP award
o Design and implementation of the current fiscal year IBSGP submission meeting compliance with reporting/data collection requirements, including data calls • Information collection and processing necessary to respond to FEMA data calls • Domestic travel expenses related to IBSGP grant administration Indirect Costs (Facilities and Administration [F&A])
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.

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Unallowable Costs
Specific unallowable costs include:
• Grant funds must comply with IB 426 and may not be used for the purchase of the following equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed.
• General-use facility expenditures, to include, but not limited to ordinary facility maintenance, contracts for maintenance, and specifically backup or emergency generators. • General vehicle maintenance, service contracts, or warranties. This is different from maintenance and sustainment costs that are allowable, but only for projects funded under a grant award. For projects or equipment not funded by the grant award, general maintenance, service contracts, and warranties are not allowable.
• Expenditures for items such as general-use software (word processing, spreadsheet, graphics, etc.), general-use computers and related equipment (other than for allowable M&A activities, or otherwise associated preparedness or response functions), general-use vehicles, licensing fees, recurring operating costs (e.g., cell phone services, maintenance contracts). • Organizational operating expenses.
• Personnel costs, to include, but not limited to, overtime and backfill (except as detailed above). • Activities unrelated to the completion and implementation of the IBSGP. • Other indirect costs (meaning property purchase, depreciation, or amortization expenses). • Initiatives in which federal agencies are the beneficiary or that enhance federal property. • Initiatives which study technology development.
• Proof-of-concept initiatives.
• Initiatives that duplicate capabilities being provided by the Federal Government. • Other items not in accordance with the AEL, in accordance with IB 426, or not previously listed as allowable costs.
• Pre-award costs are not allowable and will not be approved, with the exception of costs resulting from pre-award grant writing services provided by an independent contractor that shall not exceed $1,500, as detailed in “Pre-Award Costs” above and in the IBSGP NOFO.

Other Allowable Costs
Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for City Council 18 – 145 8/16/2022
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the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.

Bonds
Financial markets are not always predictable, and commercial suppliers are not always reliable; but there are options to provide resource contingencies to support an IBSGP award. • Prepayment Bond: Prepayment Bonds provide a measure of economic security for an organization that is going to advance funds to a vendor(s). The prepayment bond generally may be obtained through the vendor or bank. The prepayment bond protects funds in the event a vendor fails to perform (e.g., not finishing/delivering contracted service/equipment, or going out of business). Prepayment bonds are chargeable to an award. o Encouraged Prepayment Bond: Recipients are strongly recommended, but not required, to obtain a prepayment bond for awarded acquisition activities that exceed the Simplified Acquisition Threshold (SAT) (currently $250,000, but the applicable dollar threshold will be the SAT amount in place at the time of procurement) when recipients are contractually required to advance a down payment and when such advances contain no federal funds (only local funds).
o Required Prepayment Bond: Per 2 C.F.R. § 200.304(b), recipients are required to obtain a prepayment bond for awarded acquisition activities that exceed the SAT; a prepayment bond is required when recipients are contractually required to advance a down payment and when such advances contain only federal funds or a combination of federal and local funds.
• Fidelity Bond: Reasonable costs of fidelity bonds (or like insurance as provided for by applicable state or tribal laws) covering the maximum amount of IBSGP funds the officer, official, or employee handles at any given time for all personnel who disburse or approve disbursement of IBSGP funds may be allowable if required by the terms and conditions of the award or if generally required by the tribe in its generally operations. If a fidelity bond is required by a recipient in its general operations, those costs must be charged as indirect costs. See 2 C.F.R. § 200.427.

Encouraged Use of Certain Products Produced in the United States Pursuant to Executive Order 13858 “Strengthening Buy-American Preferences for Infrastructure Projects,” FEMA encourages non-federal entities under this grant program to use, to the greatest extent practicable and consistent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, this Manual and applicable appendices, the grant program’s NOFO, and the federal procurement standards at 2 C.F.R. §§ 200.317-200.326.

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Program Appendix F:

Intercity Passenger Rail (IPR) Program
As a reminder, while this appendix contains IPR-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the IPR. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

The IPR grant recipient may only use IPR grant funds for the purposes set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award.

IPR Funding Guidelines
Costs charged to a an IPR award must be consistent with the uniform administrative requirements and audit requirements for federal awards, located at 2 C.F.R. Part 200, Subparts A-D and F. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400 regarding FEMA’s implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.gov and www.performance.gov/CAP/grants/. Costs charged to an IPR award must also be consistent with the cost principles in the Federal Acquisition Regulation (FAR) Part 31.2 in lieu of 2 C.F.R. Part 200, Subpart E.

Any conflicts between FAR 31.2 and 2 C.F.R. Part 200, Subpart E shall be resolved in favor of the applicable provision in FAR 31.2.

IPR Priorities
See the annual IPR NOFO.

Security Plan Requirements
The following information regarding security plan requirements is provided in 6 U.S.C. § 1134(c)(2):

Security plans should include the following, as appropriate:
• A prioritized list of all items included in the public transportation agency’s security assessment that have not yet been addressed;
• A detailed list of any additional capital and operational improvements identified by DHS or the public transportation agency and a certification of the public transportation agency’s technical capacity for operating and maintaining any security equipment that may be identified in such list; • Specific procedures to be implemented or used by the public transportation agency in response to a terrorist attack, including evacuation and passenger communication plans and appropriate evacuation and communication measures for the elderly and individuals with disabilities; • A coordinated response plan that establishes procedures for appropriate interaction with state and local law enforcement agencies, emergency responders, and federal officials in order to City Council 18 – 147 8/16/2022
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coordinate security measures and plans for response in the event of a terrorist attack or other major incident;
• A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part 1580;
• Plans for providing redundant and other appropriate backup systems necessary to ensure the continued operation of critical elements of the public transportation system in the event of a terrorist attack or other major incident;
• Plans for providing service capabilities throughout the system in the event of a terrorist attack or other major incident in the city or region which the public transportation system serves; • Methods to mitigate damage within a public transportation system in case of an attack on the system, including a plan for communication and coordination with emergency responders; and • Other actions or procedures as the Secretary of Homeland Security determines are appropriate to address the security of the system.

Allowable Costs
Specific investments made in support of the funding priorities discussed in the annual IPR NOFO generally fall into one of the following six allowable expense categories:
1) Planning
2) Operational Activities
3) Equipment and Capital Projects
4) Training and Awareness Campaigns
5) Exercises
6) Management and Administration
The following provides guidance on allowable costs within each of these areas.

Planning
Planning activities that address the Soft Targets/Crowded Places; Cybersecurity; and Emergent Threats Priorities.

IPR funds may be used for the following types of planning activities:
• Development and enhancement of system-wide security risk management plans, to include cyber; • Development or further strengthening of continuity of operations plans, response plans, station action plans, risk assessments, and asset-specific remediation plans; • Development or further strengthening of security assessments, including multi-agency and multijurisdictional partnerships and conferences to facilitate planning activities; • Hiring of full or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of this grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. • Materials required to conduct planning activities; and • Other project planning activities, with prior approval from FEMA.

Operational Activities
Operational Activities that address the Soft Targets/Crowded Places; and Emergent Threat Priorities.

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FEMA encourages applicants to develop innovative operational approaches to enhance the security of transit systems. Projects that use visible, unpredictable deterrence, including operational packages dealing with explosive detection canine teams, mobile screening teams, and anti-terrorism teams, directly support enhancing the protection of soft targets and crowded places. Implementation of one of the three Operational Package (OPack) models discussed below complements existing security systems and provides an appropriate, practical, and cost-effective means of protecting assets.

Agencies may submit IJs to fund transit security police forces/law enforcement providers for patrols and activities on overtime, such as directed patrols, additional canine teams, mobile screening teams, or antiterrorism team patrols. These activities must be dedicated to the transit environment and must be antiterrorism in nature. Agencies must identify the type of activity, length of operation (hours), number of personnel, and cost based on length of operation and personnel. Agencies should also provide a risk-based justification for the request, including linkage to a known event, such as hosting a significant regional sporting or political event; or a period of heightened awareness, such as a national holiday. Three OPack types have been developed to support operational activities and are available for funding under the IPR:
• Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a transit security/police force, the added value provided through the addition of an EDCT is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter-sabotage program. The TSGP will provide funds to establish dedicated security/police force canine teams. Each canine team will be composed of one dog and one handler.
• Anti-Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit security forces; rather, they augment current capabilities. Each ATT will consist of four individuals, including two overt elements (e.g., uniformed transit sector law enforcement officer, canine team, mobile explosive screeners), and two discreet observer elements. • Mobile Explosive Screening Teams (MESTs). The MEST OPack will allow recipients the flexibility to deploy combinations of certified explosive ordinance technicians with mobile explosive screening technologies, including during local National Special Security Events. This screening technology will be coupled with mobile explosive screening technologies. Each MEST should have a minimum of two members and one mobile explosive screening apparatus.

Note: Funds for canine teams may not be used to fund drug detection and apprehension technique training. Only explosives detection training for the canine teams will be funded.

Five-Year Security Capital Plan and Operational Sustainment Applicant requests for OPack funding must include the submission of a Five-Year Security Capital and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to implement capital projects and demonstrate how the agency will sustain the operational investments (including officers hired with federal funding) and capabilities after grant funding has been expended.

Requests for OPacks will not be funded if the applicant does not have and submit a Security Capital and Operational Sustainment Plan.

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Funding Availability for OPacks
OPacks have the potential to be funded for up to a 36-month period from the award date. The monetary figures presented below are stated in terms of cost per period of performance (which indicates actual/complete funding for a 36-month period). Additionally, any OPack costs after the period of performance (including expenses related to the maintenance, personnel, equipment, etc.) are the responsibility of the applicable transit system. Additional funding may be applied for in future grant cycles to maintain this operational capability, but future funding is not guaranteed and requires approval.

If these positions are not sustained, the public transportation agency may not be eligible for this personnel support in the future. The table below identifies the maximum funding available for the different OPack types.

Available Funding for OPacks
Operational Package
Maximum Funding per Year
(12 months)
Maximum Funding per Period of
Performance (36 months)
EDCT $150,000 per team $450,000 per team
ATT $500,000 per team $1,500,000 per team
MEST $600,000 per team $1,800,000 per team
OPack Requirements
IPR OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g., canine teams) already supported by the recipient. Applicants pursuing both new OPacks and sustainment funding for existing OPacks must indicate in their IJs which funding the higher priority for their agency is.

Additionally, applicants must provide the number of existing teams (EDCT, ATT, and MEST) already in place, regardless of how they are funded. The below table identifies specific OPack requirements.

OPack Requirements
Operational
Package
Requirements
EDCT Please refer to the pages below for detailed information regarding EDCTs under the IPR
ATT
Specific for the Canine Team within the ATT:
• Each canine team, composed of one dog and one handler, must be certified by an appropriate, qualified organization
• Canines should receive an initial basic training course and also weekly maintenance training sessions thereafter to maintain the certification • The basic training averages 10 weeks for the team, with weekly training and daily exercising (comparable training and certification standards, such as those promulgated by the Transportation Security Administration (TSA) Explosive Detection Canine Program), the National Police Canine Association (NPCA), the United States Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be used to meet this requirement
• The individuals hired for the covert and overt elements must be properly trained law enforcement officers
• Certifications should be on file with the recipient and must be made available to FEMA upon request
MEST Certifications should be on file with the recipient and must be made available to FEMA upon request
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Allowable Expenses for OPacks
The table below identifies allowable expenses for the various OPacks. Please see the accompanying notes for clarification of certain allowable costs.

Allowable Expenses for OPacks
Operational Package
Salary and Fringe BenefitsTraining andCertificationEquipment CostsPurchase and Train a CanineCanine Costs 1) EDCT ✓ ✓ ✓ ✓c ✓
2) ATT ✓ ✓ ✓ ✓ ✓
3) MEST ✓ ✓d
a Travel costs associated with training for personnel, handlers, and canines are allowable b Canine costs include but are not limited to a canine’s veterinary, housing, and feeding costs c One type of allowable training is training specific to the detection of common explosives odors d Equipment and other costs can include but are not limited to explosives detection; stainless steel search tables; consumables such as gloves, swabs, and alcohol; and land mobile radios Specific Guidance on EDCT
EDCT Certification
Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. TSA-certified EDCTs will meet or exceed certification standards set by the TSA National Explosives Detection Canine Team Program (NEDCTP). Recipient EDCTs that do not participate in the NEDCTP will be required to certify annually under their respective agency, local, and state regulations.

The recipient will maintain certification, utilization, and training data to show compliance in meeting or exceeding those guidelines set forth by the Scientific Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), as of September 14, 2007, in addition to the requirements set forth in the NOFO.

EDCT Submission Requirements
1) The recipient will ensure that a written security procedure plan exists for the safekeeping of all explosive training aids, including safe transportation. The recipient will document the removal, use, and return of explosive training aids used during training exercises or for any other reason.

The plan and all documentation must be made available to FEMA upon request. 2) The recipient will comply with requirements for the proper storage, handling, and transportation of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and Explosives’ Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulation. 3) The recipient will ensure that certified EDCTs are available to respond to situations 24 hours a day, 7 days per week on an on-duty or off-duty on-call basis. If IPR-funded EDCTs are not available, other, non-IPR funded EDCTs may be utilized for this response. The intent is to provide maximum coverage during peak operating hours and to maintain the ability to promptly respond to threats that affect public safety or mass transit operations.

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4) EDCTs under this grant are single purpose and will be trained to detect “live” explosives only, not “simulated” explosives. EDCTs must not have received previous training to detect any other substances.
5) The recipient will ensure that each EDCT receives on-site proficiency training at a minimum of 4 hours per week per duty cycle. This training shall include, but not be limited to, mass transit passenger cars, terminals/platforms, luggage, freight/warehouses, and vehicles. Complete, detailed, and accurate training records must be maintained for all proficiency training conducted by each EDCT. These records must be made available to FEMA upon request. 6) The recipient will conduct appropriate training or other canine activities, within view of the public, to increase public awareness of EDCTs and provide a noticeable deterrent to acts which affect public safety or mass transit operations. The recipient will also ensure that such activities include, over a period of time, a presence in operational areas of the mass transit system during peak and off-peak hours. The recipient agrees that EDCTs will be utilized in the field at least 80% of their duty time, annually.
7) The recipient will provide safe and sanitary kennel facilities for program canines, and these costs may be allowable with prior approval by FEMA. This applies to kenneling canines at a mass transit system, handlers’ residences, or commercial boarding facilities. Canines must not be left in makeshift accommodations or without proper supervision, protection, and care. The recipient will ensure that canines are transported on-duty and off-duty in vehicles configured with adequate temperature control, padding, and screening to ensure proper health, safety, and security. 8) The recipient will ensure that adequate routine and emergency veterinary care are provided for all canines.

Note: FEMA reserves the right to conduct an on-site operational and record review upon 48-hour notice to ensure compliance with applicable federal regulations.

Equipment and Capital Projects
Equipment and Capital Projects that address the Soft Targets/Crowded Places; Cybersecurity; and Emergent Threats Priorities.

Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other highrisk, high-consequence areas or systems that have been identified through system-wide risk assessments:
• Projects related to physical security enhancements at rail and bus stations in Urban Area Security Initiative (UASI) jurisdictions, including security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers, etc.). • Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable.

Equipment Acquisition
IPR funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL). These costs include:
• Personal protection equipment
• Explosive device mitigation and remediation equipment • Chemical, biological, radiological, nuclear, and high explosive (CBRNE) operational search and rescue equipment, logistical support equipment, reference materials, or incident response vehicles • Interoperable communications equipment
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• Components or systems needed to address flaws in the computerized systems that control generators, switching stations, and electrical substations as well as other emerging threats to infrastructure critical to the U.S. economy
• Detection Equipment
• Power equipment
• Terrorism incident prevention equipment
• Physical security enhancement equipment
Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA- adopted standards to be eligible for purchase using IPR funds. Equipment must comply with the Occupational Safety and Health Act requirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a supplier’s declaration of conformity with appropriate supporting data and documentation per International Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. The recipient must have all necessary certifications and licenses for the requested equipment, as appropriate, prior its purchase. In addition, if the recipient is using IPR funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at:
https://www.cisa.gov/safecom.

Requirements for Small Unmanned Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426 and also include a description 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.

Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA was alerted you of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigationtechnologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS).

It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’ representations of the systems’ legality or functionality. Please also see the DHS press release on this City Council 18 – 153 8/16/2022
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topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-usetechnology-detect-and-mitigate-unmanned-aircraft.

Cybersecurity Projects
IPR funds may be used for projects that enhance the cybersecurity of:
• Access controls, sensors; security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.) • Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable) When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the “Framework”), developed by the National Institute of Standards and Technology (NIST). The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers ways to improve their programs, such as through better communication with their leadership and suppliers about management of cyber risks.

DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based public and private entities and combines key elements of capabilities under the “Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and SLTT governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information. DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain types of malicious traffic from entering a company’s networks. Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhancedcybersecurity-services for a current list of ECS CSP points of contact.

Capital (Construction) Projects Guidance
The recipient must obtain written approval from FEMA prior to the use of any IPR funds for construction or renovation projects. When applying for construction funds, including communications towers, the recipient must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits. Additionally, the recipient is required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.

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Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, EHP Directive and Instruction, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the length of the period of performance. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected].

If the recipient uses funds for construction projects, it must comply with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 1163(h) (cross-referencing 49 U.S.C. § 24312, which cross-references Davis-Bacon). It must ensure that its contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including the Department of Labor (DOL) wage determinations, is available at https://www.dol.gov/whd/govcontracts/dbra.htm.

Training and Awareness Campaigns
Training and Awareness Campaigns that address the Soft Targets/Crowded Places; Cybersecurity; and Emergent Threats Priorities.

Training
IPR funds may be used for the following training activities:
• Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns.
• Training Workshops. Grant funds may be used to plan and conduct training workshops, including costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. The recipient is strongly encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in an After-Action Report/Improvement Plan (AAR/IP) and addressed in the training cycle.
• Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support training-related activities. Reimbursement of these costs should conform with the policies of recipient, as well as any applicable federal and FEMA policies, rules, and regulations. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Dual compensation is unallowable, in other words, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for allowable activities within the scope of the grant. • Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and approved training courses and programs are allowable. Reimbursement of these costs should follow the policies of City Council 18 – 155 8/16/2022
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the recipient, as well as any applicable federal and FEMA policies, rules, and regulations. state.

Dual compensation is never allowable.
• Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related, approved training, subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense. • Supplies. Supplies, items that are expended or consumed during the course of the planning and conduct of the training project(s) (e.g., gloves and non-sterile masks), are allowable expenses. • Funds Used to Develop, Deliver, and Evaluate Training. Funds used to develop, deliver, and evaluate training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle.

Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional design. Information on FEMA-approved training can found at http://www.firstrespondertraining.gov/.

Awareness Campaigns
IPR funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism-related crime and for associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies, and resources at https://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness campaign for local constituencies and stakeholders.

Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS “If You See Something, Say Something®” campaign (“campaign”) using grant funds work directly with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, tri-folds, etc.) remain consistent with DHS’s messaging and strategy for the campaign and compliant with the initiative’s trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the campaign’s office ([email protected]), must be facilitated by the FEMA Preparedness Officer.

Exercises
Exercise activities that address the Soft Targets/Crowded Places; Cybersecurity; and Emergent Threats Priorities.

IPR funds may be used for the following exercise activities:
• Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcomings or gaps identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are City Council 18 – 156 8/16/2022
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dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.
• Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise-related activities. Reimbursement of these costs should conform with the policies of the recipient, as well as any applicable federal and FEMA policies, rules, and regulations. Dual compensation is not allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. The recipient must follow all applicable procurement regulations at 2 C.F.R. Part 200 when procuring contractor services.
• Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on designing, developing, and conducting exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the recipient and has the approval of the awarding agency, if applicable. Dual compensation is never allowable. • Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s), subject to the restrictions at 2 C.F.R. Part 200. International travel costs are not allowable expenses. • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).
• Other Items. These costs include the rental of space or locations for exercise planning and executing, rental of equipment, etc. The recipient is encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities.

Management and Administration (M&A)
Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. The recipient may use up to 5% of the amount of the award for its M&A costs.

Current fiscal year IPR funds may be used for the following M&A costs:
• Hiring of full-time or part-time staff, including contractors and consultants, to execute the following:
o Management of the current fiscal year IPR Award
o Design and implementation of the current fiscal year IPR submission meeting compliance with reporting/data collection requirements, including data calls • Information collection and processing necessary to respond to FEMA data calls • Domestic travel expenses related to IPR grant administration, in compliance with the Super Circular, 2 C.F.R. Part 200.
• Acquisition of authorized office equipment, including personal computers or laptops for IPR M&A purposes.

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Indirect Costs
Indirect costs are allowable under this program as described in the Federal Acquisition Regulations (FAR).

Unallowable Costs
Specific unallowable costs include:
• Grant funds must comply with IB 426 and may not be used for the purchase of the following prohibited equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Expenditures for items unrelated to grant allowable activities, such as general-use software, general-use computers and related equipment (other than for allowable M&A activities or for other associated preparedness or response functions), general-use vehicles, licensing fees, weapons systems, and ammunition are also prohibited.
• Personnel costs (except as detailed above or otherwise allowed by statute). • Activities unrelated to the completion and implementation of the IPR program. • Other items not in accordance with the AEL or not previously listed as allowable costs. • Costs related to any matching or cost share requirement for any other federal award • Costs related to lobbying or intervention in federal regulatory proceedings • Costs related to suing the Federal Government or any other government entity • Pre-award costs, unless approved in writing by FEMA and included in the grant award • Costs that are not consistent with the Cost Principles located in FAR 31.2, as applicable Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

Grant funds are intended to support the National Preparedness Goal and to fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients with the ability to meet this objective, the policy set forth originally in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs that must be (1) in direct support of existing capabilities, (2) an otherwise allowable expenditure under the applicable grant program, and (3) tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.

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Encouraged Use of Certain Products Produced in the United States Pursuant to Executive Order 13858 “Strengthening Buy-American Preferences for Infrastructure Projects,” FEMA encourages non-federal entities under this grant program to use, to the greatest extent practicable and consistent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, this Manual and applicable appendices, the grant program’s NOFO, and the federal procurement standards at 2 C.F.R. §§ 200.317-200.326.

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Program Appendix G:

Port Security Grant Program (PSGP)
As a reminder, while this appendix contains PSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the PSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

PSGP grant recipients and subrecipients may only use PSGP grant funds for the purposes set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. These grant funds may not be used for matching funds for 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.

