Agenda packet — Santa Ana City Council, August 20, 2024 (part 4 of 6)

were notified via PlanetBids, with two vendors downloading bidding documents and one proposal received.

Staff recommends awarding an agreement to E Source (Exhibit 2) to provide needed implementation support services. E Source is currently providing similar services for the City, and throughout the AMI project, has successfully guided City staff in its development and execution of the tasks needed to accomplish the City’s vision for the AMI project. Due to the complexity and volume of work to properly analyze all real and potential system integration issues, PWA has relied on E Source to successfully deliver this project.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.

FISCAL IMPACT
Funds are budgeted and available for expenditure in FY 2023-24. Therefore, a proposed carryover of $300,000 in unspent funds will be presented to City Council for approval of carryover to FY 2024-25. Future fiscal year funding will be included in the proposed budgets for City Council consideration
Fiscal
Year
Accounting
Unit
- Account #
Fund
Description
Accounting Unit,
Account Description Amount
Contract (3-Year Term)
2024-25
06017645-
62300
(16-6460)
Water
Water
Admin/Engineering,
Contract Services -
Professional
$300,000
2025-26
06017645-
62300
(16-6460)
Water
Water
Admin/Engineering,
Contract Services -
Professional
$100,000
2026-27
06017645-
62300
(16-6460)
Water
Water
Admin/Engineering,
Contract Services -
Professional
$30,000
Optional Two-year Extension
2027-28
06017645-
62300
(16-6460)
Water
Water
Admin/Engineering,
Contract Services -
Professional
$10,000
City Council 30 – 2 8/20/2024
Automated Metering Infrastructure Implementation Support Services August 20, 2024

Page 3 ends

Fiscal
Year
Accounting
Unit
- Account #
Fund
Description
Accounting Unit,
Account Description Amount
2028-29
06017645-
62300
(16-6460)
Water
Water
Admin/Engineering,
Contract Services -
Professional
$10,000
TOTAL $450,000

EXHIBIT(S)

1. RFP No. 24-085

2. Agreement with E Source Companies, LLC
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Alvaro Nuñez, City Manager
City Council 30 – 3 8/20/2024
City Council 30 – 4 8/20/2024

NOTICE INVITING PROPOSALS
NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for Automated Metering Infrastructure (AMI) Implementation Support Services.

Responses to this Request for Proposals (RFP) will be accepted until Friday, July 12, 2024, at 12:00 p.m.

Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids system. It is the responsibility of the proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to this proposal due date and time.

Proposals shall NOT be mailed or sent via telegraphic, electronic or facsimile means.

All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137 and on the City’s RFP Bid page at www.santa-ana.org/bids-rfps. Proposers shall be responsible for monitoring PlanetBids and the City’s RFP Bid page to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal.

LETTER OF INTENT: As a courtesy to the City, all interested firms are encouraged to submit a Letter of Intent of their pending proposal to the noted Project Manager by the required date as shown on the cover page of this RFP. Letters shall be sent via certified mail or email. A decision, by an interested firm, not to submit a Letter of Intent would not lead to the disqualification of the firm.

City Council 30 – 5 8/20/2024

TABLE OF CONTENTS
I. GENERAL ..........................................................................................................................................................................4 A. NATURE OF WORK: ..........................................................................................................................................4 B. SUBMITTAL OF PROPOSAL:...........................................................................................................................4 C. PROPOSAL EVALUATION AND RATING:.....................................................................................................4 D. PROJECT FUNDING:.........................................................................................................................................5 E. TERM OF CONTRACT AGREEMENT: ...........................................................................................................5 II. PROPOSAL TERMS AND CONDITIONS.....................................................................................................................5 A. EXAMINATION ....................................................................................................................................................5 B. EXECUTION OF AGREEMENT........................................................................................................................5 C. PROPOSAL VALIDITY.......................................................................................................................................5 D. PRE-CONTRACTUAL EXPENSES..................................................................................................................5 E. JOINT OFFERS/SUBCONTRACTORS...........................................................................................................5 F. DIR REGISTRATION..........................................................................................................................................6 G. PREVAILING WAGE ..........................................................................................................................................6 H. PREVAILING WAGE COMPLIANCE AND MONITORING...........................................................................6 III. INSTRUCTIONS TO PROPOSERS ...............................................................................................................................7 A. CITY RESPONSIBILITIES.................................................................................................................................7 B. PROPOSER RESPONSIBILITIES....................................................................................................................7 C. REQUEST FOR INFORMATION OR CLARIFICATION................................................................................7 D. ADDENDA............................................................................................................................................................7 E. LICENSES & PERMITS .....................................................................................................................................7 F. INSURANCE........................................................................................................................................................7 G. PAYMENT INFORMATION PACKET ..............................................................................................................8 H. CITY RIGHT TO REJECT..................................................................................................................................8 I. PROTESTS..........................................................................................................................................................8 IV. SUBMITTAL REQUIREMENTS......................................................................................................................................8 A. GENERAL.............................................................................................................................................................8

1. NUMBER OF COPIES AND SIGNATURE........................................................................................8

2. DEADLINE .............................................................................................................................................8 B. PROPOSAL CONTENTS...................................................................................................................................9

1. STATEMENT OF QUALIFICATIONS ................................................................................................9

2. FEE SCHEDULE.................................................................................................................................10

4. CERTIFICATIONS..............................................................................................................................10 V. PROPOSAL REVIEW (CONTRACTOR SELECTION).............................................................................................10 A. EVALUATION AND RATING...........................................................................................................................10 B. SELECTION .......................................................................................................................................................10 VI. AWARD OF AGREEMENT............................................................................................................................................10 A. REQUEST FOR COUNCIL ACTION..............................................................................................................10 B. EXECUTION OF AGREEMENT......................................................................................................................10 VII. IMPLEMENTATION ........................................................................................................................................................11 A. NOTICE TO PROCEED ...................................................................................................................................11 VIII. PUBLIC RECORDS........................................................................................................................................................11

APPENDIX
ATTACHMENT 1: SCOPE OF WORK
ATTACHMENT 2: FEE SCHEDULE
ATTACHMENT 3: REFERENCES
ATTACHMENT 4: STANDARD AGREEMENT (SAMPLE)
ATTACHMENT 5: CERTIFICATIONS
City Council 30 – 6 8/20/2024
I. GENERAL
The City of Santa Ana (“Santa Ana” or “City”) is the county seat and second most populous city in Orange County, California, with over 343,000 residents. It is the 64th most-populous city in the United States.

Santa Ana is located in Southern California, adjacent to the Santa Ana River, about 10 miles away from the California coast. Founded in 1869, the City is part of the Greater Los Angeles Area, the second largest metropolitan area in the United States with more than 20 million residents in 2023.

A. NATURE OF WORK:

The City of Santa Ana is seeking qualified firms to provide implementation support services for the City’s Automated Metering Infrastructure (AMI) project, including, but not limited to, project management, software integration, data management, and performance analysis. The City of Santa Ana is seeking proposals from qualified firms with experience in performing these tasks for municipal utilities. The City intends to enter into agreements with a single firm to provide the described services. A detailed Scope of Work is included in ATTACHMENT 1: SCOPE OF WORK in the Appendix of this RFP.

B. SUBMITTAL OF PROPOSAL:

The Fee Proposal shall be submitted separately and electronically to the PlanetBids system prior to this proposal due date and time.

C. PROPOSAL EVALUATION AND RATING:

The criteria for evaluating the proposals submitted will take the following items into consideration:
• Firm/Team Experience 25%
• Understanding Scope of Services 30%
• Relevant Project Experience 25%
• Fee 10%
• References 10%
The City has established a proposal review committee to evaluate proposers based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above.

A final score will be calculated for each submitted proposal and used to rank the proposers.

City Council 30 – 7 8/20/2024
D. PROJECT FUNDING:

Project is funded with Water Enterprise funds.

E. TERM OF CONTRACT AGREEMENT:

This term is outlined in the Standard Consultant Agreement, as contained in ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP.

II. PROPOSAL TERMS AND CONDITIONS
By submitting a Proposal, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below:

A. EXAMINATION
Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required in this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City’s objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in the relation to this RFP are fully incorporated.

B. EXECUTION OF AGREEMENT
The City and the selected Proposer will enter into an Agreement similar to that as shown in ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate.

C. PROPOSAL VALIDITY
Services, pricing and warranties indicated in a respondent’s Proposal must be valid for a period of 120 days after the submission of the Proposal.