PSGP Funding Guidelines
Costs charged to a PSGP award must be consistent with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more information on 2 C.F.R. Part 200, please visit Information Bulletin (IB) 400 regarding FEMA’s implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.gov and www.performance.gov/CAP/grants/.

PSGP Priorities
See the annual PSGP NOFO.

Limitations on Funding
As part of the PSGP application process, applicants must complete the approved Investment Justification (IJ) template provided addressing each initiative being proposed for funding. A separate IJ should be submitted for each proposed project which should represent the complete scope of work and materials required to achieve a single overall capability. For example, a project could be to procure a boat specifically designed and equipped as chemical, biological, radiological, nuclear and explosives (CBRNE) detection, prevention, response, and/or recovery platform. The IJ for this example project should include the CBRNE equipment in the same IJ as the vessel.

In accordance with 46 U.S.C. § 70107(b)(2), PSGP funding for projects for the cost of acquisition, operation, and maintenance of security equipment or facilities to be used for security monitoring and recording, security gates and fencing, marine barriers for designated security zones, security-related lighting systems, remote surveillance, concealed video systems, security vessels, and other securityrelated infrastructure or equipment that contributes to the overall security of passengers, cargo, or crewmembers cannot exceed $1 million federal share per project.

The $1 million per project limitation applies only to those projects funded under 46 U.S.C. § 70107(b)(2) and does not apply to projects funded under other provisions of Section 70107.

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Allowable Direct Costs
Specific investments made in support of the funding priorities discussed in the annual PSGP NOFO generally fall into one of the following six allowable expense categories:
• Planning
• Operational Activities
• Equipment and Capital Projects
• Training and Awareness Campaigns
• Exercises
• Management and Administration
The following provides guidance on allowable costs within each of these areas.

Planning
Planning activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Planning Priorities.

PSGP funds may be used for the following types of planning activities:
• Development or updating of port wide risk mitigation plan (PRMP), including the conduct of port security vulnerability assessments as necessary to support plan update/development • Development and enhancement of security plans and protocols within the Area Maritime Security Plan (AMSP), PRMP, and the Business Continuity and Resumption of Trade Plans (BCRTP) in support of maritime security and risk mitigation planning • Materials required to conduct planning activities noted in this section • Travel and per diem related to the professional planning activities noted in this section • Coordination and information sharing with fusion centers • Other port wide maritime security project planning activities, which emphasize the ability to adapt to changing conditions and be prepared to withstand, and recover from, disruptions due to emergencies with prior approval from FEMA
Backfill, overtime, hiring of part-time temporary personnel, and contractors or consultants to assist with planning activities. Copies of PSGP-funded plans must be made available to FEMA and the U. S. Coast Guard (USCG) upon request.

Operational Activities
Operational Activities address the Soft Targets/Crowded Places; and Emergent Threat Priorities.

Explosive Detection Canine Teams (EDCTs)
Use of canines (K-9) for explosive detection is one of the most effective solutions for the detection of vehicle-borne IEDs. When combined with the existing capability of a port or ferry security/police force, the added value provided through the addition of a canine team is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter-sabotage program.

Eligibility for funding of EDCTs is restricted to:
• U.S. Ferry Systems regulated under 33 C.F.R. Parts 101, 103, 104, and the passenger terminals these specific ferries service under 33 C.F.R. Part 105 • Maritime Transportation Security Act (MTSA) regulated facilities City Council 18 – 161 8/16/2022
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• Port authorities, port police, and local law enforcement agencies that provide direct layered security for these U. S. Ferry Systems and MTSA-regulated facilities, and are defined in an AMSP, Facility Security Plan (FSP), or Vessel Security Plan (VSP) Applicants may apply for up to $450,000 ($150,000/year for three years) per award to support this endeavor. At the end of the grant period (36 months), recipients will still be responsible for continuing the heightened level of capability provided by the EDCT. A sustainment plan must be submitted with the applicant’s IJ to address the 12-month period beyond the period of performance of the award.

Eligible EDCT Costs
Funds for these EDCTs may not be used to fund drug detection and apprehension technique training.

Only explosives detection training for EDCTs will be funded. The PSGP EDCT funds may only be used for new or expanded capabilities/programs and cannot be used to pay for existing K-9 teams, personnel, or K-9 training costs already supported by the port area. Repair and replacement of existing EDCT equipment is allowed. Eligible costs include:
• Contracted K-9 and handler providing services in accordance with PSGP guidance • Salary and fringe benefits of new full- or part-time K-9 handler positions • Training and certifications (travel costs associated with training for new or expanded full or part time agency handlers, and canines are allowable)
• K-9 and handler equipment costs
• Purchase and train a new K-9 and handler for CBRNE detection • K-9 maintenance costs including but not limited to veterinary, housing, and feeding costs Ineligible EDCT costs include, but are not limited to:
• Hiring costs, including costs associated with initial police academy training of new officers • Meals and incidentals associated with travel for initial certification • Vehicles modified to be used solely to transport canines • Repair or replacement of unallowable equipment
EDCT Certification
Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. K-9 and handler should receive an initial basic training course and weekly maintenance training sessions thereafter to maintain the certification. The basic training averages ten weeks for the canine team (K-9 and handler together) with weekly training and daily exercising. Comparable training and certification standards, such as those promulgated by the Transportation Security Administration (TSA) Explosive detection canine program, the National Police Canine Association (NPCA), the U.S.

Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be used to meet this requirement. Certifications and training records will be kept on file with the recipient and made available to FEMA upon request.

EDCT Submission Requirements
Successful applicants will be required to submit an amendment to their approved VSP or FSP per 33 C.F.R. Parts 104 and/or 105 detailing the inclusion of a K-9 explosive detection program into their security measures. The recipient will ensure that a written plan or standard operating procedures (SOPs) exist that describe EDCT deployment policy to include visible and unpredictable deterrent efforts and oncall EDCTs rapid response times as dictated by the agency’s FSP or VSP. The plan or SOPs must be made available to FEMA and USCG upon request.

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The recipient will comply with requirements for the proper storage, handling and transportation of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and Explosives’ Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulations.

Additional EDCT Resources Available for K-9 Costs
The PSGP, while providing the ability to defray some start-up costs, does not cover any recurring costs associated with EDCT programs. FEMA strongly encourages applicants to investigate their eligibility under other programs, and potential exclusions, when developing their K-9 programs.

Organization Costs
Allowable organization-related costs are limited to those activities associated with new and ongoing maritime security operations essential to the national priorities. All such activities must be focused exclusively on maritime security and coordinated with the local Captain of the Port (COTP). PSGP funding used for organizational costs will only fund immediate needs for personnel that will be directly engaged in maritime security activities. Allowable organization personnel costs include:
• Backfill, Overtime, Hiring of Full or Part-Time Personnel or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support training-related and/or maritime-security-related activities conducted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Salary and fringe benefit payments must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or awarding agency.

Dual compensation is not allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities.

Limitations may apply for grant related activities. See specific guidance provided within this Manual for additional details on allowable organization costs (i.e., Training – Personnel costs are limited to backfill and overtime).
• Hiring new, full-time personnel to:
o Operate maritime security patrol vessels (first response agencies only) o Staff a new or expanded interagency maritime security operation center o Support maritime security/counterterrorism efforts in the local Joint Terrorism Task Force (JTTF) and/or fusion center
o Support credentialing access to a MTSA facility
• Backfill and Overtime costs for existing personnel to:
o Operate patrol vessels in support of pre-planned, mission critical activities, as identified by the local COTP (not including routine patrol)
o Attend approved maritime security training courses
• Personnel or contracted costs to:
o Install, repair, and replace port security equipment acquired with FEMA preparedness grant funds. Note this does not include routine maintenance, such as oil changes and daily/weekly systems tests.
o Management and administration (M&A) of projects funded under this program • Contracted costs to:
o Provide approved training courses
o Provide warranty, maintenance, and service agreements for equipment purchased under this grant
Organization costs will only be funded to address port (or facility) security needs as outlined in the NOFO and this appendix. PSGP funding for new permanent or part-time personnel will not exceed the 36-month City Council 18 – 163 8/16/2022
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period of performance. Applicants must provide reasonable assurance that personnel costs can be sustained beyond the 36-month award period. A sustainment plan must be submitted with the applicant’s IJ to address the 12-month period beyond the period of performance of the award.

Equipment and Capital Projects
Equipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Equipment/Capital Projects Priorities.

Equipment Acquisition
PSGP funds must comply with IB 426. PSGP funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL). Requests for vehicles of any type are subject to secondary review and approval by the National Review Panel. These costs include:
• Personal Protective Equipment (PPE) for maritime security providers, such as ballistic protective body armor (not including uniforms)
• CBRNE response and remediation equipment for maritime security providers • CBRNE decontamination equipment for direct maritime security providers and MTSA-regulated industry
• CBRNE detection-equipped patrol vehicles (not including armored personnel carriers or tow trucks), provided they will be used exclusively for port/facility CBRNE detection security operations. A CBRNE detection equipped patrol vehicle must include specifically identified, permanently mounted detection equipment.
• Mobile Command Centers only when validated by the COTP as essential to address a specifically required capability outlined in the approved AMSP. • CBRNE detection equipped and patrol watercraft vessel/small boat used to directly support maritime security for a facility or within a Port Area on a routine basis (CBRNE detection equipment requested with the watercraft/small boat in the IJ must be listed and also detailed in the budget). However, a vessel is not required to be CBRNE equipped. • Marine firefighting vessels, provided they are outfitted with CBRNE detection equipment and are designed and equipped to meet NFPA 1925: Standard on Marine Fire-Fighting Vessels • Firefighting foam and Purple-K Powder (PKP) may be purchased by public fire departments that have jurisdictions in a port area and would respond to an incident at an MTSA regulated facility.

MTSA facilities may also receive funding for this purpose. Funding will be limited to a one-time purchase based on a worst-case incident at the facility or facilities • Information-sharing technology; components or equipment designed to share maritime security risk information and maritime all-hazards risk information with other agencies (equipment must be compatible with generally used equipment)
• Maritime security risk mitigation interoperable communications equipment • Terrorism incident prevention and response equipment for maritime security risk mitigation • Physical security enhancements, to include TWIC projects (e.g., card readers, fences, blast resistant glass, turnstiles, hardened doors and vehicle gates) at maritime facilities • Portable fencing, closed-circuit televisions (CCTVs), passenger vans, mini-buses, etc. to support secure passage of vessel crewmembers through a MTSA regulated facility • Equipment in support of resiliency, such as interoperable communications, intrusion prevention/detection, physical security enhancements, and software and equipment needed to support essential functions during a continuity situation City Council 18 – 164 8/16/2022
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• Generators with appropriate capability (size) to provide back-up power to systems and equipment that support Maritime Domain Awareness (not including routine operational capabilities):
o Access control equipment and systems
o Detection and security surveillance equipment
o Enhancement of Command and Control facilities
• Equipment for new personnel, such as personal protective equipment, is an allowable expense.

Weapons and equipment associated with weapons maintenance/security (e.g., firearms, ammunition, and gun lockers) are not allowable.

Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission:
https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies.

Sonar Devices
The four types of allowable sonar devices are: imaging sonar, scanning sonar, side scan sonar, and threedimensional sonar. These types of sonar devices are intended to support the detection of underwater improvised explosive devices and enhance maritime domain awareness. The eligible types of sonar, and short descriptions of their capabilities, are provided below:
1) Imaging Sonar: A high-frequency sonar that produces “video-like” imagery using a narrow field of view. The sonar system can be pole-mounted over the side of a craft or hand-carried by a diver. 2) Scanning Sonar: Consists of smaller sonar systems that can be mounted on tripods and lowered to the bottom of the waterway. Scanning sonar produces a panoramic view of the surrounding area and can cover up to 360 degrees.

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3) Side Scan Sonar: Placed inside a shell and towed behind a vessel. Side scan sonar produces strip-like images from both sides of the device.
4) Three-Dimensional Sonar: Produces 3-dimensional imagery of objects using an array receiver.

Maritime Domain Awareness
Maritime domain is defined as “all areas and things of, on, under, relating to, adjacent to, or bordering on a sea, ocean, or other navigable waterway, including all maritime-related activities, infrastructure, people, cargo, and vessels and other conveyances.” Homeland Security Presidential Directive-13 (NSPD41/HSPD-13) (Maritime Security Policy, December 21, 2004). According to the National Plan to Achieve Maritime Domain Awareness for the National Strategy for Maritime Security (Oct. 2005), “Maritime Domain Awareness (MDA) is the effective understanding of anything associated with the global maritime domain that could impact the security, safety, economy, or environment of the United States. MDA is a key component of an active, layered maritime defense in depth. It will be achieved by improving our ability to collect, fuse, analyze, display, and disseminate actionable information and intelligence to operational commanders.” Id. at ii. Applicants are encouraged to familiarize themselves with this National Strategy.

Improvised Explosive Device (IED) and CBRNE Prevention, Protection, Response, Recovery Capabilities
Port areas should continue to enhance their capabilities to prevent, detect, respond to and recover from terrorist attacks employing IEDs, CBRNE devices, and other non-conventional weapons. Please refer to DHS Small Vessel Security Strategy (Apr. 2008).

Physical Security
Physical security is security measures that are designed to deny unauthorized access to facilities, equipment, and resources and to protect personnel and property from damage or harm (such as espionage, theft, or terrorist attacks). Physical security involves the use of multiple layers of interdependent systems and techniques. Physical security has been a focus of PSGP since the program’s inception in 2002.

Primarily, physical security is intended to harden MTSA-regulated facilities against attacks. Law enforcement may contribute to physical security through patrols; however, patrol vessels generally enhance multiple core capabilities with a focus on CBRNE detection, deterrence, and response. Funding through PSGP for physical security projects should be only directed toward those projects that address identified MTSA required activities and identified in the entity FSP and/or the port area AMSP. Some examples of funded projects include TWIC-related equipment, fencing, lighting, gates, and CCTV.

Cybersecurity Projects
PSGP funds may be used for projects that enhance the cybersecurity of:
• Access controls;
• Sensors;
• Security cameras;
• Badge/ID readers;
• Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems; • Process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.); and
• Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).

When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the “Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework City Council 18 – 166 8/16/2022
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gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks.

The Cybersecurity and Infrastructure Security Agency’s (CISA) Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be found at www.cisa.gov/ccubedvp. DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based public and private entities and combines key elements of capabilities under the “Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and SLTT governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain types of malicious traffic from entering a company’s networks. Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhancedcybersecurity-services for a current list of ECS CSP points of contact. “Hub and spoke” cybersecurity projects are allowable under PSGP for cybersecurity projects that span multiple port area facilities. Hub and spoke cybersecurity projects may affect a parent organization’s multiple eligible entities in multiple port areas. Such projects may be submitted within a primary Port Area for the project implementation. For example, an applicant in the Port of Houston may submit a hub and spoke project within the Houston/Galveston port area which includes system hardening throughout the organization’s facilities in Houston, Port Lavaca and Corpus Christi. Proportionally, costs associated with entities or subcomponents that are not covered under an AMSP and are not instrumental to enhancing maritime security must not be included in the detailed budget worksheet or investment justification and thereby prorating the cost of the project only to those facilities that are covered by the AMSP. Following the example noted above, the applicant may not include costs associated with cybersecurity of their non-maritime facilities, such as a non-MTSA regulated facility located in San Antonio. Hub and spoke projects are limited only to the enhancement of maritime security as outlined in this section and may not include non-maritime systems or facilities. Please clearly identify hub and spoke projects as such within your IJ and consult your COTP to verify project applicability to enhancing maritime security.

Cybersecurity projects should address risks to the marine transportation system and/or Transportation Security Incidents (TSIs) outlined in the applicable AMSP or priorities prescribed under applicable FSP or VSP, as mandated under the MTSA or the PRMPs. At the port level, examples of cybersecurity projects include but are not limited to projects that enhance the cybersecurity of access control, sensors, security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as those that monitor flow rates, valve positions, tank levels, etc.), security/safety of the ship-to-port-tofacility-to-intermodal interface, and systems that control vital cargo machinery at the ship/shore interface (such as cranes, manifolds, loading arms, etc.), and passenger/vehicle/cargo security screening equipment.

Vulnerability assessments are generally not funded under PSGP. However, considering the evolving malicious cyber activity, the relative novelty of cybersecurity as a priority within the program, and the need to adopt best practices included in the voluntary Cybersecurity Framework, vulnerability City Council 18 – 167 8/16/2022
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assessments may be funded as contracted costs. Personnel costs (other than M&A) are not an allowable expense for conducting these assessments.

CISA offers free resources to assist with initial assessments, please see https://www.cisa.gov/cyberresource-hub for additional information. Applicants are encouraged to utilize free resources prior to requesting funds under this program.

Copies of completed cybersecurity assessments funded under PSGP that impact the maritime transportation system, lead to a “transportation security incident” (as that term is defined under 46 U.S.C. § 70101(6)), or are otherwise related to systems, personnel, and procedures addressed by the facility and vessel plan shall be made available to FEMA and/or the local COTP upon request. The results of these cybersecurity assessments may be designated as Sensitive Security Information (SSI) and may be used to inform national maritime cybersecurity assessments.

Where a vulnerability assessment has been completed either through contracts or qualified personnel to identify existing gaps and required mitigation efforts, mitigating projects may be funded that include purchase of equipment, software, and infrastructure designed to harden cybersecurity. Specific questions on conducting vulnerability assessments should be referred to the respective FEMA Preparedness Officer.

Capital (Construction) Projects Guidance
Recipients must obtain written approval from FEMA prior to the use of any PSGP funds for construction or renovation projects. Additionally, PSGP funding may not be used to construct buildings or other physical facilities that are not constructed under terms and conditions consistent with the requirements of section 611(j)(9) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. § 5196(j)(9)) (the Stafford Act),
3 which requires compliance with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.) for PSGP funded projects. Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor wage determinations, is available at http://www.dol.gov/whd/govcontracts/dbra.htm.

The following types of construction and renovation projects are allowable under PSGP, provided they address a specific vulnerability or need identified in AMSP or otherwise support the maintenance/sustainment of capabilities and equipment acquired through PSGP funding:
• Maritime Command and Control Centers
• Interagency Operations Centers (IOCs) for maritime security • Port Security Emergency Communications Centers
• Buildings to house generators that support maritime security risk mitigation • Maritime security risk mitigation facilities (e.g., dock house, ramps, and docks for existing port security assets)
• Hardened security fences/barriers at access points
• Any other building or physical facility that enhances access control to the port/MTSA facility area
3 While the Maritime Transportation Security Act of 2002, as amended at 46 U.S.C. § 70107(b)(2), requires that such activities are carried out consistent with Section 611(j)(8) of the Stafford Act, a subsequent amendment to the Stafford Act by section 3 of Pub. L. No. 109-308 in 2006 redesignated the text of Section 611(j)(8) to 611(j)(9). The crossreference in the Maritime Transportation Security Act of 2002 has not been updated.

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• PSGP funding may be used to purchase and/or upgrade a barge to support a staging area for maritime/port security patrols or maritime security risk mitigation responses. (Certain areas throughout the Nation may require a barge that can be permanently anchored or moored in certain areas to support maritime security risk mitigation activities.) To be considered eligible for funding, the construction of fusion centers, operations centers, or communications centers must offer a port wide benefit and support information sharing and operational coordination among regional interagency and other port security partners. Applicants are reminded that the period of performance is 36 months. Eligible costs for construction or renovation projects may not exceed $1 million (federal-share) per project, which may not exceed 10% of the total amount of the award, as stated in 46 U.S.C. § 70107(b)(2)(A) and (B) (Section 102 of the Maritime Transportation Security Act of 2002, Pub. L. 107-295, as amended). Grant recipients are not permitted to use PSGP funds for construction projects that are eligible for funding under other federal grant programs. PSGP funds may only be used for construction activities directly related to maritime security risk mitigation enhancements.

All construction or renovation projects require Environmental Planning and Historic Preservation (EHP) review. The recipient is also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with the relevant Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023- 01-001-01, Revision 01, EHP Directive and Instruction, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the length of the period of performance. Completed EHP review materials for construction and renovation projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at:
https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected].

Training and Awareness Campaigns
Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Training and Awareness Campaign Priorities.

Training
Port areas should assess their training and qualification requirements and coordinate training needs and qualification requirements of incident response personnel. Funding for personnel training is limited to those courses that are essential to enhance maritime security and have been listed in the FEMA approved course catalog by the FEMA National Training and Education Division (NTED) or the USCG.

Approved courses are listed in the following catalogs maintained by NTED: NTED Course Catalog, Federal Sponsored Course Catalog, and the State Sponsored Course Catalog. The catalogs may be viewed at http://www.firstrespondertraining.gov. A listing of courses that are currently approved for PSGP funding is included in the table below.

Some training activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at: https://www.fema.gov/media-library/assets/documents/90195.

Funding for training courses not listed in
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Table 3 may be permitted on a case-by-case basis depending on the specific maritime security risk mitigation training needs of the eligible PSGP applicant. In such cases, an applicant will be required to explain in the IJ why none of the approved courses referenced in Table 3 satisfy the identified training need and must submit detailed course information for review and consideration by the local COTP field review team and the Nation Review Panel.

Further, in accordance with 46 U.S.C. § 70107(c)(2)(C), no cost share is required to train law enforcement agency personnel in the enforcement of security zones under section 46 U.S.C. § 70132 or assisting the enforcement of such security zones. Training denoted with an asterisk (*) in the table below is exempt from cost share only to train law enforcement agency personnel who enforce security zones.

Additional training of law enforcement agency personnel may be exempt if specifically identified by the COTP as exempt and necessary for enforcement or the assistance of enforcement of security zones as specified by 46 U.S.C. § 70132. Requests that fail to include a cost share for training that is not exempt from cost share requirements as outlined in 46 U.S.C. § 70132 will not be considered for funded. Training for law enforcement agency personnel who do not provide enforcement of security zones are not exempt from cost share. Training rosters and certificates must be provided to FEMA upon request. Please consult your COTP prior to requesting cost share exempt training for enforcement of security zones. Refer to Section C.4 of the NOFO for more specific cost share information for that specific year’s requirements.

Seminars and workshops are not considered “Training”, however applicants wishing to host seminars or workshops with PSGP funding may be eligible for funding following the criteria set forth in the “Exercise” section of this guidance.

Table 3: Approved PSGP Training Courses
National Training and Education Division
Course Number Course Name
AWR-144 Port and Vessel Security for Public Safety and Maritime Personnel AWR-213 Critical Infrastructure Security and Resilience Awareness AWR-366-W Developing a Cyber Security Annex for Incident Response MGT-335 Event Security Planning for Public Professionals MGT-335-W Event Security Planning for Public Professionals, Web Based MGT-400 Master of Arts Degree in Homeland Security
MGT-425 Homeland Security Executive Leaders Program (ELP) MGT-452 Physical and Cybersecurity for Critical Infrastructure MGT-456 Integration of Cybersecurity Personnel into the Emergency Management Operations Center for Cyber Incidents
PER-330 The Surface Transportation Emergency Preparedness and Security for Mass Transit and Passenger Rail (STEPS-PT)
PER-331 Surface Transportation Emergency Preparedness and Security for Senior Officials or Administrators (STEPS Sr)
Federal-Sponsored
Course Number Course Name
DHS-006-PREV Seaport Security Anti-Terrorism Training Program (SSATP) DHS-011-PREV Maritime PRND Operations Course
DHS-016-PREV Protective Measures Training for Security Officers, Mid-Level Safety/Security Supervisors, and Property Managers
*DHS-011-PROT NASBLA BOAT Tactical Operators Course
*DHS-009-PROT Boat Operator's Anti-Terrorism Training
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DHS-126-RESP NASBLA BOAT Crew Member Course
*DHS-128-RESP NASBLA - Pursuit and Stop Course
State-Sponsored
Course Number Course Name
CA-006-PREV Maritime Company, Vessel, and Facility Security Officer CA-007-PREV Basic Maritime Security Awareness
CA-008-PREV Basic First Responder Operational Maritime Security (FROMS) CA-015-RESP Maritime Facility Security Officer
CA-020-RESP WMD & Terrorism Awareness for Security Professionals ME-001-PROT Maritime Security Awareness for Military, First Responder and Law Enforcement Personnel
ME-002-PROT Command Strategies and Tactics for Marine Emergencies *ME-003-PROT Tactical Boat Operations for Maritime Security and LE Personnel ME-002-RESP Emergency Medical Operations in the Maritime Domain NJ-003-PREV Government Agency Maritime Security Awareness Program (GAMSAP) NJ-015-PREV Security Awareness & Vigilance for Everyone NY-001-PREV Maritime Infrastructure Protection
NY-001-PROT Safe Boat Operators
*NY-002-PREV Tactical Escorts and Security Zones
NY-002-PROT Pattern Line Search/Recovery Course
NY-004-RESP Vehicle Borne Improvised Explosive Device Security Checkpoint Exercises
Exercise activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Exercises Priorities.

Exercises funded under the PSGP typically include Seminars, Workshops, Tabletop, Functional, Drills, and Full-Scale exercises. PSGP-funded exercises must have a maritime security focus and include applicable documentation, after action reports, and improvement plans. See below for additional information.

Maritime entity training needs and qualification requirements of incident response personnel should be regularly tested through emergency exercises and drills. Exercises must test operational protocols that would be implemented in the event of a terrorist attack in the maritime environment in accordance with the Area Maritime Security Training Exercise Program (AMSTEP) or the TSA Intermodal Security Training Exercise Program (I-STEP) guidelines. AMSTEP or I-STEP exercises will follow the latest change in requirements contained in the Navigation and Inspection Circular (NVIC) 09-02. Exercises must be designed, developed and conducted consistent with the Homeland Security Exercise and Evaluation Program (HSEEP). Funding used for exercises will only be permitted for those exercises that are in direct support of a MTSA-regulated facility or a port area’s MTSA-required exercises (see 33 C.F.R. § 105.220 for a facility and 33 C.F.R. § 103.515 for the AMSP). These exercises must be coordinated with the COTP and AMSC and be consistent with HSEEP. More information on HSEEP may be found at https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep.

Some exercise activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at https://www.fema.gov/media-library/assets/documents/90195.

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Recipients are required to submit an After-Action Report/Improvement Plan (AAR/IP) for each PSGPfunded exercise to [email protected], and the appropriate local COTP no later than 90 days after completion of the exercise conducted within the PSGP period of performance (POP). Recipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Recipients are required to use the HSEEP AAR/IP template located at https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.

PSGP funds may be used for the following exercise activities:

Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.

Hiring of Full- or Part-Time Staff or Contractors/Consultants. Full- or part-time staff may be hired to support exercise-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from his or her unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant.

Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel that are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or the awarding agency, whichever is more restrictive. Dual compensation is never allowable.

Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s). International travel costs are not permitted.

Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).

Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities.

The National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Recipients are strongly encouraged to nominate exercises into the NEP. For additional information on the NEP, please refer to http://www.fema.gov/national-exerciseprogram.

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Management and Administration (M&A)
M&A costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A. PSGP funds may be used for the following M&A costs:
• Hiring full-time or part-time staff, including contractors and consultants, to execute the following:
o Management of the awarded fiscal year’s PSGP award;
o Design and implementation of the awarded fiscal year’s PSGP submission meeting compliance with reporting/data collection requirements, including data calls; o Information collection and processing necessary to respond to FEMA data calls; o Travel expenses related to PSGP grant administration; and o Acquisition of authorized office equipment, including personal computers or laptops for PSGP M&A purposes.

Allowable Indirect Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.

Unallowable Costs
Projects that do not provide a compelling maritime security benefit or have a direct nexus toward maritime security risk mitigation are not permitted. For example, projects that are primarily for economic or safety benefit (as opposed to having a direct maritime security risk mitigation benefit) are ineligible for PSGP funding. In addition, projects that provide a broad homeland security benefit (e.g., a communication system or fusion center for an entire city, county, state, etc.) as opposed to providing primary benefit to the port are ineligible for PSGP funding since these projects should be eligible for funding through other preparedness grant programs. The following projects and costs are considered ineligible for award consideration:
• Grant funds must comply with IB 426 and may not be used for the purchase of the following equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed;
• Projects in which federal agencies are the primary beneficiary or that enhance federal property, including sub-components of a federal agency;
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• Projects that study technology development for security of national or international cargo supply chains (e.g., e-seals, smart containers, container tracking or container intrusion detection devices); • Proof-of-concept projects;
• Development of training;
• Projects that duplicate capabilities being provided by the Federal Government (e.g., vessel traffic systems);
• Business operating expenses (certain security-related operational and maintenance costs are allowable—see “Maintenance and Sustainment” and “Operational Costs” for further guidance); • Transportation Worker Identification Credential (TWIC) card fees; • Reimbursement of pre-award security expenses;
• Outfitting facilities, vessels, or other structures with equipment or items providing a benefit rather than a direct security benefit. Examples of such equipment or items include but are not limited to office furniture, CD players, DVD players, AM/FM radios, TVs, stereos, entertainment satellite systems, entertainment cable systems and other such entertainment media, unless sufficient justification is provided. This includes weapons and associated equipment (i.e., holsters, optical sights, and scopes), including but not limited to, non-lethal or less-than-lethal weaponry including firearms, ammunition, and weapons affixed to facilities, vessels, or other structures; • Expenditures for items such as general-use software, general-use computers, and related equipment (other than for allowable M&A activities, or otherwise associated) preparedness or response functions), general-use vehicles and licensing fees; • Land acquisitions and right of way purchases;
• Funding for standard operations vehicles utilized for routine duties, such as patrol cars and fire trucks;
• Fuel costs (except as permitted for training and exercises); • Exercise(s) that do not support maritime security preparedness efforts; • Patrol vehicles and firefighting apparatus, other than those CBRNE detection equipped vehicles for port area and/or facility patrol or response purposes; • Specialty vehicles such as trucks for towing boat trailers and armored personnel carriers; • Providing protection training to public police agencies or private security services to support protecting VIPs or dignitaries;
• Aircraft pilot training, including aircraft operations such as aircraft ditch training; • Post incident investigation training;
• Basic or advanced dive training (except marine unit CBRNE detection/response dive training); • Training for personnel not primarily assigned to maritime security activities or MTSA required security personnel (e.g., vessel patrol officers, facility security officers); and • Reimbursement for the maintenance and wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances, repair or cleaning of Personal Protective Equipment (PPE), etc.).

Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased City Council 18 – 174 8/16/2022
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may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.

Port-Wide Risk Management Plans
Port areas with existing PRMPs are encouraged to maintain their PRMPs and use them to identify projects that will serve to address remaining maritime security vulnerabilities. These ports are also encouraged to develop or maintain a BCRTP. For purposes of regional strategic and tactical planning, these plans must take into consideration all port areas covered by their AMSP, align with the port area’s AMSP, consider the entire port system strategically as a whole, and identify actions designed to effectively mitigate security risks associated with the system’s maritime critical infrastructure and key resources.

Additional Port Security Resources
• U.S. Department of Transportation “BUILD” grants for National Infrastructure Investments may include funding to support roads, bridges, transit, rail, ports or intermodal transportation, see https://www.transportation.gov/BUILDgrants
• Cybersecurity assessments may be available via CISA, see https://www.cisa.gov/cyber-resourcehub Sample Memorandum of Understanding/Agreement (MOU/MOA)
The sample MOU/MOA below demonstrates all of the elements required in the PSGP NOFO for acceptance for review as part of a grant application from a state or local agency providing security services to MTSA-regulated entities.

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Memorandum of [Understanding / Agreement]
Between [provider of layered security] and [recipient of layered security] Regarding [provider of layered security’s] Use of Port Security Grant Program Funds

1. PARTIES. The parties to this Agreement are the [Provider of Layered Security] and the [Recipient of security service].

2. AUTHORITY. This Agreement is authorized under the provisions of [applicable Area Maritime Security Committee (AMSC) authorities and/or other authorities].

3. PURPOSE. The purpose of this Agreement is to set forth terms by which [Provider of security service] shall expend Port Security Grant Program project funding in providing security service to [Recipient of security service]. Under requested PSGP grant, the [Provider of security service] must provide layered security to [Recipient of security service] consistent with the approach described in an approved grant application.

4. RESPONSIBILITIES: The security roles and responsibilities of each party are understood as follows:
(1) [Recipient of security service]
Roles and responsibilities in providing its own security at each MARSEC level (2) [Provider of security service]
[-An acknowledgement by the facility that the applicant is part of their facility security plan.] [-The nature of the security that the applicant agrees to supply to the regulated facility (waterside surveillance, increased screening, etc.).]
[-Roles and responsibilities in providing security to [Recipient of security service] at each MARSEC level.]

5. POINTS OF CONTACT. [Identify the POCs for all applicable organizations under the Agreement; including addresses and phone numbers (fax number, e-mail, or internet addresses can also be included).]

6. OTHER PROVISIONS. Nothing in this Agreement is intended to conflict with current laws or regulations of [applicable State] or [applicable local Government]. If a term of this agreement is inconsistent with such authority, then that term shall be invalid, but the remaining terms and conditions of this agreement shall remain in full force and effect.

7. EFFECTIVE DATE. The terms of this agreement will become effective on [EFFECTIVE DATE].

8. MODIFICATION. This agreement may be modified upon the mutual written consent of the parties.

9. TERMINATION. The terms of this agreement, as modified with the consent of both parties, will remain in effect until the grant end dates for an approved grant. Either party upon [NUMBER] day’s written notice to the other party may terminate this agreement.

APPROVED BY: Organization and Title
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Program Appendix H:

Emergency Management Performance Grant Program
As a reminder, although this appendix contains Emergency Management Performance Grant (EMPG) Program-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the EMPG Program. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

Alignment of the EMPG Program to the National Preparedness System The EMPG Program contributes to the implementation of the National Preparedness System by supporting the building, sustaining, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the National Preparedness Goal (the Goal). The EMPG Program’s allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas described in the Goal.

FEMA requires recipients to prioritize grant funding to demonstrate how EMPG Program-funded investments support closing capability gaps or sustaining capabilities identified in the Threat and Hazard Identification and Risk Assessment (THIRA)/Stakeholder Preparedness Review (SPR) process and other relevant information sources, such as: 1) after-action reports (AARs) following exercises or real-world events; 2) audit and monitoring findings; 3) Hazard Mitigation Plans; and/or 4) other deliberate planning products. In advance of issuing the FY 2021 EMPG Program awards, FEMA Regional Administrators will identify regional priorities based on their unique knowledge of the region’s preparedness and emergency management needs and will share those priorities with the states and territories within their region. The final priorities will be identified and mutually agreed to by the state or territory and Regional Administrator through a collaborative negotiation process. Ideally, all EMPG Program-funded projects, as outlined in the approved FY 2021 EMPG Program Work Plan, will support the priorities identified through this collaborative approach. See EMPG Program Work Plan section for additional guidance.

FEMA continues to emphasize capabilities that address the greatest risks to the security and resilience of the United States. When applicable, funding should support deployable assets that can be used anywhere in the Nation through automatic assistance and mutual aid agreements, including, but not limited to, the Emergency Management Assistance Compact (EMAC). The EMPG Program supports investments that improve the ability of jurisdictions nationwide to:
• Prevent a threatened or an actual act of terrorism;
• Protect our citizens, residents, visitors, and assets against the greatest threats and hazards; • Mitigate the loss of life and property by lessening the impact of future disasters; • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; or
• Recover through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident.

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The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities to improve training and exercise programs, innovation, and appropriate administrative, finance, and logistics systems.

Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements By December 31, 2021, recipients are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with Comprehensive Preparedness Guide (CPG) 201, Third Edition. Specific guidance on the requirements for each core capability will be forthcoming in 2021, as some core capabilities have fewer reporting requirements than others. Building on the requirement implemented in 2020, recipients must respond to a series of planning-related questions as part of the THIRA/SPR process.

Recipients are required to submit a THIRA every three years to establish a consistent baseline for assessment. Although the THIRA will be only required every three years, recipients will continue to be required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to Comprehensive Preparedness Guide (CPG) 201, Third Edition.

Reporting:
• In each EMPG Program recipient’s Biannual Strategy Implementation Report (BSIR), as part of programmatic monitoring, the recipient is required to describe how expenditures support closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. EMPG Program recipients will, on a project-by-project basis, check one of the following:
o Building a capability with EMPG Program funding; or
o Sustaining a capability with EMPG Program funding.

Building and Sustaining Core Capabilities
Recipients must describe how proposed EMPG Program-funded projects will close capability gaps or sustain capabilities identified through the THIRA/SPR process or other relevant information sources that identify capability needs. See EMPG Program Work Plan section for additional guidance and requirements.

National Incident Management System (NIMS) Implementation EMPG Program recipients and subrecipients are required to implement NIMS. EMPG Program funds may be used to meet the requirements described in the NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions. This document should be used as a guide for both identifying NIMS implementation objectives and needs and as a tool for evaluating NIMS compliance. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. EMPG Program recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.

National Qualification System (NQS)
EMPG Program recipients are strongly encouraged to implement components of the NQS and may use their EMPG Program funds to support NQS implementation efforts. Beginning in FY 2022, FEMA intends to City Council 18 – 178 8/16/2022
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make the implementation of NQS a requirement of award for EMPG Program funding. Jurisdictions should achieve, or work toward achieving, each of the activities listed below. The activities that support NQS implementation include:
• Ensuring that incident personnel qualifying for a position meet the minimum training requirements from the Job Title/Position Qualification for that position. All of the NIMS resource typing definitions and job title/position qualifications can be downloaded from the Resource Typing Library Tool (RTLT).
• Developing organizational qualification procedures in alignment with the NIMS Guideline for the National Qualification System (NQS). These procedures include:
o Qualification, certification, and credentialing processes for incident management and emergency management personnel.
o Qualification review board, or equivalent review processes for incident management and emergency management personnel qualifications.
o Individual and team coach and evaluation processes for incident management and emergency management personnel qualifications.
• Conducting exercises in accordance with the Homeland Security Exercise and Evaluation Program.

Data collection methods of the implementation of the NQS include the following:

Ways that the NIC is tracking collecting data on NQS:
• NIMS Survey
• Unified Reporting Tool questions
• NIMS Regional Coordinator Program Guide that allows NIMS Regional Coordinators to review state NIMS programs
Reporting:
• Recipients will answer questions in the applicable secondary NIMS assessment portion of the Unified Reporting Tool (URT) as part of a jurisdiction’s THIRA/SPR submission. This involves reporting on the status of the qualification system used within the jurisdiction and sub-jurisdictions, as outlined in the EMPG Program Notice of Funding Opportunity (NOFO). • Reporting will also be through a review by the FEMA Regional NIMS Coordinators during annual technical assistance visits with the states, tribes, and territories within their regions.

Logistics Planning
Distribution Management Plans
Continuing the mandate from 2020, EMPG Program recipients are required to develop and maintain a Distribution Management (DM) plan as an annex to their existing Emergency Operations Plan (EOP).

Comprehensive Preparedness Guide (CPG) 101 provides guidance on the fundamentals of planning and development of Emergency Operations Plans. The FEMA Distribution Management Plan Guide (August 2019) provides information on how to develop the DM plan annex, key DM plan components, how to review and update a DM plan, and how FEMA reviews and evaluates the plans.

The DM plan must be reviewed by recipients on an annual basis and updated as necessary by September 30 of each year. A question in the URT under the CPG 101 captures whether a jurisdiction has developed and incorporated a DM plan in its EOP.
• The DM plan should focus on the distribution of commodities and supplies such as food, water, generators and tarps to survivors following a disaster
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• The DM plan should address strategies/plans for the following:
o Requirements Defining
o Resource Ordering
o Distribution Methods
o Inventory Management
o Staging Areas
o Transportation
o Demobilization
FEMA Regional Logistics Branch will work with EMPG Program recipients to provide technical assistance during the development and maintenance of their DM plans, and to ensure all recipients have effective DM plans capable of integrating with federal, NGOs, private sector, and state, local, tribal, and territorial stakeholders during major disasters. Recipients should refer to the following for additional guidance:
• Information Bulletin (IB) 442, Guidance on Distribution Management Plans for the Fiscal Year 2019 Emergency Management Performance Grants Program
Additional Logistics Planning Resources
FEMA recommends that EMPG Program recipients use the following resources in developing their DM plan. To learn more about these programs and documents, or for any questions, please contact the Logistics Section Chief from your FEMA Region.
• The Logistics Capability Assessment Tool 2 (LCAT2) Flyer: The LCAT2 Flyer provides an overview of the LCAT2, how it is beneficial, how the LCAT process works, and how to obtain an LCAT2.
• Points of Distribution (PODs) Training: FEMA Logistics developed a comprehensive POD training to assist states in developing actionable emergency distribution plans and understanding associated challenges. Additional information, including an explanatory DVD, POD guide, and online exam, are available on the Emergency Management Institute’s (EMI) website at https://training.fema.gov/is/courseoverview.aspx?code=IS-26. • Interagency Logistics (IL) Training: This basic IL training course familiarizes participants with the IL concepts of planning and response. The course also provides an overview of IL Partner disaster response organizations, discusses parameters for logistics support coordination, and creates a whole community forum to exchange the best logistics practices. Recipients may find more information on the course by visiting: https://training.fema.gov/emigrams/2018/1439%20- %20training%20opportunity%20-
%20l8540%20basic%20interagency%20logistics%20fy19.pdf?d=10/2/2018. • Other Logistics Planning Resources: Recipients will find additional planning guidance at:

Planning Guides | FEMA.gov. Specific to logistics planning, Comprehensive Preparedness Guide (CPG) 101, Version 2.0 provides guidance on how to incorporate logistics into EOPs. Additionally, the Supply Chain Resilience Guide provides emergency managers with recommendations and best practices on how to analyze local supply chains and work with the private sector to enhance supply chain resilience using a five-phased approach.

Funding for Critical Emergency Supplies
Critical emergency supplies—such as shelf stable products, water, and basic medical supplies—are an allowable expense under the EMPG Program. Each state must have FEMA’s approval of a five-year viable inventory management plan prior to allocating grant funds for stockpiling purposes. The inventory City Council 18 – 180 8/16/2022
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management five-year plan should include a distribution strategy and related sustainment costs if the grant expenditure is more than $100,000.

Reporting
Annual DM plan reviews will be reported in the Periodic Performance Report (PPR) for the quarter ending September 30 of the most recently awarded EMPG Program. Reviews that result in an update must be submitted to the regional grants division director or EMPG Program manager for review by regional logistics staff. The Regional Logistics Staff will review and rate the plans using the FEMA Distribution Management Plan Guide, August 2019.

Evacuation Planning
EMPG Program recipients should review and update their EOP at least once every two years in accordance with Comprehensive Preparedness Guide (CPG) 101 v2, Developing and Maintaining Emergency Operations Plans. Recipients are highly encouraged to include an evacuation plan or annex as part of their EOP as well as plans to exercise and validate the evacuation plan and capabilities. At a minimum, recipients should incorporate the National Response Framework’s Mass Evacuation Incident Annex’s planning considerations, and other FEMA documents related to evacuation planning, when developing their own Evacuation Plan or Annex. See National Response Framework (NRF), Third Edition (June 2016) and NRF Mass Evacuation Incident Annex (June 2008). Additional National Preparedness resources are available at:

National Preparedness | FEMA.gov and Planning Guides | FEMA.gov. Specific to evacuation planning, the Evacuation and Shelter in Place Guidance identifies relevant concepts, considerations, and principles that can inform jurisdictions in planning for evacuation and/or shelter-in-place protective actions.

Disaster Housing Planning
State-Led Disaster Housing Task Force
Based on lessons learned from recent disasters, FEMA strongly encourages EMPG Program recipients to establish a State-Led Disaster Housing Task Force (SLDHTF) plan as part of their EOP or as a standalone document and update their plan at least once every two years.

SLDHTFs lead and coordinate state, local, private sector, and community-based actions to assess housing impacts, identify appropriate post-disaster housing options, and establish processes for expediting postdisaster housing delivery. SLDHTF plans should clearly identify the roles, responsibilities, composition, and mobilization procedures for the SLDHTF, and how the SLDHTF integrates into the incident command structure. To have a successful SLDHTF plan, FEMA encourages recipients to:
• Complete the State Housing Strategy Template; and
• Establish a State Disaster Recovery Coordinator.

State Housing Strategy Template
EMPG Program recipients are strongly encouraged to update their State Housing Strategy using the State Housing Strategy Template provided by FEMA Individual Assistance (IA) as part of their EOP or as a standalone document. In addition to the State Housing Strategy Template, recipients are encouraged to define and emphasize sheltering, short term, and permanent housing planning.

The State Housing Strategy Template helps states identify priorities and document critical, jurisdictionspecific processes and procedures to promote an efficient disaster housing mission. The template walks recipients through the following planning considerations as seen in the table below.