D. PRE-CONTRACTUAL EXPENSES
Santa Ana shall not, in any event, be liable for any pre-contractual expenses incurred by Proposers in the preparation of its proposal.

E. JOINT OFFERS/SUBCONTRACTORS
Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime sub-Contractor basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of sub-Contractors be offered, the Proposer shall provide the same assurances of competence for the sub-Contractor plus the demonstrated ability to manage and supervise the subcontracted work. Sub-Contractors shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub-Contractors in the same manner as the Proposer.

City Council 30 – 8 8/20/2024
F. SAFETY PROGRAM REQUIREMENTS
Work Site Safety shall be as defined by the Standard Specifications and these special provisions:

The Proposer shall be solely responsible for ensuring that all work performed under the contract is performed in strict compliance with all applicable Federal, State and local occupational safety regulations. The Consultant/Contractor shall provide at its expense all safeguards, safety devices and protective equipment, and shall take any and all actions appropriate to providing a safe Project site.

The following is required in addition to the requirements of the Standard Specification:
a. The Proposer shall train all employees, or subcontractor personnel in the work practices necessary to safely perform his or her job.
b. The Proposer shall identify all known potential hazards related to the work performed and train all employees and subcontractor personnel on how to handle the potential hazards.
c. The Proposer, their employees and subcontractors shall follow all safety rules and safe work practices.
d. The Proposer will immediately notify the City of any significant and/or unusual hazards found during the course of work.
e. The Proposer shall submit copies of Safety Data Sheets (SDS) for all hazardous materials to be utilized on site in the performance of work. The Proposer is solely responsible for the legal disposal of hazardous waste generated in the performance of their work.

Safety Indemnification: To the extent allowed by law, the Proposer agrees to defend, indemnify and hold harmless the City, its officers, employees and agents from and against any and all investigations, complaints, citations, liability, expense (including defense costs and legal fees), claims and/or causes of action for damages of any nature whatsoever, including but not limited to injury or death to employees of the Proposer, its subcontractors or City, attributable to any alleged act or omission of the Proposer or its subcontractors which is in violation of any Cal OSHA regulation. The obligation to defend, indemnify and hold harmless includes all investigations and proceedings associated with purported violations of Section 336.10 of Title 8 of the California Code of Regulations pertaining to multi-employer work sites. The City may deduct from any payment otherwise due the Proposer any costs incurred or anticipated to be incurred by the Agency, including legal fees and staff costs, associated with any investigation or enforcement proceedings brought by Cal OSHA arising out of the assigned work.

City Council 30 – 9 8/20/2024
III. INSTRUCTIONS TO PROPOSERS
A. CITY RESPONSIBILITIES
The City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein.

B. PROPOSER RESPONSIBILITIES
Point of Contact: The selected proposer will assume responsibility for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement.

Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited financial statement, evidencing proposer’s financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity.

C. REQUEST FOR INFORMATION OR CLARIFICATION
All questions or requested clarifications shall be made in writing via PlanetBids portal by or before the “Deadline for Requests for Information” date noted on the cover page of this RFP. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP, as indicated below in SUBSECTION D “ADDENDA”.

D. ADDENDA
Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on PlanetBids https://vendors.planetbids.com/portal/20137/portal-home.

E. LICENSES & PERMITS
The selected Proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City Project Manager or designee prior to commencing any work in Santa Ana.

Additionally, Proposer will be responsible for obtaining any licenses/permits required by the Scope of Work.

F. INSURANCE
The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of notice of award.

City Council 30 – 10 8/20/2024
G. PAYMENT INFORMATION PACKET
The selected Proposer shall return a completed payment information packet within ten (10) business days after the successful Proposer has received notice that the agreement has been awarded. The packet is available on the City’s website: www.santa-ana.org/bidsrfps.

H. CITY RIGHT TO REJECT
The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise.

The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal.

The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP. Subcontractors shall be the responsibility of the successful Proposer and the City shall assume no liability of such subcontractors.

I. PROTESTS
Proposers with concerns or rebuttal of any staff determination of non-responsiveness or non-responsibility may submit, in writing within five (5) business days, to the Project Manager, any concerns regarding the RFP process or staff determination. Such writing shall be considered by the City Manager or his designated representative, and may be acted upon within five (5) business days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder.

IV. SUBMITTAL REQUIREMENTS
A. GENERAL

1. NUMBER OF COPIES AND SIGNATURE
Refer to SECTION I “GENERAL” above.

2. DEADLINE
Proposals are due, to the City of Santa Ana (via PlanetBids submittal), at the date and time set forth above in the Notice Inviting Proposals.

City Council 30 – 11 8/20/2024
B. PROPOSAL CONTENTS
A responsive proposal shall contain the following documentation:

1. STATEMENT OF QUALIFICATIONS
The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLESIDED PAGES (excluding front and back covers, section dividers and attachments such as resumes, forms). Font size shall be minimum 11-point Arial. Proposal exhibits shall be maximum 11” x 17”. The Statement of Qualifications includes the following:
a. Cover Letter
Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity.
b. Agreement Statement
Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the standard agreement attached as ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. c. Firm and Team Experience
Proposal shall include a profile of the firm’s experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, and a description of the organization. The project manager/principal agent shall be the primary contact person to represent your firm.
d. Understanding Scope of Services
Proposal shall include an outline, which demonstrates the firm’s understanding of the scope of services and relevant experience performing relative tasks. This outline should include anticipated approach, tasks necessary for successful completion, and suggestions or special concerns that the City should be made aware of.
e. Relevant Project Experience
Proposal shall include a list of relevant projects which your firm or personnel have completed within the last five (5) years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. f. References
The Proposer shall include references for three public entities for which Proposer has performed similar work within the past five (5) years.

City Council 30 – 12 8/20/2024

2. FEE SCHEDULE
Proposer’s fee schedule shall be submitted concurrently with the technical proposal, but in a separate submission to the PlanetBids system. This shall include the firm’s Standard Hourly Fee Schedule as stated in the Appendix: Attachment 2: Fee Schedule.

Where fees are NOT included as part of evaluation criteria, the fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the Consultant based on qualifications, and then negotiate a contract price based on available funding.

Where fees ARE included as part of the evaluation criteria, the fee proposal will be opened and reviewed concurrently with the proposal, and weighted per the percentage identified in SECTION I “GENERAL” above.

3. CERTIFICATIONS
The following forms, included in ATTACHMENT 5: CERTIFICATIONS in the Appendix of this RFP, shall be signed and included as part of the proposal submittal package:
• Non-Collusion Affidavit
• Non-Lobbying Certification
• Non-Discrimination Certification
V. PROPOSAL REVIEW (CONTRACTOR SELECTION)
A. EVALUATION AND RATING
Refer to SECTION I “GENERAL” above.

B. SELECTION
The committee may interview the top-ranking proposers. The City will recommend award of the agreement to the proposers who will provide the best quality and value to the City.

City reserves the right to begin negotiations and enter into an agreement without interview or further discussions.

VI. AWARD OF AGREEMENT
A. REQUEST FOR COUNCIL ACTION
Following evaluation and rating by the proposal review committee, the Executive Director will recommend award of an agreement to the proposer providing the best quality and value to the City.

B. EXECUTION OF AGREEMENT
A sample standard agreement is included as ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. “Proposer” will hereinafter be referred to as City Council 30 – 13 8/20/2024
“Consultant” in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved.

VII. IMPLEMENTATION
A. KICK-OFF MEETING
A kick-off meeting will be held after award of contract. Consultant and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process.

B. NOTICE TO PROCEED
Following the kick-off meeting, a formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved.

VIII. PUBLIC RECORDS
All responses to the RFP shall become property of the City, and proposals will become public record after award of agreement. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act.

City Council 30 – 14 8/20/2024
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AMI Implementation Support Services

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Appendix
ATTACHMENT 1: SCOPE OF WORK
City Council 30 – 15 8/20/2024
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SCOPE OF WORK

INTRODUCTION AND BACKGROUND
The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 343,000 people. The City of Santa Ana Public Works Agency – Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana’s water system has an average day demand of about 43 MG with approximately 45,500 metered service connections.