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Table 4: State Housing Template Sections and Planning Considerations Template Section Planning Considerations
SLDHTF Plan
Organization
Participant inclusion, approaches for various types of housing disasters, available materials, available assistance programs, and sources for surge staffing Housing
Background
Identifying a jurisdiction’s current housing situation, priorities, capabilities, challenges, and known risks
Sheltering Phase
Strategy
Identifying planning leads, current resources, timeline, key partners, crossjurisdictional agreements, and other risks Interim Housing
Strategy
Identifying planning leads, current resources and capabilities, known areas of difficulty, key partners, relocation strategies, and risks Permanent
Housing Strategy
Identifying planning leads, long-term housing needs and prioritizations, current resources and capabilities, known areas of implementation challenges, relocation strategies, and risks
Pre-Disaster
Activities
Creating communication plans, survivor transition plans, mitigation plans, and program closeout goals
Post-Disaster
Activities
Prioritizing disaster housing recovery activities, creating timelines for project completion, documenting planned actions for assessing the availability of affordable housing resources and expediting the delivery of housing by expediting permitting and waiver processes, establishing an information sharing method, creating an Environmental and Historical Preservation (EHP) strategy, identifying potential locations for Manufactured Housing Units and Recreational Vehicles, and identifying available federal disaster housing assistance State-Administered Direct Housing Implementation
FEMA encourages states to develop the capacity to administer FEMA Direct Housing Assistance through a reimbursable Inter-Governmental Service Agreement (IGSA). Under this arrangement, FEMA determines disaster survivors’ eligibility for specific direct housing options and makes all determinations regarding continuing eligibility, appeals, and eligibility terminations. FEMA also monitors the state’s administration of approved Direct Housing Options to ensure compliance with federal environmental, historic preservation, and floodplain management requirements as well as program conditions specified within the IGSA. States that choose to administer Direct Housing Assistance through an IGSA are required to develop a Direct Housing Administrative Plan and are encouraged to establish pre-placed contract to support the delivery of direct housing. Any pre-placed contract would need to comply with applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. For more information, regarding Direct Housing Assistance, please refer to the Individuals and Households Unified Guidance available at https://www.fema.gov/assistance/individual/program-policy-guide.

Disaster Housing Exercises
Recipients are encouraged to exercise and validate their long-term sheltering and housing stabilization plans as part of an existing exercise program. This includes:
• Validating the organizational structure of the Housing Task Force and internal readiness capabilities to address post-disaster housing recovery issues or administer FEMA Direct Housing Assistance under an IGSA
• Validating disaster housing communication plans and procedures that coordinate and integrate the activities and information generated by internal/external partners City Council 18 – 182 8/16/2022
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• Validating data systems, security, and exchange protocols • Validating planned actions and milestones transitioning from emergency sheltering to temporary housing to permanent housing and long-term recovery
Additional Disaster Housing Planning Resources
Recipients are encouraged to review the planning guidance available at Planning Guides | FEMA.gov. The Planning Guides page includes: Planning Considerations: Disaster Housing Guidance for State, Local, Tribal and Territorial Partners (May 2020), which supplements Comprehensive Preparedness Guide (CPG) 101: Developing and Maintaining Emergency Operations Plans. It provides guidance on national housing priorities, types of housing, key considerations and housing-specific planning recommendations for state, local, tribal and territorial (SLTT) jurisdictions to use, in conjunction with the Six-Step Planning Process described in CPG 101, to develop or improve disaster housing plans.

State Disaster Recovery Coordinator
The Pre-Disaster Recovery Planning Guide helps states prepare for recovery by developing pre-disaster recovery plans that follow a process to engage members of the whole community, develop recovery capabilities, and create an organizational framework for recovery efforts.

FEMA strongly recommends that EMPG Program recipients include pre-disaster recovery planning as part of their State Readiness and Preparedness efforts by establishing a State Disaster Recovery Coordinator (SDRC). An effective pre-disaster recovery plan and process is crucial to help recipients prepare for major disaster incidents and recover effectively. Recipients are encouraged to use the Pre-Disaster Recovery Planning Guide to help inform their identification and establishment of a SDRC. The SDRC position should be included in the State Administrative Plan with the following responsibilities:
• Develop the pre-disaster recovery plan, including state-level leadership and structure, formation of communication channels, multi-agency coordination, and building whole-community partnerships to support recovery efforts.
• Set the stage for necessary strategic, operational, and tactical post-disaster planning, actions, and processes.
• Maximize impact of federal, private sector, and nongovernmental dollars to enable recovery and resilience.
• Accelerate the delivery of resources, including funding and technical assistance, to disasterimpacted communities. • Enable state leadership to better organize and identify gaps in the state’s recovery capabilities.

Disaster Financial Management Policies and Procedures
Lessons learned from recent hurricane seasons and wildfires demonstrate the need for impacted jurisdictions to improve their ability to immediately track and account for disaster costs. Disaster financial management includes policies and procedures that work to recover expenses pertaining to damage, emergency protective measures, and debris management during and after a disaster. These policies and procedures include, but are not limited to, those supporting eligible contract costs and force account labor, materials, and equipment.

State Administrative Plan
FEMA strongly recommends that EMPG Program recipients include disaster financial management planning as part of their State Administrative Plan. An effective disaster financial management plan and process is crucial to help recipients prepare for declarations of emergencies or major disasters and plan for City Council 18 – 183 8/16/2022
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reimbursement. Table 5 details the processes that should be included in the State Administrative Plan and recommendations on where they should be placed.

Table 5: State Administrative Plan Guidance
State Administrative Plan
Section Recommendations Processes
• Section V Part D: Project
Funding and Reimbursement
• Section V Part G: Records
and Reports
• A process to ensure subrecipients are tracking and
documenting disaster costs necessary for federal
reimbursement, such as receipts, invoices, procurement
documents, contracts, and insurance coverage/claims
• Section V Part D: Project
Funding and Reimbursement
• Section V Part G: Records
and Reports
• A process to document disaster cost operations such as labor, equipment, and materials that are allowable under federal requirements
• Section V Part D: Project
Funding and Reimbursement
• A process to ensure that subrecipients are not receiving a duplication in benefits
• Section IV Part B:

Organization and Staffing
• A process to ensure pre-disaster contracts and procurement strategies are in place, if necessary
Additionally, recipients are encouraged to use EMPG Program funds for training that develops, delivers, and exercises disaster financial management procedures.

Disaster Financial Management Resources
Recipients are encouraged to use the following resources to inform their disaster financial management planning efforts:
• State Administrative Plan Template: Recipients are recommended to use the State Administrative Plan template found on FEMA’s Public Assistance webpage to inform their planning efforts. The template includes example structure and content as a model for states to create own Administrative Plan.
• Public Assistance Program and Policy Guide: The Public Assistance Program and Policy Guide (PAPPG) is a comprehensive, consolidated policy document for the Public Assistance program provides an overview of the Public Assistance program implementation process. • Public Assistance Frequently Asked Questions and Guidance: Recipients are encouraged to view the Public Assistance Frequently Asked Questions and guidance found on the Public Assistance webpage to assist with disaster financial management planning efforts. The webpage provides information pertaining to documentation, Public Assistance grant funding eligibility, and hazard mitigation and can be found at https://www.fema.gov/assistance/public/policy-guidancefact-sheets/job-aids-faqs. • OIG Audit Tips: Recipients are recommended to consult the DHS OIG report, Audit Tips for Managing Disaster-Related Project Costs (OIG-17-120-D) for further assistance in documenting and accounting for disaster-related costs. This report is informed by OIG audit findings and can assist recipients in addressing issues that are frequent findings in disaster-related audits. • Disaster Financial Management Guide: The Disaster Financial Management Guide provides guidance for state, local, tribal, and territorial partners on establishing and implementing sound disaster financial management practices.

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Training and Exercises
Integrated Preparedness Plan (IPP)
Recipients are expected to engage senior leaders and other whole community stakeholders to identify preparedness priorities specific to training and exercise needs, which will guide development of a state/territory multi-year IPP. Similar to the EMPG Program Work Plan development process, these priorities should be informed by various factors, including jurisdiction-specific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and exercises (i.e. AARs); external requirements such as state or national preparedness reports (i.e. SPRs), homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients must document these priorities, in conjunction with the Work Plan development process, and use them to deploy a schedule of preparedness events and activities in the IPP. Information related to IPPs and Integrated Preparedness Planning Workshops (IPPWs) can be found on the FEMA website at https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep and https://preptoolkit.fema.gov/.

Recipients shall ensure that their EMPG Program Work Plans and IPPs align with and are complementary to one another and are used in tandem to support shared priorities for building and sustaining the state/territory’s preparedness capabilities. Recipients should use the same shared set of priorities in both their IPP and EMPG Program Work Plan, so that EMPG Program investments and projects help recipients implement the planning, training, and exercise activities in their IPPs and advance their IPP priorities. To this end, recipients should develop their IPPs and EMPG Program Work Plans together to create a planned, organized, and methodical approach for closing capability gaps over multiple years. This will help ensure that priorities for both the IPP and EMPG Program Work Plan are based on closing capability gaps documented in their THIRA/SPR and other relevant sources of information. For example, if a recipient selects Logistics and Distribution Management, Resilient Communications, and Housing as its priorities for its EMPG Program Work Plan, those should also be priorities in its IPP. Additionally, IPPs should include all planning, training, and exercise activities funded by the EMPG Program and included in EMPG Program Work Plans, as well as activities funded by other sources. This will ensure that recipients’ preparedness projects, investments, and activities are concentrated, focused, and oriented towards closing gaps related to their top priorities, regardless of funding source.

Validating Capabilities through Exercises
All recipients are required to develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP) guidance in support of the National Exercise Program (NEP). The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-year NEP cycle is guided by Principals’ Strategic Priorities, established by the National Security Council, and informed by preparedness data from jurisdictions across the Nation. See Exercises | FEMA.gov for additional information.

Although there are no minimum exercise requirements, FEMA Regional Administrators and State Emergency Management Directors will negotiate an exercise program that addresses the priorities and capability gaps identified through the collaborative work plan development process. These exercises must be included in the FY 2021 EMPG Program Work Plan submitted for regional approval and should also be included in the state/territory’s IPP. See the EMPG Program Work Plan section for additional guidance.

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preparedness programs. If you have any questions or would like to request assistance through the NEP, please visit the NEP website or reach out to the NEP directly at [email protected].

Reporting
• All EMPG Program-funded exercise activities must be captured in the approved EMPG Program Work Plan.
• Recipients must have a current multi-year IPP that identifies preparedness priorities and activities.

The current multi-year IPP must be submitted to [email protected] and the regional EMPG Program manager before January 31st of each year.
• Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.gov/.
• Recipients must submit AAR/IPs to [email protected] and copy their regional EMPG Program manager and indicate which fiscal year’s funds were used (if applicable). • AAR/IPs must be submitted no later than December 31st of each year. For exercises conducted during the final quarter of a calendar year, submission of AAR/IPs must occur within 90 days of exercise completion. Regardless of conduct date, recipients are encouraged to submit AAR/IPs within 90 days after completion of the single exercise or progressive series. o Recipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions which reflect drills. o If a state, territory, or local jurisdiction has experienced a major disaster and they would like to request exemptions for a scheduled exercise, the recipient should send this request to its assigned FEMA Regional EMPG Program manager through the Quarterly Performance Progress Report. Exemptions will be reviewed on a case-by-case basis by the regional EMPG Program manager.
o Recipients can access a sample AAR/IP template at https://preptoolkit.fema.gov/web/hseepresources/improvement-planning.

Training
Similar to the exercise guidance above, training activities should align to a current, Multi-Year IPP developed through an annual IPPW and build from training gaps identified in the THIRA/SPR and work plan development process. Further guidance concerning the IPP and the IPPW can be found at https://preptoolkit.fema.gov/web/hseep-resources/home.

Training should foster the development of a community-oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience, all of which is included in the curriculum of the EMI Basic Academy. The EMI Basic Academy provides a foundational education in emergency management as a way for emergency managers to begin or advance their career. The goal of the Basic Academy is to support the early careers of emergency managers through a training experience combining knowledge of all fundamental systems, concepts, and practices of cutting-edge emergency management.

EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS Training Program establishes a national curriculum for NIMS and provides information on NIMS courses.

Recipients are encouraged to place emphasis on the core competencies as defined in the NIMS Training Program. NIMS is also included in the curriculum of the EMI Basic Academy. The NIMS Training Program can be found at https://www.fema.gov/emergency-managers/nims/implementation-training.

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NIMS implementation requires jurisdictions to ensure that their incident personnel receive pertinent NIMS training in alignment with the NIMS Training Program. Jurisdictions report their NIMS implementation status of their jurisdiction and sub-jurisdictions, including the training of personnel, using the 2021 SPR.

All EMPG Program-funded personnel are expected to be trained emergency managers. All EMPG Programfunded personnel shall complete either the Independent Study courses identified in the Professional Development Series or the National Emergency Management Basic Academy delivered either by EMI or at a sponsored state, local, tribal, territorial, regional or other designated location. Further information on the National Emergency Management Basic Academy and the Emergency Management Professional Program can be found at: https://training.fema.gov/empp/. A complete list of Independent Study Program Courses may be found at http://training.fema.gov/is.

In addition to training activities aligned to and addressed in the IPP, all EMPG Program-funded personnel (including full- and part-time state, local, tribal, and territorial [SLTT] recipients and subrecipients) shall complete the following training requirements and record proof of completion:
1) NIMS Training, Independent Study (IS)-100 (any version), IS-200 (any version), IS-700 (any version), and IS-800 (any version)4, AND;
2) Professional Development Series (PDS) OR the Emergency Management Professionals Program (EMPP) Basic Academy listed in the chart below.

Professional Development Series or Basic Academy
PDS
Professional Development Series
Basic Academy
Basic Academy Pre-requisites and Courses
IS-120.a: An Introduction to Exercises
OR
IS-100 (any version): Introduction to the
Incident Command System
IS-230.d: Fundamentals of Emergency
Management
IS-700 (any version): National Incident
Management System (NIMS)-An Introduction
IS-235.b: Emergency Planning IS-800 (any version): National Response Framework, An Introduction
IS-240.b: Leadership and Influence IS-230.d: Fundamentals of Emergency Management
IS-241.b: Decision Making and
Problem Solving
E/L101: Foundations of Emergency
Management
IS-242.b: Effective Communication E/L102: Science of Disasters IS-244.b: Developing and Managing
Volunteers
E/L103: Planning Emergency Operations
E/L104: Exercise Design
E/L105: Public Information & Warning
The EMI Basic Academy provides this foundational Emergency Management education. To ensure the professional development of the emergency management workforce, the recipients must ensure a routine capabilities assessment is accomplished and an IPP is developed and implemented. 4 NIMS training courses IS-100, IS-200, IS-700, and IS-800 only need to be taken once to fulfill requirements. Also, previous versions of the IS courses are still considered as meeting the NIMS training requirement.

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Additional Training Information
Per FEMA Grant Programs Directorate Information Bulletin 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high-risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high-risk urban area Training Point of Contact (TPOC) and falls within the FEMA mission scope and the jurisdiction’s EOP.

FEMA will conduct periodic reviews of all state, territory, and urban area training funded by FEMA. These reviews may include requests for all course materials and physical observation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, recipients will be asked to repay grant funds expended in support of those efforts.

For further information on developing courses using the instructional design methodology and tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED Training Resource and Development Center (TRDC) website at https://www.firstrespondertraining.gov/frts/trdc/state.

NTED’s National Preparedness Course Catalog
This online searchable catalog features a compilation of courses managed by the three primary FEMA training organizations: the CDP, EMI, and NTED. The catalog features a wide range of course topics in multiple delivery modes FEMA for federal, state, local, territorial, and tribal audiences. The catalog is located at http://www.firstrespondertraining.gov.

Reporting
• All EMPG Program-funded training activities must be captured in the approved EMPG Program Work Plan and should be included in the IPP. This includes training for which the only expenses are for overtime and/or backfill costs associated with emergency management personnel attending the training.
• Recipients must report their NIMS implementation status of their jurisdiction and sub-jurisdictions, including the training of personnel, in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission.
• Recipients must maintain proof of completion of training requirements. • Training Information Reporting System (“Web Forms”): Web Forms is an electronic data management system built to assist SAA TPOCs and federal agencies to submit non-NTED training courses for inclusion in the State/Federal-Sponsored Course Catalog. The information collected is used in a two-step review process to ensure that the training programs adhere to the EMPG Program’s intent and the course content is sound and current. While reporting training activities through Web Forms is not required under the EMPG Program, the system remains available and can be accessed through the FEMA Toolkit to support recipients in their own tracking of training deliveries.

Reviewing and Updating Planning Products
Based on the applicant’s current THIRA/SPR, capability levels, resources, and plans should be reviewed on an annual basis to determine if they remain relevant or need to be updated. This review should be based on a current THIRA/SPR and utilize information gathered during the capability validation process. These reviews will provide a means to determine priorities, direct preparedness actions, and calibrate goals and objectives.

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Additional Considerations
Strengthening Governance Integration
FEMA preparedness grant programs are intended to support the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare for incidents that pose the greatest risk to the Nation’s security. Each program reflects the Department’s intent to build and sustain an integrated network of national capabilities across all levels of government and the whole community. Disparate governance structures must be integrated and refined to ensure resources are targeted to support the most critical needs of a community based on risk-driven, capabilities-based planning. Strong and inclusive governance systems better ensure that disparate funding streams are coordinated and applied for maximum impact.

FEMA requires that all governance processes that guide the allocation of preparedness grant funds adhere to the following guiding principles:
• Coordination of Investments: Resources must be allocated to address the most critical capability needs as identified in the SPR and coordinated among affected preparedness stakeholders. • Transparency: Stakeholders must be provided visibility on how preparedness grant funds are allocated and distributed, and for what purpose.
• Substantive Local Involvement: The tools and processes that are used to inform the critical priorities, which FEMA grants support, must include local government representatives. At the state and regional levels, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for.
• Accountability: FEMA recognizes that unique preparedness gaps exist at the local level. Grant recipients are responsible for ensuring the effective use of funds to address those gaps and for maintaining and sustaining existing capabilities.
• Support of Regional Coordination: Inter/intra-state partnerships and dependencies at the state and regional levels, including those within metropolitan areas, must be recognized.

Program Performance Reporting Requirements
Performance Progress Reports (PPR)
Recipients are responsible for providing performance reports to FEMA on a quarterly basis. As explained in the Standardized Programmatic Reporting section below, the Quarterly PPRs must be based on the approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter.

Although not mandatory, recipients are encouraged to use the updated EMPG Program Work Plan Template – specifically the Grant Activities Outline – to report on the status of planned project activities, any risks that may affect project progress or success, and updates to project schedules. The PPR (in the form of an updated Work Plan) shall be submitted in ND Grants. See EMPG Program Work Plan section for additional guidance.

Programmatic Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:

Reporting Period Report Due Date
October 1 – December 31 January 30
January 1 – March 31 April 30
April 1 – June 30 July 30
July 1 – September 30 October 30
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Standardized Programmatic Reporting for the EMPG Program The EMPG Program Work Plan Template has been modified to standardize data collection, which enables improved analysis and reporting. The EMPG Program Work Plan includes eight components: (1) Grant Investment Strategy, (2) Budget Overview, (3) Grant Activities Outline, (4) Project Activities Outline, (5) Personnel Data Table, (6) Training Data Table, (7) Exercise Data Table, and (8) Detailed Budget. Baseline data on personnel, training, and exercises, as well as the Grant Activities Outline and Project Activities Outline, must be provided in the EMPG Program Work Plan at the time of application and will form the basis of the Quarterly PPR submissions.

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EMPG Program Funding Guidelines
Allowable Costs
Management and Administration (M&A)
M&A activities are those defined as directly relating to the management and administration of EMPG Program funds, such as financial management and monitoring. It should be noted that salaries of state and local emergency managers are not typically categorized as M&A, unless the state or local EMA chooses to assign personnel to specific M&A activities.

If the SAA is not the EMA, the SAA is not eligible to retain funds for M&A. M&A costs are allowable for both state and local-level EMAs. The state EMA may use up to 5% of the EMPG Program award for M&A purposes. In addition, local EMAs may retain and use up to 5% of the amount received from the state for local M&A purposes.

Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Postaward requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.

Whole Community Preparedness
EMPG Program funds may be used to foster whole community preparedness for disasters and emergencies as stated in the 2018 – 2022 FEMA Strategic Plan, particularly Objective 1.3, Help People Prepare for Disasters. Recipients, and FEMA must learn from and work with a broad and inclusive base of stakeholders to understand the circumstances and challenges different groups of people face, particularly those who may have the hardest time in the aftermath of a disaster, such as the aging population and those with access and functional needs. By engaging these stakeholders, EMPG Program recipients can help FEMA develop and promote a suite of well-targeted solutions for individuals and communities to adopt. Recipients should coordinate preparedness initiatives with FEMA and whole community partners to efficiently apply federal funding to reach the goal of individual and community resilience.

Planning
Planning spans all five mission areas of the Goal and provides a methodical way to engage the whole community in the development of a strategic, operational, and/or community-based approach to preparedness. EMPG Program funds may be used to develop or enhance emergency management planning activities. Some examples include:

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Emergency Operations Plan
• Maintaining a current EOP that is aligned with guidelines set out in Comprehensive Preparedness Guide (CPG) 101: Developing and Maintaining Emergency Operations Plans • Modifying existing incident management and emergency operations plans • Developing/enhancing large-scale and catastrophic event incident plans Communications Plans
• Developing and updating Statewide Communication Interoperability Plans • Developing and updating Tactical Interoperability Communications Plans Administrative Plans
• Developing/enhancing financial and administrative procedures for use before, during, and after disaster events in support of a comprehensive emergency management program Whole Community Engagement/Planning
• Developing or enhancing mutual aid agreements/compacts, including required membership in EMAC
• Developing/enhancing emergency operations plans to integrate citizen/volunteer and other NGO resources and participation
• Integrating program design and delivery practices that ensure representation and services for underrepresented, diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations Resource Management Planning
• Developing/enhancing logistics and resource management plans • Developing/enhancing volunteer and/or donations management plans Shelter and Evacuation Planning
• Developing/enhancing sheltering and evacuation plans, including plans for alerts/warning, crisis communications, pre-positioning of equipment for areas potentially impacted by mass evacuations, and re-entry
Recovery Planning
• Disaster housing planning, such as creating/supporting a state disaster housing task force and developing/enhancing state disaster housing plans
• Pre-event response, recovery, and mitigation plans in coordination with state, local, and tribal governments
• Developing/enhancing other response and recovery plans Developing recovery plans and preparedness programs consistent with the principles and guidance in the National Disaster Recovery Framework (NDRF) that will provide the foundation for recovery programs and whole community partnerships. Preparedness and pre-disaster planning were given special attention within the NDRF with specific guidance: Planning for a Successful Disaster Recovery (pages 63-70). For more information on the NDRF see National Disaster Recovery Framework | FEMA.gov.

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Continuity Planning
Continuity planning and operations are an inherent element of each core capability. Continuity operations increase resilience and the probability that organizations can perform essential functions. FEMA develops and promulgates Federal Continuity Directives (FCDs) to establish continuity program and planning requirements for executive departments and agencies and Continuity Guidance Circulars (CGCs) for SLTT governments, non-governmental organizations, and private sector critical infrastructure owners and operators. This direction and guidance assist in developing capabilities for continuing the essential functions of federal, state, local, tribal, territorial governmental entities as well as the public/private critical infrastructure owners, operators, and regulators enabling them.

Presidential Policy 40, FCD 1, FCD 2, CGC 1, and CGC 2 outline the overarching continuity requirements and guidance for organizations and provide guidance, methodology, and checklists. For additional information on continuity programs, guidance, and directives, visit http://www.fema.gov/guidancedirectives and https://www.fema.gov/about/offices/continuity.

Allowable continuity planning activities include the development of the following:
• Continuity of Operations (COOP) and Continuity of Government (COG) planning products for the continuance of essential functions and associated leadership; • Risk-based needs assessments based on the THIRA to inform risk mitigation efforts to ensure the continuity of essential functions and associated leadership; and • Public and private sector outreach and messaging regarding continuity resilience benefits and strategies.

Organization
Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, Pub. L. No. 93-288, as amended, (42 U.S.C. §§ 5121-5207), EMPG Program funds may be used for all-hazards emergency management operations, staffing, and other day-to-day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position; staffing CERT and Citizen Corps positions at the state and local levels to promote whole community engagement in all phases of emergency management; performing closeout activities on FEMA Disaster Assistance grants; staffing permanent technical advisors on children’s needs at the state, local, tribal, and territorial levels; and supporting fusion center analysts who are directly involved in all-hazards preparedness activities as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing the activities outlined in the EMPG Program Work Plan. Recipients are encouraged to fund at least one dedicated Planner, Training Officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable EMPG Program costs and must comply with 2 C.F.R. Part 200, Subpart E – Cost Principles.

Federal (and Mutual Aid) Emergency Response Official (F/ERO) Credentialing and Validation The following costs related to F/ERO credentialing and validation are allowable under the EMPG Program:
• Working group meetings and conferences relating to emergency responder credentialing and validation;
• Compiling data to enter into an emergency responder repository; • Coordinating with other state, local, territorial, and tribal partners to ensure interoperability among existing and planned credentialing and validation systems and equipment; and City Council 18 – 193 8/16/2022
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• Planning to incorporate emergency responder identity and credential validation into training and exercises.

Equipment
Allowable equipment categories for the EMPG Program are listed in the Authorized Equipment List (AEL).

Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Allowable equipment includes equipment from the following AEL categories:
• Personal Protective Equipment (PPE) (Category 1)
• Information Technology (Category 4)
• Cybersecurity Enhancement Equipment (Category 5)
• Interoperable Communications Equipment (Category 6)
• Detection Equipment (Category 7)
• Power Equipment (Category 10)
• Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11)
• CBRNE Incident Response Vehicles (Category 12)
• Physical Security Enhancement Equipment (Category 14) • CBRNE Logistical Support Equipment (Category 19)
• Other Authorized Equipment (Category 21)
In addition to the above, general purpose vehicles may be procured in order to carry out the responsibilities of the EMPG Program. If recipients have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their regional EMPG Program manager for clarification.

Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1 regarding prohibitions on covered telecommunications equipment or services.

In general, with exception of critical emergency supplies and the associated inventory management plan, equipment included in the AEL may be purchased without separate approval from FEMA. However, as with all grant-funded activities, the equipment purchase must be well justified and reasonable. Furthermore, the purchase must be supported by the approved Work Plan. If the equipment is not clearly supported by the approved work plan, the recipient must seek advance approval from the applicable FEMA Regional Grant Program Office prior to purchasing the equipment, and an updated Work Plan may be required.

FEMA will consider requests to purchase equipment that is not listed in the AEL on a case-by-case basis.

Such requests should be submitted in writing to the applicable FEMA Regional Grant Program Office.

FEMA’s review and approval of such requests will involve both the FEMA regional office and GPD program staff to ensure nationwide consistency in the decision-making process and to support any necessary updates to the AEL.

Requirements for Small Unmanned Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426 and also include a description of the policies and procedures in place to safeguard individuals’ City Council 18 – 194 8/16/2022
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privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.

Funding for Critical Emergency Supplies
Critical emergency supplies—such as shelf stable products, water, and basic medical supplies—are an allowable expense under the EMPG Program. FEMA must approve a state’s five-year viable inventory management plan prior to allocating grant funds for stockpiling purposes. The five-year plan should include a distribution strategy and related sustainment costs if the grant expenditure is over $100,000.

Training
EMPG Program funds may be used for a range of emergency management-related training activities to enhance the capabilities of state and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, multi-year IPP developed through an annual IPPW and build from training gaps identified in the THIRA/SPR process.

Further guidance concerning the IPP and the IPPW can be found at https://preptoolkit.fema.gov/web/hseepresources/program-management.

EMPG Program funds may be used for emergency management-related training activities to enhance the capabilities of state and local emergency management personnel. Training activities should align to a current, Multi-Year IPP developed through an annual Integrated Preparedness Planning Workshop (IPPW) and build from training gaps identified in the THIRA/SPR process. Further guidance concerning the IPP and the IPPW can be found at https://preptoolkit.fema.gov/web/hseep-resources/program-management.

Training should:
• Foster the development of a community-oriented approach to emergency management that emphasizes engagement at the community level;
• Strengthen best practices; and,
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• Provide a path toward building sustainable resilience.

Allowable training-related costs include the following:
• Funds Used to Develop, Deliver, and Evaluate Training: Includes costs related to administering training, such as planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the Multi-Year IPP and addressed in the training cycle. States are encouraged to use existing training rather than developing new courses. When developing new courses, states are encouraged to apply the Analyze, Design, Develop, Implement, and Evaluate (ADDIE) model for instruction design.

More information is available at https://www.firstrespondertraining.gov. • Overtime and Backfill: Overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and/or approved training courses and programs are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1 p.m. to 5 p.m.), even though such work may benefit both activities.
• Travel: Travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. International travel is not an allowable cost under this program unless approved in advance by FEMA. • Hiring of Full- or Part-Time Staff or Contractors/Consultants: Full- or part-time staff or contractors/consultants may be hired to support direct training-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Payment of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable.
• Certification/Recertification of Instructors: Costs associated with the certification and recertification of instructors are allowed. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses that involve training of trainers.

Additional types of allowable training or training-related activities include, but are not limited to:
• Developing/enhancing systems to monitor training programs • Conducting all-hazards emergency management training
• Attending EMI training or delivering EMI train-the-trainer courses • Attending other FEMA-approved emergency management training • State-approved, locally sponsored CERT training
• Mass evacuation training at local, state, territorial and tribal levels Exercises
Allowable exercise-related costs include:

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• Funds Used to Design, Develop, Conduct and Evaluate Preparedness Exercises: This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Recipients are encouraged to use free public space/locations/facilities whenever available prior to the rental of space/locations/facilities.

Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Gaps identified during an exercise, including those for children and individuals with disabilities or access and functional needs, should be included in the AAR/IP and addressed in the exercise cycle.
• Hiring of Full- or Part-Time Staff or Contractors/Consultants: Full- or part-time staff may be hired to support direct exercise activities. Payment of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable. The services of contractors/consultants may also be procured to support the design, development, conduct, and evaluation of exercises. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.
• Overtime and Backfill: The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. • Travel: Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise activities.
• Supplies: Supplies are items that are expended or consumed while planning and conducting the exercise activities (e.g., gloves, non-sterile masks, and disposable protective equipment). • HSEEP Implementation: This refers to costs related to developing and maintaining an exercise program consistent with HSEEP.
• Other Items: These costs are limited to items consumed in direct support of exercise activities, such as space/locations rentals for planning and conducting an exercise, equipment rentals (e.g. portable toilets, tents), food/refreshments, and the procurement of other essential nondurable goods.

Costs associated with inclusive practices and the provision of reasonable accommodations and modifications that facilitate full access for children and adults with disabilities are allowable.

Unauthorized exercise-related costs include:
• Reimbursement for maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). The only vehicle costs that are reimbursable are fuel/gasoline or mileage. • Equipment that is purchased for permanent installation and/or use beyond the scope of exercise conduct (e.g., electronic messaging signs)
• Durable and nondurable goods purchased for installation and/or use beyond the scope of exercise conduct
Construction and Renovation
Construction and renovation projects for a state, local, tribal, or territorial government’s principal Emergency Operations Center (EOC), as defined by the SAA are allowable under the EMPG Program.

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FEMA must provide written approval prior to the use of any EMPG Program funds for construction or renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an EOC Investment Justification (located in the Related Documents tab of the EMPG Program Grants.gov posting) to their regional EMPG Program manager for review. Additionally, recipients are required to submit a SF-424C Form and Budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.

The above examples are not intended to exclude other construction projects as potentially allowable costs.

For example, construction of a facility for the storage of critical emergency supplies, as a Point of Distribution (POD) for emergency distribution, and/or to serve as a staging area for deployment of emergency response resources is potentially an allowable expense. Other construction or renovation projects, such as a secondary or local EOC, will be considered on a case-by-case basis, as described below in the guidance regarding advance written approval.

EHP Compliance
Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, new construction including replacement of facilities, and some training activities, must participate in the FEMA EHP review process.

Recipients and subrecipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the regional EMPG Program manager within six months of the award, and completed EHP review materials must be submitted at least 12 months before the end of the period of performance. EHP review packets should be sent to [email protected]. Please refer to the EHP section of this Manual for additional information on EHP requirements.

Advance Approval Requirement
Recipients must receive advance written approval from FEMA prior to the use of any annual EMPG Program funds for construction or renovation, including such activities at the sub-recipient level. Such costs would need to fall within the scope of the recipient’s final approved Work Plan, otherwise an updated Work Plan may be required. Such requests should be submitted in writing to the applicable FEMA Regional Grant Program Office. FEMA’s review and approval will involve both the regional office and FEMA Grant Programs Directorate.

Real Property Use and Disposition Requirements
Real property improved under a federal award falls under the 2 C.F.R. Part 200 guidance for real property.

In accordance with 2 C.F.R. § 200.311, a recipient or subrecipient may only use real property acquired or improved under a federal award for the originally authorized purpose, as long as it is needed for that purpose, during which time the recipient or subrecipient must not dispose of or encumber its title or other interests. However, upon the end of that period where it needs the property for the originally authorized purpose (i.e., the functional use of the property for which FEMA awarded the grant), the recipient or subrecipient will then dispose of the property in keeping with the requirements set forth in 2 C.F.R. § 200.311.

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When a grant-funded property is no longer needed for the originally authorized purpose, the recipient or subrecipient (through the pass-through entity) must obtain disposition instructions from the cognizant FEMA Regional Administrator or the pass-through entity.

Construction of Communication Towers
When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Communication Commission’s (FCC) Section 106 review process has been completed and submit all documentation resulting from that review to FEMA prior to submitting materials for EHP review.

Davis-Bacon Act Compliance
EMPG Program recipients using funds for construction projects must comply with the Davis-Bacon Act and subsequent legislation (40 U.S.C. §§ 3141 et seq.). See 42 U.S.C. § 5196(j)(9). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage determinations, is available at https://www.dol.gov/whd/govcontracts/dbra.htm.

Acquisition of Real Property
Acquisition of real property is permissible if such property is needed to support other allowable program costs or activities.

Advance Approval Requirement
Consistent with the requirements outlined above regarding construction activities, recipients and subrecipients (through the pass-through entity) must obtain advance written approval from the cognizant FEMA Regional Administrator prior to obligating annual EMPG Program funds for acquisition of real property. Additionally, in cases of acquisition or improving real property, recipients are required to submit a SF-429-B, Real Property Status Report, Attachment B providing details of the relevant property to be acquired.

Property Use, Reporting, and Disposition Requirements
The acquisition, use, and disposition of real property shall be subject to the provisions of 2 C.F.R. Part 200.

In accordance with 2 C.F.R. Part 200, recipients and subrecipients are required to report on the status of the acquired property on an annual basis using SF-429-A Real Property Status Report, Attachment A (General Reporting). Such reporting shall continue as long as the property is being used for the originally authorized purpose. Please refer to IB 458a for additional guidance on disposition requirements.

Leasing of Real Property
Leasing of real property is permissible if the property is needed to support other allowable annual EMPG Program activities.

Advance Approval Requirement
Recipients and subrecipients (through the pass-through entity) must obtain advance written approval from the cognizant FEMA Regional Administrator prior to obligating annual EMPG Program funds for the leasing of real property.

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Allowable Period of Lease Expenses
In cases where a property will be leased and the lease will be paid in full or in part EMPG Program funds, any costs associated with the lease that are charged to an EMPG Program award must occur within the period of performance of the associated award(s). Real property lease costs must also comply with 2 C.F.R.

Part 200.

Maintenance and Sustainment
Use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active grant awards, unless otherwise noted.

EMPG Program funds are intended to support the Goal and fund activities and projects that build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats and hazards that pose the greatest risk to the security of the Nation. To assist recipients in meeting this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs, which must be:
1) In direct support of existing capabilities;
2) An otherwise allowable expenditure under the applicable grant program; 3) Tied to one of the core capabilities in the five mission areas contained within the Goal, and; 4) Shareable through the EMAC.

Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant funding or any other source of funding other than FEMA preparedness grant program dollars.

Unallowable Costs
Grant funds may not be used for:
• Unallowable Equipment: Grant funds must comply with IB 426 and may not be used for the purchase of firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed
• Expenditures for weapons systems and ammunition
• Costs to support hiring sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities • Activities and projects unrelated to the completion and implementation of the EMPG Program Recipients should consult with their regional EMPG Program manager prior to making any investment that does not clearly meet the allowable expense criteria established in this Manual and the EMPG Program NOFO.

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EMPG Program Work Plan
Submission of an EMPG Program Work Plan is mandatory, as it is a required component of the EMPG Program application. The Work Plan outlines the state’s emergency management sustainment and enhancement efforts, including new and ongoing activities and projects, that are driven by identified preparedness priorities and proposed for the EMPG Program period of performance. An EMPG Program Work Plan Template (available on the Grants.gov EMPG Program application page and on the Fema.gov website at https://www.fema.gov/grants/preparedness/emergency-management-performance) is provided to facilitate the work plan development process. The submitted Work Plan must address all the information requirements included in the Work Plan Template and in the supplemental guidance included in this section. Therefore, EMPG Program applicants are strongly encouraged to use the provided EMPG Program Work Plan Template.

Prior to submission of the EMPG Program Work Plan, the applicant must work with the Regional Administrator or designated regional FEMA program manager to identify three to five priority areas which will serve as the focus for EMPG Program-funded investments. The priorities must be mutually agreed to by the applicant and Regional Administrator and should be primarily driven by the THIRA/SPR process – specifically, the outputs from the THIRA/SPR process – and other relevant information sources. Priorities should also reflect those included in each recipient's IPP so that recipients are focusing all investments, projects, and other resources on a common set of priorities. As they select priorities, recipients should consider which capability gaps would be most operationally consequential, must be closed most urgently, and could be meaningfully addressed within the period of performance. Applicants should refer to the EMPG Program NOFO for further guidance on the priority identification process.

Applicants must set at least one performance goal for each priority area that achieves a specific outcome.

Each goal must be specific; measurable; achievable within the period of performance; relevant to the priority area; and have a target date for completion. Applicants must describe how achieving each goal or objective will impact the priority area it supports by the end of the period of performance. Each goal must include an estimate quantifying the extent to which the supporting investments will close capability gaps (e.g. “Increase the number of people who can find and secure long-term housing within 1 year of an incident by 10%”). The new EMPG Program Work Plan Template includes instructions and examples to help guide this process, so that recipients can develop goals that focus on achieving specific outcomes.

The Regional Administrator or designated FEMA Regional Program Manager will ensure that the mutually agreed priorities are fully addressed in the EMPG Program Work Plan. In addition, the EMPG Program Regional Administrator must approve final Work Plans before states may draw down EMPG Program funds. Grant funds will be released upon approval of the state’s final Work Plan.

Following work plan approval, regional EMPG Program managers will work closely with recipients to monitor progress against the Work Plans during the performance period and may request further documentation from the recipients to clarify the projected Work Plan. Further, in accordance with 2 C.F.R. § 200.308 – Revision of budget and program plans, any changes to the approved Work Plan – including changes in project scope and budget changes within any direct cost category exceeding 10 percent of the total award amount – will require advance approval from the Regional Administrator or designated regional FEMA program manager.

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EMPG Program Work Plan Instructions
The EMPG Program Work Plan Template has been updated to support the collection of objective information and quantitative data that will allow FEMA to more effectively measure program effectiveness and investment impacts. This also enables compliance with 2 C.F.R. § 200.301, which requires federal awarding agencies to measure recipient performance to show achievement of program goals and objectives, share lessons learned, improve program outcomes, and foster adoption of promising practices. To this end, the new EMPG Program Guidance and Work Plan requires recipients to link EMPG Program-funded investments to THIRA/SPR results and other relevant materials that inform capability priorities and needs – and to include specific performance measures that will allow FEMA to measure the impact of those investments based on the core capabilities that are addressed.

The new EMPG Program Work Plan Template largely complements the THIRA/SPR process outlined in Comprehensive Preparedness Guide (CPG) 201, Third Edition (CPG 201, v3). As noted in CPG 201, v3, a coordinated approach to track investments, and understanding the return on investment, can help improve the investment effectiveness. Tracking how EMPG Program-funded investments result in specific, quantitative changes in capabilities can help guide communities’ strategic planning considerations and inform resource allocation decisions that will maximize effectiveness in building or sustaining capabilities.

Therefore, applicants are encouraged to refer to CPG 201, v3, along with their most recent THIRA and SPR, when developing their EMPG Program Work Plan.

The Work Plan Template consists of a Grant Investment Strategy; Budget Overview; Grant Activities Outline; Project Activities Outline; Personnel Data Table; Training Data Table; Exercise Data Table; and Detailed Budget. As explained above, the focus of the updates is on improving data collection to better enable measurement of grant outcomes. Therefore, the narrative content is minimized and many of the cells include dropdowns for selecting applicable data. This approach also helps to simplify the Work Plan development process.

Instructions for each Work Plan section are provided below. Additional guidance and instructions are provided in the EMPG Program Work Plan Template.

Grant Investment Strategy
The intent of the Grant Investment Strategy tab of the Work Plan Template is to provide an overview of the state/territory's preparedness investment strategy. It should serve as the foundation for completing the remainder of the Work Plan. It includes separate sections to explain:
• The most recent THIRA/SPR results;
• Significant risks and capability gaps that currently exist; • Resulting preparedness priorities;
• The performance goals associated with each priority area; and, • The anticipated impact of the proposed EMPG Program-funded investments on the identified preparedness priorities.

For the priorities/performance goals section, the applicant should identify the three to five priorities that were mutually agreed to and approved between the Regional Administrator and the state/territory. The reference materials used to identify the priorities should be cited and their relevance explained in this section.

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At least one performance goal should be identified for each priority area. Each goal must be specific, measurable, achievable within the period of performance, relevant to the priority area, and have a target date for completion (i.e., SMART goal). It should describe how achieving each goal will impact the priority area it supports by the end of the period of performance.

Budget Overview
The Budget Overview tab is auto populated based on data entered in the Detailed Budget tab. No data is entered directly into the Budget Overview tab; rather, it summarizes the overall EMPG Program budget entered on the Detailed Budget tab into the standard cost categories, mission areas, and core capabilities, along with the federal and non-federal share for each.

Grant Activities Outline
The Grant Activities Outline is used to capture the proposed EMPG Program-funded projects and link them to the identified priorities, performance goals, and gaps or needs. Coupled with the Project Activities Outline, the Grant Activities Outline supports identification and tracking of EMPG Program-funded project outcomes, which will enable better understanding of the impacts of those investments relative to the performance goals and the associated core capabilities.

The worksheet includes sections that allow the applicant to identify the performance goals that are supported by each project and the milestones that are critical to accomplishing each goal. Additional guidance on performance goals and milestones, including specific examples of each, are provided below.

The worksheet also requires the applicant to explain the objective and anticipated impact of each project relative to the associated priorities, performance goals, and related core capabilities:
• The “Project Objective” should explain what the project will accomplish; specifically, how the project will address the identified gap or need and how it supports one or more of the identified performance goals.
• The “Anticipated Project Impact” should explain the expected project outcome relative to the associated priorities and performance goals.
• The impact statement should include a quantitative estimate of the degree to which the project will contribute to achieving the identified performance goal (see hierarchy example below).

Effective completion of the Grant Activities Outline requires an understanding of the established planning hierarchy. Priorities are at the top of the hierarchy, followed by performance goals that define a clear outcome or end-state and provide the basis for addressing each priority. Project proposals should be identified based on the performance goals. High priority capability gaps or needs identified through the THIRA/SPR process and other assessments are also used to inform project selection and to identify specific project objectives. Project objectives, and accompanying impact statements, should complement the performance goals by including similar outcome-focused metrics, as explained above. Lastly, project activities are identified. Project activities are key components and/or milestones that are critical to successful completion of the project. An example of this hierarchy is provided below:
❖ Priority: Logistics and Supply Chain Management
➢ Performance Goal: Within three years, the [state/territory] will have the capability to identify and mobilize life-sustaining commodities, resources, and services to 10,000 people requiring shelter and 100,000 people requiring food and water, within 24 hours of an incident, and to maintain the distribution system for at least 30 days.

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• Project: Update State Logistics and Distribution Management Plan, and qualify 40 additional personnel for logistics operations in NQS.
o Project Objective/Impact: Increase capacity to identify and mobilize life-sustaining commodities, resources, and services to people requiring shelter, food, and water by 50%, allowing the state to do so for 7,500 people requiring shelter and 75,000 requiring food and water within 24 hours of an incident and maintain that distribution system for at least 30 days.
• Activity/Milestone: Convene cross-discipline working group meeting on May 30, 2021 to review current State Logistics and Distribution Management Plan All EMPG Program-funded investments must be accounted for in the Grant Activities Outline. However, recognizing that some sustainment activities, such as funding of emergency manager salaries, may not align to a specific priority or performance goal, applicants are not required to identify priorities and performance goals for such investments. However, all other portions of the Grant Activities Outline must be completed as a means to justify the applicable sustainment costs.