The City is currently in the process of implementing Automated Metering Infrastructure (AMI) for all of its metered water service connections. Communications equipment has been installed and the installation of meters is ongoing. However, the City of Santa Ana Public Works Agency desires to engage professional firms to provide additional support for the project in the areas of project management, systems integration and data analysis, and quality assurance field inspection services. The primary emphasis will be assisting City staff with testing data and system functionality to validate that the delivered systems can support the City’s daily business and user requirements. Specifications for the project can be found in the agreement with the project’s prime contractor here: https://publicdocs.santaana.org/WebLink/DocView.aspx?id=125140&searchid=ac4e8f00-1d6c-476a-ba09- cde533ca092c&dbid=1. Existing knowledge of the Sensus Regional Network Interface (RNI), enQuesta Customer Interface System (CIS), and SmartWorks Compass Meter Data Management (MDM) system is required.

CONTRACTOR RESPONSIBLITIES
The Consultant shall provide all labor, materials, services, and equipment necessary for the completion of the work entailed herein. All work shall be in accordance with applicable trade practices, workmanship, meet warranties and shall conform to all applicable laws, codes and regulations. Business hours are considered from 7:00 A.M. to 5:00 P.M. (Monday through Friday). Any time outside of business hours of operation may be considered after hours/weekends.

All work will be scheduled upon confirmation of scope and cost and completed within the time agreed upon for each specific item of work. The Consultant may not begin work before receiving a written Notice to Proceed by the City’s Project Manager. All services, equipment and materials provided by the Consultant must be in accordance with all applicable Federal, State and local regulations, laws, and codes.

DESCRIPTION OF WORK
The consultant will be expected to develop a work plan in order to provide support in the following areas:

1. Project Management.

City Council 30 – 16 8/20/2024
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a. Support City staff in managing overall scope of work by prime contractor and subcontractors to ensure that all project tasks are executed, and provide advice and recommendations on how to address project-specific issues that may arise; b. Conduct weekly status meetings with City staff and contractors/vendors for overall project and/or systems integration performance and progress.

2. System Testing.
a. Coordinate with vendors to ensure configuration of systems are delivered and working to specifications;

3. Reporting.
a. Review daily reports to ensure communication systems are responsive; b. Investigate and/or recommend actions for City or contractor to take to make corrections.

4. Validation of Reads.
a. Review and analyze daily reporting data to ensure validity of reads received.

5. Quality Assurance and Field Inspection Services.
a. Perform in-field installation quality audits of meter installations, including checking for post-installation leaks;
b. Perform data quality audits using installation contractor’s work order management software to verify meters are installed correctly.

CITY RESPONSIBILITIES
The City will provide access to the information in its possession and systems/software platforms relevant to the preparation of the required information in the RFP. Selected consultant is expected to perform a substantial review of the project’s schedule and milestones to-date, and be familiar with all software platforms and data sources being utilized.

SUBCONTRACTORS
The use of Subcontractors is allowed, but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor’s actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work may be added by the Contractor.
---End of SCOPE OF WORK Section.---
City Council 30 – 17 8/20/2024
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Appendix
ATTACHMENT 2: FEE SCHEDULE
Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Appendix:

Attachment 1) and am familiar with the scope of work. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal.

Proposer shall submit hourly rates schedule, which shall include but not limited to, direct and indirect costs for labor, for staff per job classification, material, equipment rates, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing.

Prior to commencement of services, Consultant shall provide separate quotes, upon request by the City, which shall be approved by the City’s Public Works Agency.

Note: This contract is subject to prevailing wages.

COMPLETE LEGAL NAME OF COMPANY TAXPAYER I.D. NO.

BUSINESS ADDRESS STREET CITY/STATE ZIP CODE
X

SIGNATURE OF AUTHORIZED AGENT NAME (PRINT) TITLE

EMAIL ADDRESS PHONE NUMBER

CSLB NUMBER DIR REGISTRATION NUMBER
City Council 30 – 18 8/20/2024
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Appendix
ATTACHMENT 3: REFERENCES
List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications.

Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications.

Reference
Customer Name:_________________________ Contact Individual: ____________________________ Address: _______________________________Phone Number: ______________________________

_______________________________ Facsimile Number: ____________________________ Contract Amount: ________________________ Year: ______________________________________ Description of supplies, equipment, or services provided:
____________________________________________________________________________________ Reference
Customer Name:_________________________ Contact Individual: ____________________________ Address: _______________________________Phone Number: ______________________________

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

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Appendix
ATTACHMENT 4: STANDARD AGREEMENT (SAMPLE)
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CONSULTANT AGREEMENT (SAMPLE)

CITY OF SANTA ANA
THIS AGREEMENT is made and entered into this ___ day of ______, 2024 by and between ________________________________________, (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. The City desires to retain a Consultant having special skill and knowledge in the field of professional planning and implementation services for Automated Metering Infrastructure.

B. Consultant represents that Consultant is able and willing to provide such services to the City.

C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field.

NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:

1. SCOPE OF SERVICES
a. Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference.

2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit B. The total amount to be expended under this Agreement shall not exceed $XXX,XXX, during the term of this Agreement, including any extension periods exercised under Section 3.
b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be City Council 30 – 21 8/20/2024
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expected by City.

3. TERM
This Agreement shall commence on the date first written above for a three-year term with the option for the City to grant a single two-year renewal, exercisable by a writing by the City Manager and City Attorney, unless terminated earlier in accordance with Section 16, below.

4. PREVAILING WAGES
Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects.

If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.

5. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services.

Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.

6. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under City Council 30 – 22 8/20/2024
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this Agreement (“Documents & Data”). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.

7. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below:
a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant’s operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate.

Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles. c. Worker’s Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker’s compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer’s liability insurance with limits not less than $1,000,000 per accident.
d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate.

City Council 30 – 23 8/20/2024
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e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section:
i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City.
iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. iv. Consultant shall supply City with a fully executed additional insured endorsement.
f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City’s election, to forthwith terminate this Agreement. Such termination shall not affect Consultant’s right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City.

8. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.

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9. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement.

10. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.

11. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City.

12. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services City Council 30 – 25 8/20/2024
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specified under this Agreement.

13. DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations.

14. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.

15. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City.

16. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City City Council 30 – 26 8/20/2024
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unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate.
b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.

17. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.

18. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California.

Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.

19. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.

20. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.

21. NOTICE
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Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:

To City:

Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
With courtesy copies to:

To Consultant:

First & Last Name
Title
Consultant Firm Name
Address
City, State, Zip
Fax:

A party may change its address by giving notice in writing to the other party.

Thereafter, any communication shall be addressed and transmitted to the new address.

If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded.

Nabil Saba, P.E.

Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714- 647-5635
Sonia R. Carvalho
City Attorney
City of Santa Ana
20 Civic Center Plaza (M-29)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714- 647-6515
City Council 30 – 28 8/20/2024
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.

ATTEST: CITY OF SANTA ANA
Jennifer L. Hall Alvaro Nunez
City Clerk Acting City Manager
APPROVED AS TO FORM: CONSULTANT:

SONIA R. CARVALHO
City Attorney
By:

City Attorney Name
City Attorney (title)
Tax ID#
RECOMMENDED FOR APPROVAL:

Nabil Saba, PE
Executive Director
Public Works Agency
Name:

Title:

Tax ID#
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APPENDIX
ATTACHMENT 5: CERTIFICATIONS
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NON-COLLUSION AFFIDAVIT
(Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid.

Note: The above Non-collusion Affidavit is part of the Proposal. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution.

Signed
State of California
County of __________
Subscribed and sworn to (or affirmed) before me on this _____ day of _______, 20__, by _______________________, proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me
Notary Public Signature Notary Public Seal
City Council 30 – 31 8/20/2024

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RFP NO.: 24-085

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NON-LOBBYING CERTIFICATION
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code.

Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly.

Signed:

Title:

Firm:

Date:

City Council 30 – 32 8/20/2024

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RFP NO.: 24-085

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NON-DISCRIMINATION CERTIFICATION
The undersigned Consultant or corporate officer, during the performance of this contract, certifies as follows:

1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers’ representatives of the Consultant’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders.

6. In the event of the Consultant’s non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law.

City Council 30 – 33 8/20/2024

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RFP NO.: 24-085

AMI IMPLEMENTATION SUPPORT SERVICES
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7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a Subcontractor or Consultant as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States.

8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any Contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter.