The various elements of the Grant Activities Outline tab are outlined below, along with basic instructions for completing the required entries. Supplemental guidance and instructions are included in the EMPG Program Work Plan Template.
• Project Name: Provide a descriptive name for each planned project. Examples include “Development of Emergency Function Annexes”, “Development of Earthquake Scenario Loss Estimations”, “Implementation of Statewide Interoperability Plan”, “NIMS Training for Emergency Management Personnel”, “Development of Emergency Preparedness Plan for Individuals with Disabilities”, etc.
• Brief Project Description: Provide further details on the project, particularly where the project name does not sufficiently describe the project.
• Gap or Need Addressed: Briefly describe the specific gap or need addressed by the project. • Project Objective: Explain how the project addresses the identified gap or need, and how it supports the identified priorities and performance goals. • Anticipated Project Impact: Provide a quantitative estimate of the degree to which the project will contribute to achieving the identified performance goal. • Build or Sustain: Select whether the project will build or maintain/sustain the identified core capability(ies).
• Mission Area: Select the appropriate preparedness mission area supported by the project:

Prevention, Protection, Mitigation, Response, or Recovery. Multiple mission areas can be selected to accommodate projects that span multiple mission areas. For example, some plans and exercises may involve multiple mission areas.
• RA Agreed Upon Priority Area: The applicant selects from a drop-down list that includes the 32 core capabilities, the National Priority Areas identified in the NOFO, and other priorities identified in the latest version of the National Preparedness Report. • Emergency Management Functions: This field is optional. It is made available to those states/territories that are Emergency Management Accreditation Program (EMAP) accredited and want to continue tracking their investments by Emergency Management Function (EMF). Select from a drop-down list the EMFs supported by the project. • Core Capabilities: Select up to three (primary, secondary, and tertiary) core capabilities supported by the project.
• POETE Category: Select whether the project relates to Planning, Organization, Equipment, Training, or Exercises. Multiple POETE categories can be selected to accommodate projects that City Council 18 – 204 8/16/2022
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span multiple categories. For example, building capability often involves a combination of planning, training, and exercise activities.
• Performance Goals: List the performance goals supported by the project. As explained in the Grant Investment Strategy section above, each goal must be specific, measurable, achievable within the period of performance, relevant to the priority area, and have a target date for completion (i.e., SMART goal).
• Milestones: Identify key project activities and other deliverables or outputs that are critical to accomplishing the identified performance goal and can be tracked to demonstrate progress toward achieving the performance goal.

Project Activities Outline
The Project Activities Outline tab includes the basic elements of a project management plan. It is used to capture key project activities to include both EMPG Program-funded activities that are critical to accomplishing the project objectives as identified in the Grant Activities Outline, as well as activities that are essential to effective project management. Thus, this product can be used as a basic project management tool to plan and track the progress of key project activities. Key project activities should generally correlate with the “Milestones” identified for each project included in the Grant Activities Outline.

The Project Activities Outline enables the applicant to identify key project activities by year/quarter, the associated project management step (Initiate, Plan, Execute, Control, or Closeout), and challenges or risks that may affect successful completion of the activity as planned. It also allows for the tracking of project progress by including estimated and actual completion dates for each activity and the ability to enter quarterly accomplishments relating to the activity.

Personnel Data Table
To facilitate consistent data reporting and performance measures collection, the EMPG Program Work Plan Template includes a Personnel Data Table to provide an accounting of state, local, tribal, and territory personnel supported with EMPG Program funds. This will assist in documenting the extent to which EMPG Program funding supports personnel at the state level. This should be submitted with the EMPG Program Work Plan and a roster of EMPG Program-funded personnel. The roster of EMPG Program-funded personnel should be updated only if numbers change more than 10 percent during the award period of performance.

Personnel Data Table Template
Personnel Metrics Data
EMPG Program funds (federal and match) allocated towards state/territory emergency management personnel
EMPG Program funds (federal and match) allocated towards non-state emergency management personnel (local, tribal)
Total Number of state/territory emergency management full-time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program) Number of state/territory emergency management FTE personnel supported (fully or partially) by the EMPG Program
Total number of state/territory, local, and tribal emergency management personnel supported (fully or partially) by the EMPG Program
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Personnel Data Table Definitions
• Line 1 – The total of all EMPG Program funds (federal and match) allocated for state/territory emergency management personnel. This should exclude local and tribal personnel. • Line 2 – All EMPG Program funds (federal and match) allocated towards non-state/territory emergency management personnel (i.e., local, tribal personnel). This excludes state/territory personnel.
• Line 3 – Total number of state emergency management full-time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program). This should include only funded positions. Vacant positions should be excluded.
• Line 4 – Number of state/territory emergency management FTE personnel supported by the EMPG Program. This excludes local and tribal personnel.
• Line 5 – Total number of state, territory, local, and tribal emergency management personnel funded (fully or partially) by the EMPG Program. This number provides the "Universe" number for the training and exercise templates.

Training Data Table
To facilitate consistent data reporting and performance measures collection, the EMPG Program Work Plan Template includes a Training Data Table. This table should reflect training activities outlined in the multiyear IPP and completion of required EMPG Program training courses. The data requirements are defined in the section below. Upon entering the project name or number in the template, the cells located to the right of the main Training Data Table will auto-populate the associated priority, mission area, capabilities, and functional areas based on the project data included in the Grant Activities Outline.

Training Data Table Template
Training Data Table Definitions
• Column 1 – Project Name from the Grant Activities Outline • Column 2 – Project Number from the Grant Activities Outline • Column 3 – Name of training course
• Column 4 – Is the course required of EMPG Program-funded personnel? • Column 5 – Number of personnel trained
• Column 6 – Total number of SLTT EMPG Program-funded personnel (Universe) • Column 7 – Total number of SLTT EMPG Program-funded personnel that completed the course • Column 8 – Is the training identified in the multi-year IPP? Project
Name
Project
Number
Name of
Training
EMPG
Program
Required
Training?
(Y/N)
Number
of
Personnel
Trained
Total
Number of

SLTT EMPG
Program
Funded
Personnel
Total Number of

SLTT EMPG
Program Funded
Personnel that
completed the
Course
Training
Identified
in IPP
(Y/N)
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Exercise Data Table
To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG Program requirements and/or exercises conducted in whole or part with EMPG Program funds. The data requirements are defined in the section below. Upon entering the project name or number in the template, the cells located to the right of the main Exercise Data Table will auto-populate the associated priority, mission area, capabilities, and functional areas based on the project data included in the Grant Activities Outline.

Exercise Data Table Template
Exercise Data Table Definitions:
• Column 1 – Project Name from the Grant Activities Outline • Column 2 – Project Number from the Grant Activities Outline • Column 3 – Exercise Name
• Column 4 – Date of exercise
• Column 5 – Type of exercise (e.g., seminar, workshop, tabletop, games, drills, functional, and/or full-scale)
• Column 6 – Is the exercise part of a progressive exercise series? • Column 7 – Total number of SLTT EMPG Program Funded Personnel • Column 8 – Total number of SLTT EMPG Program Funded Personnel Participating in Exercise • Column 9 – Is exercise identified in the multi-year IPP? • Column 10– When was the AAR submitted to FEMA?
Detailed Budget
The Detailed Budget tab enables a full accounting of all project activity costs. It also enables a breakdown of the full EMPG Program budget into various categories, including: Mission Area, Core Capabilities, National Priority Area, RA Agreed Upon Priority, EMF, and POETE Category. The cells for each of these categories are automatically populated based on the project number as identified in the Grant Activities Outline.

Project Management Lifecycle
Steps Description Process
Initiate The authorization to begin work or
resume work on any particular activity.

Involves preparing for, assembling resources
and getting work started. May apply to any
Project
Name
Project
Number
Name of
Exercise
Scheduled
Date
Type of
Exercise
Exercise
Fulfills
Progressive
Exercise
Requirement
(Y/N)
Total
Number
of SLTT
EMPG
Program
Funded
Personnel
Number of

SLTT EMPG
Program
Funded
Personnel
that
Participated
Exercise
Identified
in IPP
(Y/N)
Date AAR
submitted
to FEMA
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Steps Description Process
level, e.g. program, project, phase, activity,
task.

Plan
The purposes of establishing, at an early
date, the parameters of the project that is
going to be worked on as well as to try to
delineate any specifics and/or any
peculiarities to the project as a whole
and/or any specific phases of the project.

Involves working out and extending the
theoretical, practical, and/or useful
application of an idea, concept, or
preliminary design. This also involves a plan
for moving a project concept to a viable
project.

Execute
The period within the project lifecycle
during which the actual work of creating
the project’s deliverables is carried out.

Involves directing, accomplishing,
managing, and completing all phases and
aspects of work for a given project.

Control
A mechanism which reacts to the current
project status in order to ensure
accomplishment of project objectives.

This involves planning, measuring,
monitoring, and taking corrective action
based on the results of the monitoring.

Involves exercising corrective action as
necessary to yield a required outcome
consequent upon monitoring performance.

Or, the process of comparing actual
performance with planned performance,
analyzing variances, evaluating possible
alternatives, and taking appropriate correct
action as needed.

Close Out
The completion of all work on a project.

Can also refer to completion of a phase
of the project.

Involves formally terminating and
concluding all tasks, activities, and
component parts of a particular project, or
phase of a project.

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FIPS # VS# Subaward #
1a. DUNS#:
2a. DUNS#:
92702-1981
(City) (Zip+4)
92702-1981
(Zip+4)
July 1, 2021 June 30, 2023
(Start Date) (End Date)
%
Item
Number
Grant
Year
Fund
Source A. State B. Federal C. Total D. Cash Match E. In-Kind Match F. Total Match G. Total Cost

8. 2021 EMPG $51,210 $51,210 $51,210 $102,420

9. $0 $0

10. $0 $0

11. $0 $0

12. $0 $0
Total Project Cost $0 $51,210 $51,210 $51,210 $0 $51,210 $102,420 Name: Title:

City: Zip Code+4: 92702-1981
Signature: Date:
(Date) (Date)

1. Subrecipient: County of Orange 009657602

2. Implementing Agency: City of Santa Ana 083153247
The California Governor's Office of Emergency Services (Cal OES) hereby makes a Grant Subaward of funds to the following:
(Cal OES Use Only)
Cal OES #

CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES

GRANT SUBAWARD FACE SHEET
Santa Ana
Santa Ana Orange

3. Implementing Agency Address:

5. Disaster/Program Title: Emergency Management Performance Grant 60 Civic Center Plaza
(Street)

7. Indirect Cost Rate: (Select) Federally Approved ICR (if applicable):

4. Location of Project:
(City) (County)

6. Performance
Period: to
(FOR Cal OES USE ONLY)
I hereby certify upon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above. (Cal OES Fiscal Officer) (Cal OES Director or Designee)

13. Certification - This Grant Subaward consists of this title page, the application for the grant, which is attached and made a part hereof, and the Assurances/Certifications. I hereby certify I am vested with the authority to enter into this Grant Subaward, and have the approval of the City/County Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subrecipient certifies that all funds received pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Subaward. The Subrecipient accepts this Grant Subaward and agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal program guidelines, and Cal OES policy and program guidance. The Subrecipient further agrees that the allocation of funds may be contingent on the enactment of the State Budget.

14. CA Public Records Act - Grant applications are subject to the California Public Records Act, Government Code section 6250 et seq. Do not put any personally identifiable information or private information on this application. If you believe that any of the information you are putting on this application is exempt from the Public Records Act, please attach a statement that indicates what portions of the application and the basis for the exemption. Your statement that the information is not subject to the Public Records Act will not guarantee that the information will not be disclosed.

15. Official Authorized to Sign for Subrecipient:

Kristine Ridge City Manager
Santa Ana

16. Federal Employer ID Number:

Payment Mailing Address: 60 Civic Center Plaza PO Box 1981 Attachment B
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Authorized Agent
Name Title Mailing Address City State Zip Phone Email
Kristine Ridge City Manager 20 Civic Center Drive Santa Ana CA 92701 714-647-5200 [email protected] Contact
Name Title Mailing Address City State Zip Phone Email
Steve Rhyner Emergency Operations
Coordinator 60 Civic Center Plaza PO Box 1981 Santa Ana CA 92702 714-647-5315 [email protected] NOTE: Individuals listed above must be designated, by name or title, in the Governing Body Resolution (GBR) to be considered an Authorized Agent.

AUTHORIZED AGENT AND CONTACT INFORMATION
County of Orange
City Council 18 – 210 8/16/2022
State
Goals
Direct /
Subaward Project ProjectTitle
Project
Description
Solution
Area
Solution Area
Sub-Category
Core
Capabilities
Capability
Building
Deployable /
Shareable
Total
Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Expenditures
To Date
(w/Match)
Remaining
Balance
Percent
Expended
$51,210 $51,210
Goal #1 Subaward H EOC Policy Room Display
Monitors
Purchase and install two large screen monitors, audio
spea kers and control panel to make the EOC Policy
Room situational information displays interoperable
with all other EOC rooms
Equipment 04 - Information
Technology
Operational
Coordination Build N/A 24,900 24,900
Goal #5 Subaward H Mass Care Shelter
Supplies - Cots Purchase 100 cots for mass care shelter sites. Equipment 21 - Other Authorized Equipment
Mass Care
Services Build Both 8,187 8,187
Goal #1 Subaward H EOC Display System
Workstations
Purchase two computer workstations to house
computers, monitors and navigation equipment to
control situational information displays in all EOC
rooms
Equipment 21 - Other Authorized
Equipment
Operational
Coordination Build N/A 13,023 13,023
Goal #5 Subaward H Mass Care Shelter
Supplies - Carts
Purchase 4 lockable, portable storage carts to store 100 cots for mass care shelter sites. Equipment 21 - Other Authorized Equipment Mass Care
Services Build Both 5,100 5,100

PROJECT LEDGER
County of Orange Request Type Initial Application
July 1, 2021
June 30, 2023
POP Start Date
POP End Date
Cal OES Approval
City Council 18 – 211 8/16/2022
Project Equipment Description
(include Qty.) AEL# AEL
Title

SAFECOM
Compliance
Solution Area
Sub-Category
Invoice
Number Vendor ID Tag
Number
% of Federal Funds
Used in the
Purchase
Condition &
Disposition
Deployed
Location
Acquisition
Date
Noncompetitive
Procurement
over $250k
Hold
Trigger
Approval
Date
Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
$51,210 $51,210
H
Purchase and install two large screen
monitors, two audio spea kers and
control panel to make the EOC Policy
Room situational information displays
interoperable with all other EOC rooms.
04MD-03-
DISP, Display, Video N/A 04 - Information Technology 24,900 24,900 H Purchase 100 cots for mass care shelter
sites.
09ME-01-
COTS. 09MS-03-
HYGP
Cots N/A
21 - Other
Authorized
Equipment
8,187 8,187
H
Purchase two computer workstations to
house computers, monitors and
navigation equipment to control
situational information displays in all EOC
rooms
21GN-00-
OCEQ
Equipment and
Supplies, EOCs N/A
21 - Other
Authorized
Equipment
13,023 13,023
H
Purc hase 4 lockable, portable storage
carts to store 100 cots for mass care
shelter sites
19MH-00-
CONT
Containers,
Storage N/A 19 - CBRNE Logistical
Support Equipment 5,100 5,100
Ledger Type Initial Application

EQUIPMENT
County of Orange
July 1, 2021
June 30, 2023
Cal OES Approval
POP Start Date
POP End Date
City Council 18 – 212 8/16/2022
Project Direct /
Subaward Project Title Match Description SolutionArea
Solution Area
Sub-Category
Type of
Match
Total
Budgeted
Match
Previously
Expended
Match
Current
Match
Total Match
Expended
Remaining
Balance
Percentage
Expended
$51,210 $51,210
H Subaward EOC Policy Room Display Monitors 100% Cash Match from local funds for EM personnel costs. Organization Staffing Cash Match 24,900 24,900 H Subaward Mass Care Shelter Supplies - Cots 100% Cash Match from local funds for EM personnel costs. Organization Staffing Cash Match 8,187 8,187 H Subaward EOC Display System Workstations 100% Cash Match from local funds for EM personnel costs. Organization Staffing Cash Match 13,023 13,023 H Subaward Mass Care Shelter Supplies - Carts 100% Cash Match from local funds for EM personnel costs. Organization Staffing Cash Match 5,100 5,100 Initial Application
July 1, 2021
June 30, 2023
Request Type
POP Start Date
POP End Date
Cal OES Approval
MATCH
County of Orange
City Council 18 – 213 8/16/2022
ALN:
through
Signature of Authorized Agent Date
Printed Name of Authorized Agent Title of Authorized Agent Kristine Ridge City Manager
(Request #) (Amount This Request)
Under Penalty of Perjury, I certify that:

I am the duly authorized officer of the claimant herein. This claim is true, correct, and all expenditures were made in accordance with applicable laws, rules, regulations, and grant conditions and assurances.

Statement of Certification - Authorized Agent
By signing this report, I certify, to the best of my knowledge and belief, that the report is true, complete, and accurate, and that the expenditures, disbursements, and cash receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729–3730 and 3801–3812).
(Beginning Performance Period Date) (Ending Performance Period Date)

AUTHORIZED AGENT
NOTE: Unauthorized alterations will delay the approval of this request.

County of Orange EMPG 97.042
Supporting Information for Application, Modification, or Request for Federal Funds This claim is for costs incurred within the grant performance period.

This request is for a/an: Initial Application July 1, 2021 June 30, 2023 City Council 18 – 214 8/16/2022
Fiscal Year 2021
Emergency Management
Performance Grant (EMPG) and American
Rescue Plan Act (EMPG-ARPA)
California Supplement to the
Federal Notice of Funding Opportunity
September 2021
Attachment C
City Council 18 – 215 8/16/2022
SECTION 1—OVERVIEW… ……………………………………………………………………….1
Federal Program Announcement
Information Bulletins
Purpose of the California Supplement
Key Changes to the FY 2021 Emergency Management Performance Grant Grant Management Memoranda
Eligible Subrecipients
Tribal Allocations
Subrecipient Allocations
Supplanting
Public/Private Organizations
Debarred/Suspended Parties
SECTION 2—FEDERAL CHANGES AND INITIATIVES ....................................................... 4 FY 2021 Program Priorities
National Campaigns and Programs
NIMS Implementation
Match Requirement
Management and Administration
Indirect Costs
Equipment Typing/Identification and Use
Equipment Maintenance and Sustainment
Small Unmanned Aircraft Systems
Telecommunications Equipment or Services Prohibitions
Emergency Operations Plans
Conflict of Interest
SECTION 3—STATE CHANGES AND INITIATIVES .......................................................... 10 California Homeland Security Strategy Goals
“On Behalf Of”
Public Alert and Warning
SECTION 4—REQUIRED STATE APPLICATION COMPONENTS ...................................... 11 Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Application Attachments
Standard Assurances
Governing Body Resolution
Authorized Agent Information
SECTION 5—THE STATE APPLICATION PROCESS......................................................... 14 Application Submission
Late or Incomplete Application
EMPG Contact Information
Subaward Approval
City Council 18 – 216 8/16/2022
SECTION 6—POST AWARD REQUIREMENTS ................................................................ 16 Payment Request Process
Semi-Annual Drawdown Requirements
Modifications
Training Requirements
Exercises, Improvement Plans and After Action Reporting Procurement Standards and Written Procedures
Procurement Thresholds
Noncompetitive Procurements
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 2021 EMPG Allocations
B – FY 2021 EMPG-ARPA Allocations
C – FY 2021 EMPG-Timeline
D – FY 2021 EMPG Program Checklist
City Council 18 – 217 8/16/2022
Section 1 ‒ Overview | 2021
Federal Program
Announcement
In February 2021, the U.S. Department of Homeland
Security (DHS)/Federal Emergency Management
Agency (FEMA) issued the Fiscal Year (FY) 2021
Emergency Management Preparedness Grant (EMPG),
Notice of Funding Opportunity (NOFO) and FEMA
Preparedness Grants Manual. An updated NOFO was
released in April, 2021 to reflect supplemental funding provided by the American Rescue Plan Act (ARPA).

Subrecipients must follow the programmatic
requirements in the NOFO, FEMA Preparedness Grants
Manual, and the applicable provisions of the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located in Title 2,
Code of Federal Regulations (C.F.R.) Part 200.

Information Bulletins DHS issues Information Bulletins (IBs) to provide updates, clarification, and new requirements throughout the life of the grant.

Purpose of the
California Supplement
The FY 2021 EMPG and EMPG-ARPA California
Supplement to the NOFO (State Supplement) is
intended to complement, rather than replace, the
NOFO and the FEMA Preparedness Grants Manual. All
references to the FY 2021 EMPG Program in this State
Supplement, also extend to the EMPG-ARPA Program.

Applicants are highly encouraged to thoroughly read
the NOFO and the Preparedness Grants Manual
before referring to the State Supplement. The State
Supplement will emphasize differences between the
FY 2020 and FY 2021 EMPG and highlight additional
California policies and requirements applicable to the
FY 2021 EMPG .

City Council 18 – 218 8/16/2022
Key Changes to the
FY 2021 EMPG
• Additional funding is provided to EMPG under the
American Rescue Plan Act (ARPA).
• The FY 2021 EMPG Financial Management Forms
Workbook (FMFW) has been updated.
• The Integrated Preparedness Plan (IPP) format,
previously known as the Multi-Year Training and
Exercise Plan (MYTEP), will be required for the
September 30, 2022, submission.
• FEMA Independent Study training course 230e has
been updated.
• The Office of Management and Budget (OMB) published
revisions to various sections of Title 2 of the Code of Federal Regulations (2 C.F.R.) as they relate to federal financial assistance. While some of the revisions were
effective on August 13, 2020, most of the changes took
effect on November 12, 2020. We highly encourage
subrecipients to familiarize themselves with these
changes. Information on all 2 C.F.R. revisions can be found at the Federal Register’s Guidance for Grants and
Agreements webpage.

Grants Management
Memoranda
Cal OES issues Grants Management Memoranda
(GMMs) which provide additional information and
requirements regarding EMPG funds.

Eligible Subrecipients Eligible Applicants, referred to as Subrecipients, include Counties/Operational Areas (OAs), and federallyrecognized tribes located in California.

Tribal Allocations The NOFO strongly encourages Cal OES to provide EMPG 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.

Subrecipient
Allocations
FY 2021 EMPG and EMPG-ARPA Subrecipient final
allocations are included in Attachments A and B.

Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been
appropriated for the same purpose. Subrecipients may
City Council 18 – 219 8/16/2022
Supplanting Cont. be required to provide supporting documentation that certifies a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt
of federal funds. Supplanting will result in the
disallowance of any activity associated with this
improper use of federal grant funds.

Public/Private
Organizations
Subrecipients may contract with any other public or
private organizations to perform eligible activities on approved EMPG 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
prior to making any subaward or contract funded by
EMPG funds, and must be prepared to present
supporting documentation to monitors/auditors.

Before entering into a Grant Subaward, the
Subrecipient must notify Cal OES if it knows if any of the principals under the subaward fall under one or more
of the four criteria listed at 2 C.F.R. § 180.335. The rule also applies to Subrecipients who pass-through funding
to other local entities.

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.

City Council 18 – 220 8/16/2022
Section 2 ‒ Federal Changes and Initiatives | 2021
FY 2021 Program
Priorities
DHS/FEMA annually publishes the National Preparedness
Report (NPR) to report national progress in building,
sustaining, and delivering the core capabilities outlined in the goal of a secure and resilient nation. This analysis provides a national perspective on critical preparedness trends for whole community partners to use to inform
program priorities, allocate resources, and communicate with stakeholders about issues of concern.

In developing applications for the FY 2021 EMPG Program, Subrecipients should fund projects that address areas for improvement as they relate to emergency management
capabilities, including:
• Logistics – Distribution Management Planning;
• Evacuation Plan/Annex;
• Disaster Financial Management;
• Catastrophic Disaster Housing; and
• Resilient Communications
In addition, EMPG Subrecipients should consider funding projects that fall into the state, regional, and national priority areas:
• Mass Care
• Housing
• Economic Recovery
DHS/FEMA does not prescribe a minimum funding amount
for these priorities. However, Subrecipients are required to support local, regional, state, and national efforts in achieving the desired outcomes of these priorities.

National
Campaigns and
Programs
Whole Community Preparedness – Subrecipients should
engage with the whole community to advance individual
and community preparedness and to work as a nation to
build and sustain resilience. In doing so, Subrecipients are encouraged to consider the needs of individuals with access and functional needs and limited English proficiency in the activities and projects funded by the grant.

Subrecipients should utilize established best practices for whole community inclusion and engage with stakeholders to City Council 18 – 221 8/16/2022
National
Campaigns and
Programs Cont.
advance individual and jurisdictional preparedness and
resilience. Subrecipients are encouraged to consider the necessities of all Californians in the activities and projects funded by the grant including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuasl with lower economic capacity, and other underserved populations.

Active Shooter Preparedness – DHS has developed a
comprehensive Active Shooter Preparedness website, which strives to enhance national preparedness through a wholecommunity approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. Subrecipients are encouraged to review the referenced active shooter
resources and evaluate their preparedness needs.

Soft Targets and Crowded Places – States, territories, Urban Areas, and public and private sector partners are
encouraged to identify security gaps and build capabilities that address security needs and challenges related to
protecting locations or environments that are easily
accessible to large numbers of people on a predictable or semi-predictable basis that have limited security or
protective measures in place, including town centers,
shopping malls, open-air venues, outside hard
targets/venues perimeters, and other places of meeting and gathering. For more information, please see DHS’s
Hometown Security Program.

Community Lifelines – FEMA created Community Lifelines to reframe incident information and impacts using plain
language and unity of effort to enable the integration of preparedness efforts, existing plans, and identifies unmet needs to better anticipate response requirements. Additional information may be found at the Community Lifelines
Implementation Toolkit website.

Strategic Framework for Countering Terrorism and Targeted Violence – DHS adopted the DHS Strategic Framework for
Countering Terrorism and Targeted Violence which explains how the department will use the tools and expertise that have protected and strengthened the country from foreign City Council 18 – 222 8/16/2022
National
Campaigns and
Programs Cont.
terrorist organizations to address the evolving challenges of today.

NIMS
Implementation
Prior to allocation of any federal preparedness awards, Subrecipients must ensure and maintain adoption and
implementation of the National Incident Management
System (NIMS).

Match
Requirement
The FY 2021 EMPG requires a dollar-for-dollar match. This can be cash or third-party in-kind contributions. Refer to 2 C.F.R. § 200.306 for specific details. Utilizing the FMFW Match Tab, Subrecipients will indicate the appropriate Solution Area and Solution Area Subcategory that accurately represents the specific activity(ies) and cost(s) used to meet the match requirement under the FY 2021 EMPG subaward.

Contributions from the Subrecipient should be specifically identified in the match description located on the FMFW Match Tab. The non-federal match contributions have the same eligibility requirements as the federal share. For additional match guidance, see EMPG Clarifying Guidance IB 458.

Management
and
Administration
The Management and Administration (M&A) allowance for
Subrecipients is set at a maximum of 5 percent for the
FY 2021 EMPG.

Indirect Costs Indirect costs are allowable under the FY 2021 EMPG Program 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% de
minimis indirect cost rate based on Modified Total Direct Costs as described in 2 C.F.R. § 200.1 and Subpart E.

City Council 18 – 223 8/16/2022
Indirect Costs
Cont.

Indirect costs are in addition to the M&A allowance and must be included in the Grant Award application as a
“Project” and reflected in the FMFW on the Indirect Cost Tab if being claimed under the award.

Indirect costs must be 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 Modified Total Direct Costs.

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.

Equipment
Typing/
Identification
and Use
Allowable EMPG equipment is listed on the FEMA Authorized Equipment List (AEL) website, and includes equipment from the following AEL Sections:
• PPE (Category 1)
• Information Technology (Category 4)
• Cybersecurity Enhancement Equipment (Category 5)
• Interoperable Communication Equipment (Category 6)
• Detection Equipment (Category 7)
• Power Equipment (Category 10)
• Chemical, Biological, Radiological, Nuclear, and
Explosive (CBRNE) Reference Materials (Category 11)
• CBRNE Incident Response Vehicles (Category 12)
• Physical Security Enhancement Equipment (Category 14) • CBRNE Logistical Support Equipment (Category 19)
• Other Authorized Equipment (Section 21)
Subrecipients should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances.

Large equipment purchases must be identified and
explained. For more information regarding property
management standards for equipment, refer to 2 C.F.R.

City Council 18 – 224 8/16/2022
Equipment
Typing/
Identification
and Use Cont.
including § 200.310, § 200.313, and § 200.316.

Subrecipients that allocate FY 2021 EMPG funds for
equipment are required to type and identify the capability associated with that equipment. Also, per FEMA policy, the purchase of weapons and weapon accessories are not
allowed with EMPG funds. Special rules apply to critical emergency supplies; refer to Appendix H of the FEMA
Preparedness Grants Manual for additional information.

Equipment
Maintenance
and Sustainment
Use of EMPG 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 Policy FP 205-402-125-1.

Small
Unmanned
Aircraft Systems
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. Reference the Presidential
Memorandum: Promoting Economic Competitiveness While
Safeguarding Privacy, Civil Rights, and Civil Liberties in Domestic Use of Unmanned Aircraft Systems for additional information.

Telecommunications Equipment
or Services
Prohibitions
Effective August 13, 2020, DHS/FEMA Recipients and
Subrecipients may not use any FEMA funds under open or
new awards to:

1. Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services
as a substantial or essential component of any system, or as critical technology of any system;

2. Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses
covered telecommunications equipment or services as a
substantial or essential component of any system, or as critical technology of any system; or

3. Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services
as a substantial or essential component of any system, or as critical technology as part of any system.

City Council 18 – 225 8/16/2022
Telecommunications Equipment
or Services
Prohibitions Cont.

This prohibition is mandated by Section 889 of the John S.

McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018). FEMA
Grants Program Directorate issued a memo on
August 3, 2020, with further guidance, titled Prohibitions on Expending FEMA Award Funds for Covered
Telecommunications Equipment or Services (Interim).

Emergency
Operations Plans
Subrecipients should update their Emergency Operations
Plan (EOP) at least once every two years to remain
compliant with the Comprehensive Preparedness Guide 101 version 2.0. Subrecipients are highly encouraged to include an evacuation plan or annex as part of their EOP as well as plans to exercise and validate the evacuation plan and
capabilities.

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

Subrecipients must disclose to their Program Representative, in writing, any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations, which may arise during the administration of the EMPG
subaward within five days of learning of the conflict of interest.

City Council 18 – 226 8/16/2022
Section 3 ‒ State Changes and Initiatives | 2021
California
Homeland
Security Strategy
Goals
The State has prioritized the following California Homeland Security Strategy Goals for the FY 2021 subawards:

1. Enhance Information Collection, Analysis, and Sharing, in Support of Public Safety Operations Across California;

2. Protect Critical Infrastructure and Key Resources From All Threats and Hazards;

3. Strengthen Security and Preparedness Across
Cyberspace;

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

5. Enhance Community Preparedness;

6. Enhance Multi-Jurisdictional/Inter-Jurisdictional AllHazards Incident Catastrophic Planning, Response, and Recovery Capabilities;

7. Improve Medical and Health Capabilities;

8. Enhance Incident Recovery Capabilities;

9. Strengthen Food and Agriculture Preparedness;

10. Enhance Homeland Security Exercise, Evaluation, and Training Programs; and

11. Protect Against Effects of Climate Change
“On Behalf Of” Cal OES may, in conjunction with local approval authorities, designate funds “on behalf of” local entities who choose to decline or fail to utilize their subaward in a timely manner.

Public Alert and
Warning
Cal OES encourages Subrecipients to consider 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.

City Council 18 – 227 8/16/2022
Section 4 ‒ Required State Application Components | 2021 Financial
Management
Forms
Workbook
The FY 2021 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 Agent Contact Information – Provides the
contact information of Authorized Agents (AA), delegated via the Governing Body Resolution (GBR) or Signature
Authorization Form, including staff related to grant activities.

More than one person is recommended for designation as
the AA; in the absence of an AA, an alternate AA can sign documents.

Project Ledger – The Project Ledger is used in the
application process to submit funding information and is used for submitting cash requests and Grant Subaward
Modifications, and assists with completion of the Biannual Strategy Implementation Report (BSIR).

Planning Tab – Provides detailed information on grantfunded planning activities with a final product identified.

Organization Tab – Provides detailed information on grantfunded organizational activities.

Equipment Tab – Detailed information must be provided
under the equipment description for all grant-funded
equipment. AEL numbers must be included for all items of equipment. Always refer to the AEL for a list of allowable equipment and conditions, if any.

Training Tab – Provides detailed information on grantfunded training activities. All training activities must receive Cal OES approval prior to starting the event, including a Training Feedback number. The Training Request Form may be obtained on the Cal OES website.

Exercise Tab – Provides detailed information on grantfunded exercises.

City Council 18 – 228 8/16/2022
Financial
Management
Forms Workbook
Cont.

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

Indirect Costs Tab – Provides information on indirect costs.

Consultant-Contractor Tab – Provides detailed information on grant-funded consultants, and documents
maintenance and sustainment contracts and activities on grant eligible items/equipment.

Personnel Tab – Provides detailed information on grantfunded personnel activities.

Match Tab – Provides detailed information on match
activities.

Authorized Agent Page – The Authorized Agent (AA) Page
must be submitted with the application, all cash requests, and Grant Subaward Modifications. The AA page must
include a valid signature on file with Cal OES and the date.

Subrecipient
Grants
Management
Assessment
Per 2 C.F.R. § 200.332, Cal OES is required to evaluate the risk of non-compliance with federal statutes, regulations, and grant terms and conditions posed by each
Subrecipient of pass-through funding. The Subrecipient
Grants Management Assessment contains questions
related to a Subrecipient 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 Subrecipient’s grant
application.

Application
Attachments
Indirect Cost Rate Agreement – If claiming indirect costs at a federally-approved rate, please provide a copy of the approved Indirect Cost Rate Agreement.

Federal Funding Accountability and Transparency Act
(FFATA) Financial Disclosure – Use the FFATA Financial
Disclosure to provide information required by the Federal Funding Accountability and Transparency Act of 2006.

City Council 18 – 229 8/16/2022
Application
Attachments
Cont.

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.

Standard
Assurances
The Standard Assurances list the requirements to which the Subrecipients will be held accountable. All Applicants will be required to submit a signed original of the FY 2021
Standard Assurances as part of their FY 2021 EMPG
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.

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 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 2021, FY 2022, FY 2023); and
• Adheres to any necessary elements required by local
protocols, rules, etc., if applicable.

Resolutions that only identify a single grant program will only be valid for that single program. Resolutions that do not identify applicable grant years will only be valid for the grant year in which the resolution was submitted.

Authorized
Agent
Information
For each person or position appointed by the Governing
Body, identify the individual in the AA and Contact
Information page 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.

City Council 18 – 230 8/16/2022
Authorized
Agent
Information
Cont.

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.

City Council 18 – 231 8/16/2022
Section 5 ‒ The State Application Process | 2021
Application
Submission
Subrecipients must submit an electronic copy of their
completed FMFW to their Program Representative for
review no later than fourteen calendar days before the
final Application due date. After the application is
approved, all electronic copies of the FMFW, along with the required documents must be emailed, with original or electronic signatures, by the application due date. During the application process, if it is determined all allocated funds cannot be expended by the end of the period of
performance, inform your Program Representative as soon as possible. The completed application documents should be received by Cal OES no later than the date provided in the FY 2021 EMPG Timeline, referenced as Attachment C.

Late or
Incomplete
Application
Late or incomplete applications may be denied. If an
application is incomplete, the Program Representative
may request additional information. Requests for late
submission of applications must be made in writing to the Program Representative prior to the application due date.

Cal OES has sole discretion to accept or reject a late or incomplete grant application.

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

California Governor’s Office of Emergency Services
ATTN: Grants Management (Building E)
Emergency Management Performance Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Ronak Patel – Region III (916) 845-8124
Bryan Reich – Region I & VI (916) 845-8794
Lauren Swearengin – Region IV & V (916) 845-8950
Yer Yang – Region II (916) 845-8468
Subaward
Approval
Subrecipients will receive a formal notification of award.

Subrecipient Subaward letters must be signed and the
original be returned to Cal OES within 20 calendar days.

Once the completed application along with the signed
subaward letter is received and approved, reimbursement of eligible subaward expenditures may be requested using the Cal OES FMFW.

City Council 18 – 232 8/16/2022
Section 6 ‒ Post Award Requirements | 2021
Payment Request
Process
To request a cash reimbursement of EMPG 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.

Semi-Annual
Drawdown
Requirements
All Subrecipients should be reporting expenditures and
requesting funds at least semi-annually throughout the
period of performance. Semi-annual drawdowns should
occur in March and October of each calendar year
following final approval of the subaward application, with the exception of the final reimbursement 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.

Modifications Post award budget, scope, and time modifications must be requested using the Cal OES EMPG FMFW, 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.

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 a
document attached to the transmittal e-mail. Refer to
GMM 2018-17 for additional information regarding
modification requests.

City Council 18 – 233 8/16/2022
Training
Requirements
Training activities supported with EMPG Program funds
should align to NPG core capabilities identified in each Subrecipient’s Training and Exercise Plan. Subrecipients must obtain a Training Feedback Number from Cal OES 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. Subrecipients must complete a Training Request Form and submit it electronically to
Cal OES.

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

All EMPG-funded personnel, including M&A staff, and any staff being used for match, must complete the following training courses. Final reimbursement of personnel salaries will not be approved until all training requirements have been met. Proof of completion of the training requirements must be kept on file by the Subrecipient and be made available for review upon request. When seeking approval of nonDHS/FEMA developed courses, course materials must be submitted with the approval requests. Conditional approvals are not offered.

EMPG TRAINING
IS 100 (any version), Introduction to Incident Command
System (ICS)
IS 200 (any version), ICS for Single Resources and Initial Action Incident
IS 700 (any version), National Incident Management System, An Introduction
IS 800 (any version), National Response Framework, An
Introduction
IS 120.c An Introduction to Exercises
IS 230.e Fundamentals of Emergency Management
City Council 18 – 234 8/16/2022
Training
Requirements
Cont.

IS 235.c Emergency Planning
IS 240.b Leadership and Influence
IS 241.b Decision Making and Problem Solving
IS 242.b Effective Communication
IS 244.b Developing and Managing Volunteers
In the event that any of the listed courses have been
updated and the required version is no longer available, it is acceptable to take the updated course in place of the
listed course (i.e., since IS-120.a has been replaced with IS-120.c, the latter may be used in the place of the original course). The courses listed above are the minimum
accepted versions for FY 2021 EMPG.

Training activities should align to a current MYTEP, developed through an annual IPP Workshop. The training should help build core capabilities and fill gaps identified in real-world incidents and exercises. Further guidance can be found in the HSEEP.

EMPG and non-EMPG -funded personnel may claim EMPG
funds for tuition/travel costs for EMPG eligible trainings, provided that the purpose of the travel and training is to accomplish the objectives of the grant.

Exercises,
Improvement
Plans and After
Action Reporting
Subrecipients should engage stakeholders to identify longterm training and exercise priorities. These priorities should address capability targets and gaps identified through a Threat and Hazard Identification and Risk Assessment, realworld events, previous exercises, and national areas for improvement identified in the NPR.

Subrecipients must report on all exercises conducted with EMPG grant funds. An After Action Report
(AAR)/Improvement Plan (IP) or Summary Report (for
Seminars, Drills & Workshops) must be completed and
submitted to Cal OES within 90 days after the
exercise/seminar/drill/workshop is conducted.

City Council 18 – 235 8/16/2022
Exercises,
Improvement
Plans and After
Action Reporting
Cont.

It is acceptable to submit an Exercise Summary Report for Seminars, drills and Workshops in lieu of a full AAR/IP.

AAR/IPs and Summary Reports should be e-mailed to:
• [email protected]
• [email protected]
• Your Program Representative
All EMPG-funded personnel, including M&A staff and any
staff being used for match, must participate in no less than two exercises between July 1, 2021, and June 30, 2023. These exercises must align to one of the priority areas via the Performance Reports. The Great Shakeout drop, cover, and hold drill is ineligible for the purpose of the two exercise requirement.

Final reimbursement of personnel salaries will not be
approved until all exercise requirements have been met.

Exercises used to meet this requirement during one period of performance cannot be used to meet the requirement in
another. Extensions to the grant do not apply to this
requirement or its due date. There is no specific requirement for level of participation in the exercises and the exercises can be of any type, provided they are related to the
subrecipient’s identified long-term training and exercises priorities.

For exercise-related issues and/or questions, email the Cal OES Exercise Team at [email protected].

Exercise costs will not be considered for reimbursement until an AAR/IP is received by Cal OES.

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

City Council 18 – 236 8/16/2022
Procurement
Thresholds
Effective June 20, 2018, the micro-purchase threshold was increased from $3,500 to $10,000 and the simplified
acquisition threshold was increased from $150,000 to
$250,000. These increases apply to all Subrecipient
procurements executed on or after June 20, 2018. Refer to IB 434 for additional information.

Noncompetitive
Procurements
All noncompetitive procurements exceeding the simplified acquisition threshold requires Cal OES prior written approval.

This method of procurement must be approved by the
Subrecipient’s local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing
Agent’s approval must be included with submission. Cal OES may request additional documentation that supports the
procurement effort.

Environmental
Planning and
Historic
Preservation
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 review 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 that the Subrecipient 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 EHP Screening Form.

Program Representatives will provide additional instructions should this report be required.

EHP 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.

City Council 18 – 237 8/16/2022
Construction and
Renovation
When applying for construction activity at the time of
application, including communications 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 a SF-424C Budget and Budget Detail that cites the project costs.

Communication tower construction requests also require
evidence that the Federal Communications Commission’s
Section 106 review process has been 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.

Written approval for construction must be provided by
DHS/FEMA prior to the use of any EMPG funds for construction or renovation.

Inventory Control
and Property
Management
Subrecipients must use standardized resource management concepts for resource typing and credentialing, in addition to maintaining an inventory by which to facilitate the
effective identification, dispatch, deployment, tracking and recovery of resources.

Subrecipients must have an effective inventory
management system, to include:
• Property records that document description, serial/ID number, fund source, title information, acquisition date, cost, federal cost share, location, use, condition, and ultimate disposition;
• A physical inventory conducted at least every two years; • A control system to prevent loss, damage, and theft of grant purchased equipment and supplies; and
• Adequate maintenance procedures must be developed
to keep the property in good condition.

City Council 18 – 238 8/16/2022
Equipment
Disposition
When original or replacement equipment acquired under
the EMPG is no longer needed for program activities, the Subrecipient must contact their Program Representative to request disposition instructions. See 2 C.F.R. § 200.313(e).

Performance
Reporting
BSIR – Subrecipients must complete a BSIR each Winter and Summer using the DHS/FEMA Grants Reporting Tool (GRT) for the duration of the subaward period of performance or until all grant activities are completed and the subaward is
formally closed by Cal OES. Failure to submit a BSIR could result in subaward reduction, suspension, or termination.

Access to the BSIR may be obtained through the GRT. To
create a new account, 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, contact the appropriate Program Representative.

Quarterly Performance Reports – Subrecipients must prepare and submit Performance Reports to the State 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. The quarterly reports must include the progress made on identified activities, as well as other required information. Failure to submit a quarterly
Performance Report could result in subaward reduction,
suspension, or termination.

In order to ensure that mandated performance metrics and other data required under the subaward is reported
accurately, all EMPG Performance Reports must be
submitted electronically, via email, to their Cal OES EMPG Program Representative for review and vetting. Electronic documents submitted for Cal OES review and vetting should be submitted as soon as possible, but no later than, seven calendar days before the identified due date(s) associated with the Performance Report. Submission of the electronic copy is only to occur after their Cal OES Program
Representative’s review has concluded and the
Subrecipient is directed by their Cal OES Program
City Council 18 – 239 8/16/2022
Performance
Reporting Cont.

Representative to submit the signed electronic copy.

Extension
Requests
Extensions to the initial period of performance identified in the subaward will only be considered through formal, written requests to the Subrecipient’s 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:

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; City Council 18 – 240 8/16/2022
Extension
Requests Cont.

7. Budget outlining how remaining federal and non-federal funds will be expended;

8. Plan for completion, including milestones and timeframes for each milestone and the position/person responsible
for implementing the plan for completion; and

9. Certification that 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.

Progress Reports
on Grant
Extensions
All Subrecipients that receive Cal OES approval to extend their FY 2021 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 their Program Representative. Deadlines for the submission of progress reports will be established at the time of extension approval.

Monitoring Cal OES Grants Monitoring actively monitors Subrecipients, through day-to-day communications, programmatic site
visits, 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;
• Comparing actual Subrecipient activities to those
approved in the grant application and subsequent
modifications, including the review of timesheets and
City Council 18 – 241 8/16/2022
Monitoring Cont. 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.

Failure to Submit
Required Reports
Periodic reporting is required by the grant. Subrecipients who miss a single reporting due date 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.