Signed:

Title:

Firm:

Date:

City Council 30 – 34 8/20/2024

CITY OF SANTA ANA
RFP NO.: 24-085

AMI IMPLEMENTATION SUPPORT SERVICES
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---End of RFP NO 24-085
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Nabil Saba
Digitally signed by Nabil
Saba
Date: 2024.08.05 12:41:47
-07'00'
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Public Works Agency
www.santa-ana.org/public-works
Item # 31
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 20, 2024
TOPIC: License Agreement for the Use of City-Owned Parcels

AGENDA TITLE
License Agreement with K&C Logistics, LLC for their use of City-Owned East and West Alton Avenue/SR-55 Freeway Parcel

RECOMMENDED ACTION
Authorize the City Manager to execute a license agreement with K&C Logistics, LLC for use of real property owned by the City at the western terminus of Alton Avenue between Standard Avenue and the SR-55 Freeway and at the eastern terminus of Alton Avenue between Daimler Street and the SR-55 Freeway, for a three-year term beginning August 20, 2024 and expiring August 19, 2027, automatically entering into a month-to-month renewal thereafter for an additional two years, for a total revenue amount of $1,590,640 (Agreement No. A-20024-XXX).

GOVERNMENT CODE §84308 APPLIES: Yes

DISCUSSION
The Public Works Agency (PWA) owns and manages two vacant lots for the purpose of a future freeway overpass bridge. In the meantime, the City leases these lots to various commercial users. On December 1, 2020, the City Council approved an exclusive license agreement with K&C Logistics to utilize the City property located at the western terminus of Alton Avenue and the SR-55 Freeway (Exhibit 1) in the amount of $4,400 per month for the use of the City-owned vacant lot. The property is 49,330 square feet, with approximately 31,700 square feet net usable land area.

The City plans to construct a new overpass at the SR-55, linking the cities of Santa Ana and Irvine at Alton Avenue. The subject property is included within the overpass project area. However, construction is not expected to begin for another three to five years.

Thus, the property is expected to be available for uninterrupted use by the licensee until construction commences. To allow for maximum scheduling flexibility, the agreement includes a 60-day cancellation notice option.

Recently, the lot located in the eastern terminus of East Alton Avenue between Standard Avenue and the SR-55 became vacant. City staff reached out to K&C Logistics regarding the vacancy, whereby K&C Logistics expressed their interest in City Council 31 – 1 8/20/2024
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August 20, 2024

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utilizing the eastern terminus (Exhibit 1) for additional storage of shipping equipment.

The property is 86,626 gross square feet, with approximately 66,546 net usable square feet. In agreement with K&C Logistics, the City is moving forward with entering into a new license agreement to include both the eastern and western terminus lots, aggregating to approximately 98,246 square feet. The City took the opportunity to update the annual lease and update to the current market rate, generating an increase in revenue to a new monthly rate of $24,967.

Staff recommends approval of the recommended actions to award the license agreement to K&C Logistics, LLC, generating an estimated revenue in the amount of $1,590,640 over the period of three years (Exhibit 2). Revenue generated will be utilized for maintenance and upkeep of vacant City parcels.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.

FISCAL IMPACT
This agreement will result in revenue of $24,967 per month into the Select Street Construction, Rental of Property revenue account (No. 05917002-57960). The agreement will commence on August 20, 2024 and expire August 19, 2027. The agreement will automatically renew each month thereafter for an additional two years unless a notice to vacate the premises is provided by the City or Licensee.

Fiscal Year
Accounting
Unit - Account
#
Fund
Description Accounting Unit,
Account Description Amount
2024-25
(Sept- Aug) 05917002-57960 Select Street
Construction
Select Street
Construction, Rental
Of Property
$299,604
2025-26
(Sept- Aug) 05917002-57960 Select Street Construction
Select Street
Construction, Rental
Of Property
$308,593
2026-27
(Sept- Aug) 05917002-57960
Select Street
Construction
Select Street
Construction, Rental
Of Property
$317,850
Optional Extensions:
2027-28
(Sept- Aug) 05917002-57960 Select Street Construction
Select Street
Construction, Rental
Of Property
$327,385
City Council 31 – 2 8/20/2024
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August 20, 2024

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Fiscal Year
Accounting
Unit - Account
#
Fund
Description Accounting Unit,
Account Description Amount
2028-29
(Sept- Aug) 05917002-57960 Select Street Construction
Select Street
Construction, Rental
Of Property
$337,208
Total Contract Amount: $1,590,640

EXHIBIT(S)

1. Location Map-West/East Alton Lot

2. License Agreement
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Alvaro Nuñez, City Manager
City Council 31 – 3 8/20/2024
City Council 31 – 4 8/20/2024

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LICENSE AGREEMENT
This LICENSE AGREEMENT (“Agreement”) is dated as of August 20, 2024 (“Effective Date”), and entered into by and between the CITY OF SANTA ANA, a charter city and municipal corporation existing under the Constitution and laws of the State of California (“City”), and K&C Logistics, LLC (“Licensee”).

RECITALS
A. The City owns real property at the western and eastern terminus of Alton Avenue between Standard Avenue and the SR-55 Freeway in the City of Santa Ana, as particularly described in Exhibit A, attached hereto and incorporated by reference (collectively, the “License Area”).

B. The License Area is part of a planned road improvement project to be constructed by the City where such construction is anticipated to begin within three to five years of the date of this Agreement.

C. Licensee is a logistical and transportation services company that desires to use and access the License Area for parking of its vehicles. City desires to allow Licensee the exclusive use of and access to the Property for this purpose alone (“Permitted Uses”).

D. The City has agreed to grant Licensee a license to use the License Area, on the terms and conditions set forth in this Agreement.

NOW THEREFORE, for and in consideration of the mutual covenants and agreements herein contained and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereto agree as follows:

1. License. The City hereby grants to Licensee an exclusive license for the right to enter and use the License Area on the date first written above, for the Permitted Uses described in Recital C, upon the terms and conditions set forth herein (“License”), subject to Licensee’s performance of all of its obligations under this Agreement. This License shall remain in effect for a three (3) year term from the Effective Date. Upon the expiration of the three (3) year term, this Agreement shall continue on a monthto-month basis. The License may be terminated by the City or Licensee at any time upon sixty (60) days written notice. In no case shall the maximum term of this Agreement exceed five years without the prior written consent of the City. This Agreement is intended and shall be construed only as a revocable license to use the License Area and not as a lease or grant of any possessory or other interest.

2. Compliance with Laws. Licensee shall cause all activities of Licensee under this Agreement and all activities on the License Area to be performed in compliance with all applicable federal, state, and local laws, ordinances, and regulations, and permits.

3. Best Management Practices and Clean Up. At its sole cost, Licensee shall clean up and install, implement, and maintain Best Management Practices (BMPs) to reduce stormwater pollution from the License Area as outlined below.

Within seven (7) days of occupying the License Area, the Licensee shall:
(a) Remove old and/or damaged sediment control BMPs from the License Area and install new sediment control BMPs along the entire perimeter of the License Area.

Appropriate sediment control BMPs include straw wattle, gravel bag berm, or silt fence. Licensee shall install sediment control BMPs per the SE-5, SE-6, or SE-1 details EXHIBIT 2
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provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction.
(b) Install tracking control BMPs at the vehicle access point to the License Area. Licensee shall install tracking control BMPs per the TC-1 detail provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction.
(c) Install a fence, if required, and Green Screen.

Throughout the duration of the License Agreement, the Licensee shall:
a) Cover all stockpiles that are not actively being used or scheduled to be used within a seven (7) day period. Additionally, all stockpiles shall be covered prior to the onset of precipitation. Licensee shall ensure that stockpile coverings are installed securely to protect from wind and rain. Stockpiles shall not be taller than the property’s fence height.
b) Maintain effective Tracking control BMPs to prevent sediment tracking off-site from the License Area.
c) Maintain effective Sediment control BMPs along the entire perimeter of the License Area, at all adjacent storm drain inlets, and on all non-active slopes, as appropriate. d) Sweep the street, sidewalk, and parkway adjacent to the License Area as-needed so the public right-of-way remains clean and free of dirt. e) Use a dumpster or appropriate waste receptacle to discard of all trash and debris.

Dumpsters and waste receptacles shall be covered prior to the onset of precipitation. f) Implement Wind Erosion Control BMPs (dust control), as appropriate, per the WE-1 detail provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction.
g) Remove graffiti on the fence or green screen within one (1) day of notification by the City.
h) Repair vandalism to fence or green screen within one (1) day of notification by the City.

Remove weeds or vegetation growing within License Area or around perimeter within seven (7) days of notification by the City.

Within fourteen (14) days of vacating the License Area, the Licensee shall clean up the License Area as outlined below:
a) Remove all trash, debris, sediment, stockpiles, and construction materials from the License Area.
b) Remove old and/or damaged sediment control BMPs from the License Area and install new sediment control BMPs along the entire perimeter of the License Area.

Appropriate sediment control BMPs include straw wattle, gravel bag berm, or silt fence. Licensee shall install sediment control BMPs per the SE-5, SE-6, or SE-1 details provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction.
c) Remove Tracking Control BMPs from the License Area.
d) Cover the surface of the entire License Area with two (2) inches of three-quarter (3/4) inch diameter gravel.

License Area clean up shall be completed to the sole satisfaction of the City no later than the times specified in the License as stated in paragraph 1 above, and the License shall be extended to such time for the limited purpose of allowing the clean up to be completed.

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4. Damage. In the event that Licensee damages any portion of the License Area or the improvements or equipment therein, Licensee shall immediately repair the damage at Licensee’s sole cost.

Alternatively, the City may, at its election, repair the damage in which case Licensee shall reimburse the City for its cost within fifteen (15) days of receipt of written demand from City.

5. Licensee Parties. Licensee, together with its employees, subcontractors, agents, representatives, and all persons entering the License Area, by or through or at the direction of Licensee, are collectively referred to herein as the “Licensee Parties.” Licensee shall be responsible for the Licensee Parties and shall cause the Licensee Parties to comply with the terms of this Agreement.

6. Fee. As consideration for this Agreement, Licensee shall pay City a monthly license fee of $24,967.03. License fees for any partial month shall be pro-rated. Payment shall be made payable to the City of Santa Ana, in advance for each month, no later than the 10th of the prior month, at the following address: Public Works Agency, City of Santa Ana M-21, Administrative Services Manager, 20 Civic Center Plaza, PO Box 1988, Santa Ana, CA 92702. A late charge of ten percent (10%) shall be applied to any payment hereunder due but unpaid after the 10th of the month. The consideration for this License shall be subject to a CPI adjustment annually utilizing the most recently published annual average, on the anniversary of the Effective Date during the term hereof.

7. AS-IS Condition. City makes no representation or warranty of any kind as to the condition of the License Area or any other matter relating to Licensee’s use of the License Area. Licensee hereby disclaims and waives any and all objections to the physical and other characteristics and conditions of the License Area. Licensee acknowledges and agrees that the use of the License Area will be on the basis of Licensee’s own investigation of the condition of the License Area. The license to use the License Area shall be granted on an “AS-IS,” “WITH ALL FAULTS” basis, without representation or warranty expressed or implied by City, or by operation of law. City expressly disclaims, which Licensee hereby acknowledges and accepts, any implied warranty of condition or fitness for a particular purpose or use.

Licensee’s use of the License Area shall be subject to the License Area being in a usable and safe condition at the time of Licensee’s use and Licensee shall be responsible for determining whether the License Area is in such condition. In connection therewith, in the event that the License Area or access thereto is damaged or obstructed or the use by Licensee is otherwise impaired, prevented or limited, City shall have no obligation or duty to repair the damage or rectify the condition to make the License Area usable or safe.

8. Insurance.

8.1 Licensee shall maintain commercial general liability insurance which shall include, but not be limited to, protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Licensee’s use of the Property, including, without limitation, acts involving vehicles.

8.2 The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $2,000,000 per occurrence and $5,000,000 in the aggregate. Such insurance shall (a) name the City, its City Council, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions.

8.3 Licensee shall maintain business automobile liability insurance, or equivalent form, with a combined single limit of not less than $5,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles.

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8.4 Pursuant to state law, Licensee is required to be insured against liability for worker’s compensation or to undertake self-insurance. Prior to commencing the performance of services under this Agreement, Licensee agrees to obtain and maintain any employer’s liability insurance with limits not less than $1,000,000 per accident.

8.5 Certificates of Insurance: Additional Insured Endorsements. Prior to execution of this Agreement, Licensee shall furnish to City certificates of insurance and, if applicable, additional insured endorsements to each of Licensee’s insurance policies, evidencing the foregoing insurance coverages as required by this Agreement. These certificates shall:
a. provide the name and policy number of each carrier and policy; b. shall state that the policy is currently in force; and c. shall promise to provide that such policies will not be canceled, suspended, voided, reduced in coverage or in limits, or modified without thirty (30) days prior written notice of City.

Licensee shall maintain the foregoing insurance coverages in force throughout the term of this Agreement. City or its representatives shall at all times have the right to demand the original or a copy of all these policies of insurance, which Licensee shall provide within five (5) days of City’s request.

9. Indemnity. Licensee shall indemnify, defend, and hold harmless City, and its respective agents, representatives, employees, subsidiaries and affiliates (“Covered Parties”) from and against any and all actions, suits, claims, demands, judgments, losses, expenses, or liabilities, injuries and damages to persons and property, including death, arising out of or related to Licensee’s use of the License Area, the entry by any Licensee Party on the License Area or surrounding property, or Licensee’s breach or default in the performance of any of its obligations under this Agreement; provided, however, that Licensee will not be obligated to indemnify the Covered Parties from any claims arising solely from the gross negligence or willful misconduct of a Covered Party. If any action or proceeding is brought against any Covered Party by reason of any such claim, Licensee, upon receipt of written notice from Covered Party, shall defend the same at Licensee’s expense with legal counsel reasonably acceptable to Covered Party. Payment shall not be a condition precedent to recovery under any indemnification in this Agreement, and a finding of liability or an obligation to indemnify shall not be a condition precedent to the duty to defend. The provisions of this Section 10 shall survive the termination or expiration of this Agreement.

10. Miscellaneous.

10.1 Entire Agreement, Waiver and Amendments. This Agreement incorporates all of the terms and conditions mentioned herein, or incidental hereto, and supersedes all negotiations and previous agreements between the parties with respect to the subject matter of this Agreement. All waivers of the provisions of this Agreement must be in writing and signed by the appropriate authorities of the party to be charged. Any amendment or modification to this Agreement must be in writing and executed by the appropriate authorities of the City and Licensee.

10.2 Severability. If any term, provision, covenant, or condition of this Agreement is held by a court of competent jurisdiction to be invalid, void, or unenforceable, the remaining provisions of the Agreement shall continue in full force and effect, unless and to the extent the rights and obligations of one or both parties has been materially altered or abridged by such holding.

10.3 No Assignment. Licensee shall not assign or transfer or otherwise convey any interest in this Agreement to any party without the express prior written consent of City, which consent may be withheld in City’s sole and absolute discretion.

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10.4 Applicable Law. This Agreement shall be construed and enforced in accordance with the internal laws of the State of California.

10.5 Litigation Expenses. If either party to this Agreement commences an action against the other party to this Agreement arising out of or in connection with this Agreement, the prevailing party shall be entitled to recover reasonable attorneys’ fees, expert witness fees, costs of investigation, and costs of suit from the losing party.

10.6 Authority. The persons executing this Agreement on behalf of the parties hereto represent and warrant to the other party that they are duly authorized to execute and deliver this Agreement on behalf of such party, and by so executing this Agreement, said party is formally bound to the provisions of this Agreement.

10.7 Notices. Any notices, requests, or approvals given under this Agreement from one party to another shall be in writing and shall be personally delivered or deposited with the United States Postal Service for mailing, postage prepaid, by certified mail, return receipt requested, to the addresses of the other party as stated in this section, and shall be deemed to have been received at the time of personal delivery or three (3) days after the deposit for mailing. Notices shall be sent to:

If to Licensor: K&C Logistics, LLC
Attn: Kadir Koc - President
1700 E. Garry Avenue, Suite 214
Santa Ana, CA 92705
If to City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988

11. Execution in Counterpart. This Agreement may be executed in several counterparts, and all so executed shall constitute one agreement binding on both of the parties hereto, notwithstanding that both parties are not signatories to the original or the same counterpart.

[Signatures on the following page]
[This space intentionally left blank]
City Council 31 – 9 8/20/2024
Nabil Saba
Digitally signed by Nabil
Saba
Date: 2024.08.06 13:45:46
-07'00'
City Council 31 – 10 8/20/2024
City Council 31 – 11 8/20/2024
City Council Item
https://www.santa-ana.org/city-council
Item # 32
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 20, 2024
TOPIC: Affirm Approval of City Manager Employment Agreement

AGENDA TITLE
Affirm Approval of City Manager Employment Agreement

RECOMMENDED ACTION
Direct and authorize the Mayor to execute the attached City Manager Employment Agreement with Alvaro Nuñez.

GOVERNMENT CODE §84308 APPLIES: No

DISCUSSION
Section 500 of the City Charter of the City of Santa Ana authorizes the City Council to appoint a City Manager. The City Manager is the chief administrative officer of the City who, under the direction of the City Council, is responsible for the proper administration of all affairs of the City.