Suspension/
Termination
Cal OES may suspend or terminate grant funding, in whole or in part, or other measures may be imposed for any of the following reasons:
• Failure to submit required reports.
• Failure to expend funds in a timely manner consistent with the grant milestones, guidance, and assurances.
• Failure to comply with the requirements or statutory
progress toward the goals or objectives of federal or state law.
• Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipient application.
• Failure to follow Grant Subaward requirements or Special Conditions.

City Council 18 – 242 8/16/2022
Suspension/
Termination Cont.
• Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding.
• False certification in the application or other document. • Failure to adequately manage, monitor, or direct the
grant funding activities of their Subrecipients.

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

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

Subawards will be closed after:
• Receiving any applicable Subrecipient Performance
Report indicating all approved work has been
completed, and all funds have been distributed;
• All funds have been requested and reimbursed, or
disencumbered;
• Completing a review to confirm the accuracy of
reported information;
• Reconciling actual costs to subawards, modifications and payments; and
• Verifying the Subrecipient has submitted a final BSIR showing all grant funds have been expended.

Records
Retention
The records retention period is three years from the date of the Cal OES Grant Closeout letter, or until any pending litigation, claim, or audit started before the expiration of the three-year retention period has been resolved and final action is taken. 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 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.

City Council 18 – 243 8/16/2022
Records
Retention Cont.

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 Title 2 C.F.R. § 200.333 and 200.336.

City Council 18 – 244 8/16/2022
Attachment A ‒ FY 2021 EMPG Allocations | 2021
Operational Area Population Base
Amount
Per Capita
Total Total Award
ALAMEDA 1,670,834 125,000 337,392 462,392
ALPINE 1,142 125,000 230 125,230
AMADOR 37,676 125,000 7,608 132,608
BUTTE 210,291 125,000 42,464 167,464
CALAVERAS 45,023 125,000 9,092 134,092
COLUSA 21,902 125,000 4,423 129,423
CONTRA COSTA 1,153,561 125,000 232,938 357,938
DEL NORTE 27,298 125,000 5,513 130,513
EL DORADO 193,227 125,000 39,018 164,018
FRESNO 1,023,358 125,000 206,647 331,647
GLENN 29,400 125,000 5,937 130,937
HUMBOLDT 133,302 125,000 26,917 151,917
IMPERIAL 188,777 125,000 38,120 163,120
INYO 18,584 125,000 3,753 128,753
KERN 917,553 125,000 185,282 310,282
KINGS 153,608 125,000 31,018 156,018
LAKE 64,040 125,000 12,931 137,931
LASSEN 28,833 125,000 5,822 130,822
LOS ANGELES 10,172,951 125,000 2,054,226 2,179,226
MADERA 158,147 125,000 31,935 156,935
MARIN 260,831 125,000 52,670 177,670
MARIPOSA 18,067 125,000 3,648 128,648
MENDOCINO 87,946 125,000 17,759 142,759
MERCED 283,521 125,000 57,251 182,251
MODOC 9,570 125,000 1,933 126,933
MONO 13,464 125,000 2,719 127,719
MONTEREY 441,143 125,000 89,080 214,080
NAPA 139,088 125,000 28,086 153,086
NEVADA 98,114 125,000 19,812 144,812
ORANGE 3,194,332 125,000 645,032 770,032
PLACER 403,711 125,000 81,521 206,521
PLUMAS 18,260 125,000 3,688 128,688
RIVERSIDE 2,442,304 125,000 493,175 618,175
SACRAMENTO 1,555,365 125,000 314,075 439,075
SAN BENITO 62,353 125,000 12,591 137,591
SAN BERNARDINO 2,180,537 125,000 440,316 565,316
SAN DIEGO 3,343,355 125,000 675,124 800,124
SAN FRANCISCO 897,806 125,000 181,294 306,294
SAN JOAQUIN 773,632 125,000 156,220 281,220
City Council 18 – 245 8/16/2022
Operational Area Population Base
Amount
Per Capita
Total Total Award
SAN LUIS OBISPO 277,259 125,000 55,987 180,987
SAN MATEO 773,244 125,000 156,141 281,141
SANTA BARBARA 451,840 125,000 91,241 216,241
SANTA CLARA 1,961,969 125,000 396,180 521,180
SANTA CRUZ 271,233 125,000 54,770 179,770
SHASTA 178,045 125,000 35,953 160,953
SIERRA 3,201 125,000 646 125,646
SISKIYOU 44,461 125,000 8,978 133,978
SOLANO 440,224 125,000 88,895 213,895
SONOMA 492,980 125,000 99,548 224,548
STANISLAUS 557,709 125,000 112,618 237,618
SUTTER 100,750 125,000 20,344 145,344
TEHAMA 65,129 125,000 13,152 138,152
TRINITY 13,548 125,000 2,736 127,736
TULARE 479,977 125,000 96,921 221,921
TUOLUMNE 54,917 125,000 11,090 136,090
VENTURA 842,886 125,000 170,204 295,204
YOLO 221,705 125,000 44,769 169,769
YUBA 78,887 125,000 15,930 140,930
TRIBAL NATIONS 362,801 125,000 73,260 198,260
TOTAL 40,145,671 7,375,000 8,106,623 15,481,623
City Council 18 – 246 8/16/2022
Attachment B ‒ FY 2021 EMPG-ARPA Allocations | 2021
Operational Area Population Base
Amount
Per Capita
Total Total Award
ALAMEDA 1,670,834 60,000 12,582 72,582
ALPINE 1,142 60,000 9 60,009
AMADOR 37,676 60,000 283 60,283
BUTTE 210,291 60,000 1,584 61,584
CALAVERAS 45,023 60,000 339 60,339
COLUSA 21,902 60,000 165 60,165
CONTRA COSTA 1,153,561 60,000 8,687 68,687
DEL NORTE 27,298 60,000 205 60,205
EL DORADO 193,227 60,000 1,455 61,455
FRESNO 1,023,358 60,000 7,706 67,706
GLENN 29,400 60,000 222 60,222
HUMBOLDT 133,302 60,000 1,004 61,004
IMPERIAL 188,777 60,000 1,421 61,421
INYO 18,584 60,000 140 60,140
KERN 917,553 60,000 6,910 66,910
KINGS 153,608 60,000 1,156 61,156
LAKE 64,040 60,000 483 60,483
LASSEN 28,833 60,000 217 60,217
LOS ANGELES 10,172,951 60,000 76,606 136,606
MADERA 158,147 60,000 1,190 61,190
MARIN 260,831 60,000 1,965 61,965
MARIPOSA 18,067 60,000 136 60,136
MENDOCINO 87,946 60,000 662 60,662
MERCED 283,521 60,000 2,135 62,135
MODOC 9,570 60,000 72 60,072
MONO 13,464 60,000 101 60,101
MONTEREY 441,143 60,000 3,322 63,322
NAPA 139,088 60,000 1,048 61,048
NEVADA 98,114 60,000 739 60,739
ORANGE 3,194,332 60,000 24,054 84,054
PLACER 403,711 60,000 3,040 63,040
PLUMAS 18,260 60,000 138 60,138
RIVERSIDE 2,442,304 60,000 18,391 78,391
SACRAMENTO 1,555,365 60,000 11,712 71,712
SAN BENITO 62,353 60,000 470 60,470
SAN BERNARDINO 2,180,537 60,000 16,420 76,420
SAN DIEGO 3,343,355 60,000 25,177 85,177
SAN FRANCISCO 897,806 60,000 6,761 66,761
SAN JOAQUIN 773,632 60,000 5,825 65,825
City Council 18 – 247 8/16/2022
Operational Area Population Base
Amount
Per Capita
Total Total Award
SAN LUIS OBISPO 277,259 60,000 2,088 62,088
SAN MATEO 773,244 60,000 5,823 65,823
SANTA BARBARA 451,840 60,000 3,403 63,403
SANTA CLARA 1,961,969 60,000 14,774 74,774
SANTA CRUZ 271,233 60,000 2,042 62,042
SHASTA 178,045 60,000 1,341 61,341
SIERRA 3,201 60,000 24 60,024
SISKIYOU 44,461 60,000 335 60,335
SOLANO 440,224 60,000 3,315 63,315
SONOMA 492,980 60,000 3,712 63,712
STANISLAUS 557,709 60,000 4,200 64,200
SUTTER 100,750 60,000 759 60,759
TEHAMA 65,129 60,000 490 60,490
TRINITY 13,548 60,000 102 60,102
TULARE 479,977 60,000 3,615 63,615
TUOLUMNE 54,917 60,000 413 60,413
VENTURA 842,886 60,000 6,347 66,347
YOLO 221,705 60,000 1,670 61,670
YUBA 78,887 60,000 594 60,594
TRIBAL NATIONS 362,801 60,000 2,732 62,732
TOTAL 40,145,671 3,540,000 302,311 3,842,311
City Council 18 – 248 8/16/2022
Attachment C ‒ FY 2021 EMPG Timeline | 2021
DHS Announcement of FY 2021 EMPG NOFO February 25, 2021 DHS Announcement of updated FY 2021
NOFO to reflect funding provided by the
ARPA
April 15, 2021
Cal OES Application due to DHS May 15, 2021
DHS/FEMA Award to California September, 2021
Subrecipient period of performance begins July 1, 2021
Notification of Subrecipient Award September, 2021
Subrecipient Webinars September/October 2021
FY 2021 California Supplement release September, 2021
Multi Year-Training and Exercise Plans due September 30, 2021 Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 9/30/2021
October 15, 2021
Subrecipient Final Applications due to Cal OES December 31, 2021 Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 12/31/2021
January 14, 2022
Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 3/31/2022
April 15, 2022
Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 6/30/2022
July 15, 2022
Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 9/30/2022
October 14, 2022
All FY 2021 EMPG EHP-related documents must
be received by Program Representative
December 31, 2022
Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 12/31/2022
January 13, 2023
Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 3/31/2023
April 14, 2023
Subrecipient period of performance ends June 30, 2023
Submission of the FY 2021 EMPG Performance
Report for the period of 7/1/2021 – 6/30/2023
July 20, 2023
Final Request for Reimbursement due Within 20 calendar days of the subaward expiration
date
Cal OES’s period of performance ends September 30, 2023 City Council 18 – 249 8/16/2022
Attachment D ‒ FY 2021 EMPG Program Checklist | 2021
Subrecipient: FIPS#:

Program Representative:

Financial Management Forms Workbook:

Grant Subaward Face Sheet
Authorized Agent and Contact Tab
Project Ledger Tab
Planning Tab
Organization Tab
Equipment Tab
Training Tab
Exercise Tab
Management and Administration Tab
Indirect Cost Tab
Consultant-Contractor Tab
Personnel Tab
Match Tab
Indirect Cost Rate Summary (If Applicable)
Authorized Agent Sheet
Required Documents:

Counter-signed Award Letter
EHP Screening Form (If Applicable)
FFATA Financial Disclosure
Certification Regarding Lobbying
Governing Body Resolution
Subrecipient Grants Management Assessment form
2021 EMPG Standard Assurances
Indirect Cost Rate Agreement (If Applicable)
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Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the legal authority to apply for federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay any non-federal share of project cost) to ensure proper planning, management, and completion of the project described in this application, within prescribed timelines.

I further acknowledge that the Applicant is responsible for reviewing and adhering to all requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO); (c) Federal Preparedness Grants Manual;
(d) California Supplement to the NOFO; and
(e) Federal and State Grant Program Guidelines.

Federal Regulations
Government cost principles, uniform administrative requirements, and audit requirements for federal grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (C.F.R.). Updates are issued by the Office of Management and Budget (OMB) and can be found at http://www.whitehouse.gov/omb/.

State and federal grant award requirements are set forth below. The Applicant hereby agrees to comply with the following:

1. Proof of Authority
The Applicant will obtain proof of authority from the city council, governing board, or authorized body in support of this project. This written authorization must specify that the Applicant and the city council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required;
(b) Any liability arising out of the performance of this agreement shall be the responsibility of the Applicant and the city council, governing board, or authorized body;
(c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board, or authorized body;
Attachment D
City Council 18 – 251 8/16/2022
(d) Applicant is authorized by the city council, governing board, or authorized body to apply for federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-federal share of project cost, if any) to ensure proper planning, management and completion of the project described in this application; and
(e) Official executing this agreement is authorized by the Applicant.

This Proof of Authority must be maintained on file and readily available upon request.

2. Period of Performance
The period of performance is specified in the Award. The Applicant is only authorized to perform allowable activities approved under the award, within the period of performance.

3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons entering into a contract, grant, loan, or cooperative agreement from an agency or requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan, the Applicant certifies that:
(a) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.
(b) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying”, in accordance with its instructions.
(c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

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The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§ 1501- 1508 and §§ 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with federal funds.

Finally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation or policy without the express written approval from the California Governor’s Office of Emergency Services (Cal OES) or the federal awarding agency.

4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 C.F.R. § 200.214 and codified in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the federal government. The Applicant certifies that it and its principals, recipients, or subrecipients:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (2)(b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transaction (federal, state, or local) terminated for cause or default.

Where the Applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.

5. Non-Discrimination and Equal Employment Opportunity
The Applicant will comply with all state and federal statutes relating to nondiscrimination, including:

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(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. § 2000d et. seq.) which prohibits discrimination on the basis of race, color, or national origin and requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§ 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex in any federally funded educational program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits discrimination against those with disabilities or access and functional needs; (d) Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. §§ 12101- 12213), which prohibits discriminationon the basis of disability and requires buildings and structures be accessible to those with disabilities and access and functional needs;
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd—2), relating to confidentiality of patient records regarding substance abuse treatment; (g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to nondiscrimination in the sale, rental or financing of housing as implemented by the Department of Housing and Urban Development at 24 C.F.R. Part100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units—i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground-floor units in buildings without elevators)— be designed and constructed with certain accessible features (See 24 C.F.R. § 100.201); (h) Executive Order 11246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in Government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, sexual orientation, gender identification or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin in hiring and employment in both the United States federal workforce and on the part of government contractors;
(j) California Public Contract Code § 10295.3, which prohibits discrimination based on domestic partnerships and those in same sex marriages; City Council 18 – 254 8/16/2022
(k) DHS policy to ensure the equal treatment of faith-based organizations, under which all applicants and recipients must comply with equal treatment policies and requirements contained in 6 C.F.R. Part 19;
(l) The Applicant will comply with California’s Fair Employment and Housing Act (FEHA) (California Government Code §§12940, 12945, 12945.2), as applicable.

FEHA prohibits harassment and discrimination in employment because of ancestry, familial status, race, color, religious creed (including religious dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical disability, genetic information, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave, military and veteran status, and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions; (m)Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made; and
(n) The requirements of any other nondiscrimination statute(s) that may apply to this application.

6. Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), the Applicant certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined in the Act.

7. Environmental Standards
The Applicant will comply with state and federal environmental standards, including:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000- 21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000- 15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters; (d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions from stationary and mobile sources;
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(e) Institution of environmental quality control measures under the National Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which focuses on the environmentaland human health effects of federal actions on minority and low-income populations with the goal of achieving environmental protection for all communities;
(f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(g) Executive Order 11514 which sets forth national environmental standards; (h) Executive Order 11738 instituted to assure that each federal agency empowered to enter into contracts for the procurement of goods, materials, or services and each federal agency empowered to extend federal assistance by way of grant, loan, or contract shall undertake such procurement and assistance activities in a manner that will result in effective enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive Order 11990 which requires preservation of wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523); (j) The Endangered Species Act of 1973, (P.L. 93-205);
(k) Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 etseq.);
(l) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.);
(m)Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et seq.) related to protecting components or potential components of the national wildand scenic rivers system.

The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to § 13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution.

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8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F Audit Requirements.

9. Cooperation and Access to Records
All Applicants must cooperate with any compliance reviews or investigations conducted by DHS. In accordance with 2 C.F.R. § 200.337, the Applicant will give the awarding agency, the Comptroller General of the United States and, if appropriate, the state, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award. The Applicant will require any subrecipients, contractors, successors, transferees and assignees to acknowledge and agree to comply with this provision.

10. Conflict of Interest
The Applicant will establish safeguards to prohibit the Applicant’s employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.

11. Financial Management
False Claims for Payment - The Applicant will comply with 31 U.S.C §§ 3729-3733 which sets forth that no subrecipient, recipient, or subrecipient shall submit a false claim for payment, reimbursement or advance.

12. Reporting - Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (P.L. 109-282), specifically (a) the reporting of subawards obligating $30,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This includes the provisions of FFATA, which includes requirements for executive compensation, and also requirements implementing the Act for the non-federal entity at 2 C.F.R. Part 25 Financial Assistance Use of Universal Identifier and Central Contractor Registration and 2 C.F.R.

Part 170 Reporting Subaward and Executive Compensation Information.

13. Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower protections at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. § 4304 and § 4310.

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14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in effect; (2) procuring a commercial sex act during the period of time that the award is in effect; (3) using forced labor in the performance of the award or subawards under the award.

15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) The Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally-assisted construction contracts or subcontracts, and (b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to employees of institutes of higher learning (IHE), hospitals and other non-profit organizations.

16. Worker’s Compensation
The Applicant must comply with provisions which require every employer to be insured to protect workers who may be injured on the job at all times during the performance of the work of this Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et seq.

17. Property-Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of federal participation in purchase; (b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires subrecipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more;
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(c) Assist the awarding agency in assuring compliance with Section 106 of the (d) National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.); and
(e) Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.

18. Certifications Applicable Only to Federally-Funded Construction Projects For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the federal awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with federal assistance funds to assure nondiscrimination during the useful life of the project;
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and approval of construction plans and specifications;and (c) Provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State.

19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These laws prohibit driving motor vehicle while using an electronic wireless communications device to write, send, or read a text-based communication. Drivers are also prohibited from the use of a wireless telephone without hands-free listening and talking, unless to make an emergency call to 911, law enforcement, or similar services.

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20. California Public Records Act and Freedom of Information Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program, or provided in the course of an entity’s grant management activities that are under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act, California Government Code section 6250 et seq. The Applicant should consider these laws and consult its own State and local laws and regulations regarding the release of information when reporting sensitive matters in the grant application, needs assessment, and strategic planning process.

EMERGENCY MANAGEMENT PERFORMANCE GRANT (EMPG) AND
AMERICAN RESCUE PLAN ACT (ARPA) –

PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS

21. Acknowledgment of Federal Funding from DHS
All recipients must acknowledge their use of federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds.

22. Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained.

23. Best Practices for Collection and Use of Personally Identifiable Information (PII) DHS defines personally identifiable information (PII) as any information that permits the identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual. All recipients who collectPII are required to have a publicly-available privacy policy that describes standards on the usage and maintenance of PII they collect. Recipients may also find the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template a useful resource respectively.

24. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an acknowledgement of U.S. Government sponsorship (including the award number) to any work first produced under federal financial assistance awards.

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25. Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in 2 C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance awards to overcome fund deficiencies, to avoid restrictions imposed by federal statutes, regulations, or federal financial assistance award terms and conditions, or for other reasons. However, these prohibitions would not preclude recipients from shifting costs that are allowable under two or more awards in accordance with existing federal statutes, regulations, or the federal financial assistance award terms and conditions.

26. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. § 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act.

27. Federal Debt Status
All recipients are required to be non-delinquent in their repayment of any federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A-129.

28. Fly America Act of 1974
All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B138942.

29. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all Applicants must ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. § 2225a.

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30. Non-supplanting Requirement
All recipients who receive federal financial assistance awards made under programs that prohibit supplanting by law must ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose through nonfederal sources.

31. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L.

No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard patent rights clause located at 37 C.F.R. § 401.14.

32. SAFECOM
All recipients who receive federal financial assistance awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications.

33. Terrorist Financing
All recipients must comply with Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. Recipients are legally responsible to ensure compliance with the Order and laws.

34. Reporting of Matters Related to Recipient Integrity and Performance If the total value of the recipient’s currently active grants, cooperative agreements, and procurement contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the period of performance of this federal financial assistance award, you must comply with the requirements set forth in the government-wide Award Term and Condition for Recipient Integrity and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is incorporated here by reference in the award terms and conditions.

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35. USA Patriot Act of 2001
All recipients must comply with requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175–175c.

36. Use of DHS Seal, Logo, and Flags
All recipients must obtain permission from their DHS Financial Assistance Office, prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials.

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IMPORTANT
The purpose of the assurance is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in this assurance. This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds.

All appropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above.

All of the language contained within this document must be included in the award documents for all subawards at all tiers. All recipients are bound by the Department of Homeland Security Standard Terms and Conditions 2021, Version 11.4, hereby incorporated by reference, which can be found at:
https://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions.

The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of the Applicant.

Subrecipient:

Signature of Authorized Agent:

Printed Name of Authorized Agent:

Title: Date:

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Planning and Building Agency
santa-ana.org/departments/planning-and-building
Item # 19
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 16, 2022
TOPIC: Cabrillo Crossing Density Bonus Agreement, 1814 & 1818 E. First Street AGENDA TITLE:

Density Bonus Agreement No. 2022-02 to Facilitate Construction of Cabrillo Crossing, a 35-Unit Mixed-Use Residential and Live/Work Community with Four Onsite Affordable Units

RECOMMENDED ACTION

1. Adopt a resolution approving Density Bonus Agreement No. 2022-02 as conditioned.

2. Authorize the City Manager to execute a Density Bonus Agreement with Brandywine Acquisition Group, LLC for a project known as Cabrillo Crossing for a 55-year term, for the development of a mixed-use residential and live/work development with 35 townhome units , including four onsite for-sale affordable units, at 1814 and 1818 East First Street, subject to non-substantive changes approved by the City Manager and City Attorney.

EXECUTIVE SUMMARY
Angela Meyer, representing Brandywine Acquisition Group, LLC (applicant), on behalf of David A. Colton Trust (property owner) is requesting approval of a density bonus agreement (DBA) to facilitate the construction of a 35-unit attached townhome development, six of which are proposed as live/work, with four onsite moderate-income affordable units, known as Cabrillo Crossing. As proposed, the project requires approval of a density bonus agreement with one waiver from the Metro East Mixed Use (MEMU) overlay district’s development standards for onsite open space pursuant to California Government Code sections 65915 through 65918 and Santa Ana Municipal Code (SAMC) Section 41-1600.

Staff is recommending approval of the applicant’s request since the project’s meets the criteria established in the MEMU overlay district to promote a pedestrian-oriented environment with a mix of land uses. Additionally, the project will provide affordable and market-rate ownership housing stock to the community.

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Cabrillo Crossing Density Bonus Agreement, 1814 & 1818 East First Street August 16, 2022

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Santa Ana City CouncilAugust 16, 2022

Santa Ana City Council
August 16, 2022