The proposed Employment Agreement, a copy of which is attached as Exhibit A, is an Agreement negotiated between the candidate and the City Council. The City Council announced the appointment of the City Manager on August 6, 2024 and the approval of the terms of the Agreement which shall be deemed effective as of that date. The Agreement provides for all of the following:
*Term: The agreement is for a term of three (3) years. The Agreement contains a renewal option for two, one-year extensions, unless notice is provided by the Council. The renewal options are necessary to accommodate the 12-month severance provision, however, the Council may provide notice to limit the term to three years as negotiated. *Salary: The agreement provides an annual salary of $315,000. *457 Plan Contribution: The agreement provides for the maximum contribution provided by the IRS Code and is the same as was provided to previous employees holding this position.
*Benefits: The agreement provides for the same benefits that Executive Directors are provided pursuant to the Resolution adopted by Council and as that may be revised from time-to-time, except as expressly provided for in the agreement.

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City Manager Employment Agreement
August 20, 2024

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*Termination: The agreement provides for at-will employment, a severance provision of 12 months if terminated without cause, and an election cooling period in which termination may not occur six months prior to or after a municipal election at which officers are elected.

ENVIRONMENTAL IMPACT
The consideration and approval of the agreement does not constitute a project under the California Environmental Quality Act.

FISCAL IMPACT
The City Council approved the budget for the City Manager’s Office for Fiscal Year 2024-

25. The budget assumptions for City Manager salary and benefits exceed the fiscal impact of the negotiated terms of the Agreement, thus there are more than sufficient funds in the City Manager’s Office account budget to fund this Agreement.

EXHIBIT(S)

1. City Manager Employment Agreement
Submitted By: City Council Consultant Jacob Green and Associates City Council 32 – 2 8/20/2024
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EMPLOYMENT AGREEMENT

BETWEEN
THE CITY OF SANTA ANA AND ALVARO NUÑEZ
THIS EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into effective as of the 6th day of August 2024, by and between the CITY OF SANTA ANA, a general law city and municipal corporation (“City”), and ALVARO NUÑEZ, an individual (“Nuñez”) and collectively with the City, the “Parties”), both of whom understand as follows:

RECITALS
A. City desires to engage the services of Nuñez, and Nuñez desires to accept employment, as City Manager of the City of Santa Ana, as provided by the provisions of Section 500 of the City Charter of the City of Santa Ana; B. It is the desire of the City Council to (1) secure and retain the services of Nuñez and to provide inducement for him to remain in such employment, (2) to make possible full work productivity by assuring Nuñez’s morale and peace of mind with respect to future security, and (3) to provide a means of terminating Nuñez’s services if City so desires to terminate his employment;
C. Nuñez desires to accept employment, on an at-will basis, as the City Manager of the City; and
D. The Parties further desire to establish certain benefits and certain conditions of Nuñez’s employment.

NOW, THEREFORE, in consideration of the mutual covenants herein contained, the Parties agree as follows:

1. Employment.
a. Duties. The City hereby agrees to employ Nuñez as City Manager of the City to perform the functions and duties specified in City's Charter and Municipal Code, and Nuñez agrees to accept such employment. Nuñez shall perform all duties and responsibilities imposed by law and industry standards, and such legally permissible further and proper duties and functions as the City Council may from time to time assign. Nuñez shall hold office at the pleasure of the City Council and shall be the chief administrative officer and head of the administrative branch of the government of City Council 32 – 3 8/20/2024
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the City under the direction and control of the City Council except as otherwise provided in the Municipal Code.
b. Work Efforts and Schedule. Nuñez shall devote such time, interest, and effort to the performance of his duties as may be reasonably necessary to fulfill the requirements set forth in Section 1.a. Nuñez agrees to perform such services to the best of his ability, in an efficient and competent manner consistent with the standards of the profession. Due to the nature of the City Manager position, it is understood that flexibility is required for Nuñez’s work schedule, including without limitation the need for remote work and to modify his schedule within reason to adjust for attendance at meetings at night and during other times outside of ordinary business hours, at Nuñez’s reasonable discretion. Without limiting the generality of the foregoing, Nuñez understands and agrees that the position is an exempt, salaried, full-time position that may involve expenditures of time in excess of forty (40) hours per week, and will also include time outside normal office hours, such as attendance at City Council and other community and public agency meetings. Nuñez shall be exempt from paid overtime compensation and from Fair Labor Standard Act work hours restrictions. For purposes of this Section, “normal office hours” shall refer to work at City Hall when it is open for business, as determined by the City Council.
c. Outside Professional Activities. Due to the nature of the City Manager position, it is understood Nuñez shall not consult or engage in other non-City connected business or employment (aside from community volunteer activities) without the prior knowledge and express approval of the City Council. Nuñez may, however, undertake limited outside activities, including (a) volunteer professional development activities, including activities on behalf of organizations like the League of California Cities and City Manager associations; (b) volunteer activities; (c) teaching, subject to City Council approval; and/or (d) other related activities, provided that such activities do not in any way interfere, conflict with, or adversely affect his employment as City Manager or the performance of his duties as provided herein.

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2. Term.
a. Commencement and Term. This Agreement shall be effective as of August 6, 2024, which is the commencement date of Nuñez’s service as City Manager (August 6 shall hereinafter be referred to as the “Anniversary Date”) and continued without interruption through August 5, 2027 (“Term”), unless terminated as provided in Section 3 herein.
b. Renewal. On each of the Anniversary Dates in 2026, 2027 and 2028, respectively, this Agreement shall automatically renew for one (1) additional year (each automatic one (1)-year renewal shall be considered an extension of the Term), unless prior thereto, either (i) the Parties agree to enter into a formal, written amendment to mutually extend the Term of this Agreement for greater than a one (1)-year period, or (ii) the City Council notifies Nuñez of its intent not to extend the Agreement for one additional year; provided, however, that in the event the City Council desires not to allow the automatic renewal of the Term of the Agreement, the City shall inform Nuñez, in writing, no less than six (6) months prior to the end of the Term, as may have been from time to time extended in accordance with this Section. For the avoidance of doubt, this Section 3.b allows for two separate one-year renewals.

3. Termination, Resignation, and Severance Pay.
a. At-Will. Nuñez’s employment with the City is on an at-will basis. Nothing in this Agreement shall prevent, limit or otherwise interfere with the right of the City Council to terminate, by at least two-thirds (⅔) membership vote of the City Council, the services of Nuñez without cause, at any time and without notice other than a duly-noticed City Council meeting agenda, and complying with Section 3.d of this Agreement and the Santa Ana City Charter Section 500, as may from time to time be amended, unless waived in writing by Nuñez. Notwithstanding the foregoing, Nuñez may not be terminated under this provision for at-will termination by the City before or within a period of six (6) months following a municipal election (general, special, recall) or appointment at which one or more Council seats are contested on the ballot of such election (the "Election Cool-off Period"). For the avoidance of doubt, the City Council’s decision during the Election Cool-off Period or otherwise to either (i) not renew, or provide notice of non-renewal of, the Agreement, as set forth in Section 2.b, above, or (ii) City Council 32 – 5 8/20/2024
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terminate “for cause,” as set forth in Section 3.c, below, does not constitute a termination for purposes of this Section 3.a.
b. Resignation. Nothing in this Agreement shall prevent, limit, or otherwise interfere with the right of Nuñez to resign from his position, subject only to Nuñez providing sixty (60) days’ prior written notice to the City. Nuñez’s resignation shall be deemed accepted upon delivery of a written resignation to the City Council.

Notwithstanding the foregoing, Nuñez hereby expresses his intent to remain as City Manager for a period of not less than three (3) years from the date of execution of this Agreement.
c. For Cause Termination. Notwithstanding the provisions of Section 3.a, City may terminate this Agreement "for cause" as defined below. In the event Nuñez is terminated by the City for “cause” (i.e., a “For Cause Termination”) then City may terminate this Agreement immediately and Nuñez shall not be entitled to severance and will only be entitled to the compensation accrued up to the date of such For Cause Termination. For Cause Termination shall be defined for purposes of this Agreement to only mean any of the following: (1) conviction of any felony; (2) conviction of a misdemeanor arising directly out of the City Manager's duties pursuant to this Agreement involving a willful and intentional violation of law; (3) conviction of a crime of moral turpitude; (4) removal from office by the Grand Jury; (5) willful abandonment of duties; (6) malfeasance; (7) gross negligence; (8) fraud; or (9) serious misconduct, substantiated through an independent investigation (e.g., sexual harassment, discrimination), which would constitute a violation of City policy, or state or federal law. (Conviction for purposes of this Agreement includes a judgment entered after a trial, plea of guilty, or plea of nolo contendere.)
d. Severance. In the event Nuñez is terminated by the City Council at any time that Nuñez is still willing and able to perform the duties of City Manager, and the termination is not a For Cause Termination (i.e., it is instead an “At Will Termination”), as defined in Section 3.a, above, then, subject to the limitations set forth in Government Code Section 53260, the City shall pay Nuñez a lump sum cash payment settlement equal to twelve (12) months’ base pay (as defined in Section 5, below) (“Severance”), exclusive of incentive or bonus pay, benefits and other non-cash City Council 32 – 6 8/20/2024
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remuneration, except health benefits which will be continued, at the same level of City contribution provided Department head level employees (and at the same coverage election as at the time of termination), for the same period as the severance or until Nuñez begins other employment, whichever occurs first. To receive Severance, Nuñez must execute and deliver to the City a Settlement Agreement and General Release, in a form satisfactory to the City, within twenty-one (21) days of the date of notice of the At Will Termination and given by at least two-thirds (⅔) membership of the City Council. In the event Nuñez elects not to sign the Settlement Agreement and General Release, Nuñez will not be entitled to Severance. The term At Will Termination shall include Nuñez’s resignation, but only if it is preceded by a formal request by at least two-thirds (⅔) of the of the membership of the City Council that he resign and is outside of the termination period specified in Section 2.b. The term At Will Termination does not include any of the following circumstances, for which Nuñez will not be entitled to Severance: (1) his employment is terminated by the Council at any time for cause (i.e., a For Cause Termination); (2) Nuñez resigns or retires, except for a resignation as referenced in the immediately preceding sentence; (3) in the event of death, or due to a medical condition or disability, even with reasonable accommodations, Nuñez cannot perform the essential functions of the employment position; or (4) his Agreement is not renewed and Nuñez has received notice of non-renewal at least six (6) months’ prior to the expiration of the Term, per Section 2.b.
e. Effect of Payment of Severance/Release.
i. It is understood and agreed by the Parties that Nuñez is employed at will, and that upon commencement of the City’s payment of Severance to Nuñez, any right of Nuñez to continued employment with City is terminated. The promise and tender of payment to Nuñez, of any Severance payable herein, is in lieu of any damages which Nuñez might claim arising out of the At Will Termination of the employment relationship between the Parties, including lost wages, breach of contract, express or implied, breach of covenant of good faith and fair dealing, emotional distress and anxiety, or any similar contractual and personal injury claims. ii. This Section does not otherwise affect, waive, nor
release any other rights Nuñez may have under this Agreement or applicable law.

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f. Abuse of Office. Pursuant to Government Code sections 53243 et seq., if Nuñez is convicted of a crime involving an abuse of his office or position, as defined below, all of the following shall apply upon final conviction: (1) if Nuñez is provided with administrative leave pay pending an investigation, he shall be required to fully reimburse such amounts paid; (2) if the City, in its discretion, pays for the criminal legal defense of Nuñez, in his official capacity, Nuñez shall be required to fully reimburse such amounts paid; and (3) if this Agreement is terminated, any cash settlement related to the termination that Nuñez may receive from the City shall be fully reimbursed to City.

For purposes of this Section, “abuse of office or position” means either: (1) an abuse of public authority, including waste, fraud, and violation of the law under color of authority as those crimes are specifically defined under specific provision of California statute; or (2) a crime against public justice, including a crime described in Title 7 commencing with section 92 of the Penal Code or as specifically defined under separate provision of California statute.
g. Public Communications. The City and Nuñez agree that neither the City nor Nuñez, shall make any written, oral or electronic statement to any member of the public, the press, or any City employee concerning Nuñez’s separation from the City, except in the form of a joint press release, the content of which is mutually agreeable to the City and Nuñez. Consent of either Party to such joint press release shall not unreasonably be withheld. Either party may verbally repeat the substance of the joint press release or statement in response to any inquiry. This Section 3.g shall not apply in the event of a For Cause Termination.
h. Survival. This Section will survive termination of the Agreement.

4. Revolving Door. Nuñez must comply with Government Code Section 87406.3 for a period of one year after separating from service with City. This Section will survive termination of this Agreement.

5. Compensation.
a. Base Salary. The City agrees to pay Nuñez for the services required by this Agreement a base annual salary of three-hundred and fifteen-thousand Dollars ($315,000.00), payable in equal installments at the same time as other employees City Council 32 – 8 8/20/2024
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of the City are paid and subject to customary withholding for taxes and other required deductions.
b. Other Salary Adjustments. On his Anniversary Date starting in 2025, the City may consider potential increases to Nuñez’s salary and/or any other benefits Nuñez receives, and to make modifications in such amounts and to such extent (whether in the nature of a merit-based base salary increase, other compensation enhancement, or otherwise) based on performance, comparative salaries, and the finances of the City, as the City Council in its discretion may determine that it is desirable to do so, to take effect upon City Council approval. The City Council may, in its discretion, also determine to give Nuñez exceptional performance recognition in the form of a onetime check for exceptional performance during the prior year, to take effect upon City Council approval. Any modifications to Nuñez’s compensation or benefits as contemplated in this Section 5.c require written amendment of this Agreement, approved by the City Council at a regular meeting.
b.c. Bilingual Pay. If Nuñez elects to qualify for bilingual skill pay, the City will pay him the highest amount available to management employees on a schedule consistent with other employees.

6. Automobile. The City agrees that upon proof of insurance coverage in an amount acceptable to the City, the City shall provide Nuñez a City-owned vehicle for Nuñez’s exclusive use. The City will be responsible for paying for liability, property damage, and comprehensive liability insurance for the purchase, operation, maintenance, repair, and regular replacement of said vehicle. At Nuñez’s discretion, in lieu of electing to utilize a City-owned vehicle, he may elect to receive a monthly vehicle allowance of Five Hundred Dollars ($500.00) per month, which shall be paid on a schedule consistent with the unrepresented Executive Management Groupin equal installments in each pay period. The vehicle allowance is intended to reimburse Nuñez for mileage costs and the use of his private vehicle for City business. If Nuñez elects the allowance he must provide his own automobile for his use in performing his duties and is responsible for all maintenance, repair, fuel and insurance expenses for said vehicle. Nuñez agrees to adhere to all laws, regulations, and City policies applicable to vehicles, driving, or traffic when operating any vehicle on City-related business.

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7. Cell Phone/Technology/Equipment. The City agrees to provide Nuñez a cell phone, laptop computer in addition to a desktop computer, and a mobile device such as an IPad for purposes of conducting official City business. Nuñez agrees the use of such equipment shall be for conducting City business only and shall not be used for personal purposes.

8. Leaves, Vacation, and Holidays.
a. Sick Leave. Sick leave shall accrue and be capped at the same amount of hours per year as provided to the unrepresented Executive Management Group. Sick leave accrues and is accounted for on a prorated basis in each pay period.

As an existing employee of City, Nuñez has a bank of sick leave hours which he shall be entitled to retain. Sick leave may be used for personal illness, illness of a spouse or dependent, and doctor and dentist appointments or as otherwise provided under California law. Sick leave earned can be cashed in (into the City’s Retirement Health Savings (“RHS”) Plan) and/or CalPERS Service Credit at the rate of one hundred percent (100%) of its value upon death, retirement for disability or from service, or resignation.

Accrued sick leave may also be converted to service credit under the "Credit for Unused Sick Leave" option of the Public Employees' Retirement System per Government Code section 20965. Any annual accrual over the maximum sick leave hours will be converted into Nuñez’s RHS Plan account during the first full pay period in January of each year.

Nuñez upon termination of employment with the City, shall be entitled to the amount of unused sick leave benefits credited to his RHS and/or CalPERS Service Credit account upon the effective date of separation.
b. Vacation Leave. Nuñez shall earn of the same amount of vacation hours per year as provided to the unrepresented Executive Management Group.

Vacation leave accrues and is accounted for on a prorated basis in each pay period. As an employee of City, Nuñez has a bank of vacation leave hours that he shall be entitled to maintain. Nuñez shall accrue vacation leave at his existing normal rate. Nuñez may use vacation as it accrues. Vacation accrued by Nuñez and not taken shall be cashed out or paid to Nuñez when separating from City service, calculated at Nuñez’s then-current base hourly rate in accordance with the same rules that apply to the unrepresented City Council 32 – 10 8/20/2024
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Executive Management Group; it shall not be necessary to carry Nuñez on the payroll for the vacation period available at time of separation. In the event separation from the City is caused by Nuñez’s death, payment shall be made to Nuñez’s designated beneficiary or in accordance with the law. Vacation is transferable from one year to the next. c. Management Vacation (Administrative Leave). Management vacation leave shall accrue and be capped at the same amount of hours per year as provided to the unrepresented Executive Management Group for Nuñez to be taken at his discretion, which shall be deemed earned on January 1 of each year. As a current employee of the City, Nuñez has a bank of management vacation leave hours that he shall be entitled to maintain. The highest leave accrual, maximum accrual, and cash-out provisions provided to any represented employee’s unit, will also be offered to Nuñez.

Such cash option may be eliminated or modified to the extent it is construed as overtime under Department of Labor Guidelines implementing provisions of the Fair Labor Standards Act.
d. Holidays. Nuñez shall be entitled to the same number of paid holidays per year as provided to other City unrepresented Executive Management Group employees.

9. Retirement, Insurance, and Other Benefits.

Unless expressly addressed in this contract, Nuñez will receive the same benefits as the unrepresented Executive Management Group.
a. CalPERS Retirement. The City agrees to execute all
necessary agreements to enroll Nuñez in the California Public Employees Retirement System ("CalPERS") commensurate with the standard City employee retirement benefits program, as that program may be changed from time to time. During the term of this Agreement, City shall contribute to the employer's portion and as a Classic member under CalPERS, Nuñez will continue to be enrolled in the 2.7% at 55 Service Retirement Benefit formula. Nuñez shall pay eight percent (8%) of CalPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. This payment shall be implemented as cost-sharing pursuant to Government Code section 20516(f).

City Council 32 – 11 8/20/2024
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b. Pre-Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, this eight percent (8%) employee contribution shall be implemented through payroll deductions on a pre-tax basis.

In addition, Nuñez shall further contribute to the costs of his retirement benefits in such amounts, if any, hereafter approved by the City and applied to City general management employees prior to the expiration date of this Agreement. The City does not participate in Social Security for employees enrolled in CalPERS. Notwithstanding the foregoing, in the event CalPERS determines Nuñez to be a classic member, Nuñez and the City shall each pay the normal contribution in accordance with City policy. Nuñez shall complete CalPERS’s “Reciprocal Self-Certification Form” and submit the form to the City within 10 business days after employment has commenced.
c. Medical and Other Insurance.
i. Medical.
(a) City Contribution. The City shall provide health
(medical, dental and vision) insurance benefits to Nuñez as commensurate with the standard unrepresented Executive Management Group employee health benefits. The City shall pay one hundred percent (100%) of the premium coverage for Nuñez, and ninety percent (90%) of the premium coverage for all dependent care. Nuñez shall be responsible for the remaining dependent care premium coverage, as well as all co-pays, charges, out-of-pocket expenses, and other costs required by the insurance provider or for any such co-pays, charges, out-of-pocket expenses, and other costs not covered by insurance.
(b) In-Lieu Benefit. In lieu of selecting to use the
City-provided above-referenced health benefit coverage, Nuñez may elect a cash as commensurate with the standard unrepresented Executive Management Group employee health benefits.
ii. Life Insurance and Long Term Disability. City shall provide Nuñez with a term life insurance policy in the amount of five hundred thousand dollars ($500,000) and Nuñez shall name the beneficiary of the policy. City shall further City Council 32 – 12 8/20/2024
55394.00000\42495009.1
pay the premium for long-term disability insurance, as provided to unrepresented Executive Management Group.
iii. Deferred Compensation (457 Plan). City agrees to
provide Nuñez an annual deferred compensation pursuant to section 457 of the Internal Revenue Code in an amount equal to the maximum contribution allowed by law, including the normal contribution and the catch-up contribution for individuals aged 50 or over.

Payments shall be equally divided over twelve months and deposited by City into his 457 plan account each month.
d. Other Insurance. City shall provide and pay for all other insurance mandated by State law.

10. Wellness Stipend. Nuñez shall be entitled to reimbursement for expenses related to wellness (e.g., uninsured medical expenses, chiropractic visits, elective dental work, fitness memberships, etc.), upon submission of receipts to the City, up to a gross amount of one thousand Dollars ($1,000) per calendar year.

11. Professional Development. The City hereby agrees to budget for and pay travel and subsistence expenses of Nuñez for professional travel, official travel, meetings necessary to pursue official and other functions for the City and to continue professional development of Nuñez, to the extent deemed reasonable by the City Council.

The City also agrees to pay for the travel and subsistence expenses of Nuñez for short courses, institutes and seminars that are necessary for his professional development and for the good of the City.

12. Memberships. The City agrees to pay Nuñez’s membership dues and subscriptions in the Orange County City Manager’s Association, the International City/County Management Association (“ICMA”), League of California Cities, California City Managers Foundation, and other similar organizations to which the City is a member, at City expense with prior City approval. Nuñez shall have a reasonable right to attend meetings of such organizations.

13. General Expenses. The City recognizes that certain extraordinary expenses of a non-personal and job-affiliated nature may be incurred by Nuñez, such as a business-related lunch or certain expenses incurred at a conference of a professional organization of which Nuñez is a member. The City agrees to reimburse Nuñez for City Council 32 – 13 8/20/2024
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reasonable expenses which are submitted to the City Council within thirty (30) days of occurrence for approval and which are supported by expense receipts, statements or personal affidavits, and an audit thereof in like manner as other demands against the City.

For the avoidance of doubt, this paragraph is intended to apply to business expenses that Nuñez himself directly incurs in performance of his job duties.

14. Performance Evaluation. The City Council shall conduct a “mini” review and evaluate the performance of Nuñez at the first regular meeting that is at least 120 days following the commencement of his job as City Manager. At least annually thereafter, the City Council shall conduct a review and evaluate the performance of Nuñez in his role as City Manager in accordance with the City Charter. At the election of either Nuñez or the City Council, the format of such evaluation shall be a facilitated evaluation conducted by a third-party facilitator that is mutually agreeable to both the City Council and Nuñez, at the City Council’s expense. If neither the City Council nor Nuñez elect for a facilitated evaluation, the format of the evaluation shall be as determined by the City Council. The City Council shall provide Nuñez with an evaluation of his performance based on criteria established by the City Council with the assistance of Nuñez and/or the facilitator, if so elected. Nuñez shall be provided an adequate opportunity to discuss his evaluation with the City Council. The annual evaluations are expected to take place within one month before or after the Anniversary Date, or at any other time as requested by Nuñez. Notwithstanding the foregoing, the City Council may evaluate Nuñez at any time.

15. Indemnification. In accordance with and consistent with applicable law, the City shall provide Nuñez with a defense and indemnification, and shall hold Nuñez harmless from and against any and all claims, actions, or causes of action of any kind for which Nuñez may be held liable and which arise out of or relate to Nuñez’s performance of his job duties at City, in accordance with the requirements of the California Government Code. In addition and in accordance with and consistent with applicable law, the City shall defend, at the City’s expense and with counsel of the City’s choosing, any action, claim, or proceeding in which Nuñez is named and which alleges actions on the part of Nuñez, or failures to act, within the scope of the above-referenced indemnity obligation. Notwithstanding the foregoing, any funds provided for the legal criminal defense of Nuñez, if such were authorized, shall be fully reimbursed to the City if Nuñez City Council 32 – 14 8/20/2024
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is convicted of a crime involving an abuse of his office or position, in accordance with Government Code section 53243.1. This Section will survive the termination of the Agreement.

16. Bonding. The City shall bear the full cost of any fidelity or other bonds required of Nuñez, acting as City Manager of the City, under any law or ordinance.

17. Other Terms and Conditions of Employment. The City Council may by resolution or contract amendment from time to time fix other terms and conditions of Nuñez’s employment as the City may determine relating to the performance of his duties as City Manager, provided that such terms and conditions are not inconsistent or in conflict with the provisions of this Agreement, the City's Municipal Code, and all applicable laws.

18. Notices. Notices given under this Agreement shall be in writing and shall be served personally or sent by Federal Express or some equivalent private overnight delivery service. Notices shall be deemed received at the earlier of actual receipt or two (2) days following transmission to an overnight carrier.

City Attn: City Council
City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701
With a copy to:

Santa Ana City Attorney
City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701
Nuñez
To the address on file with the City’s Human
Resource Department
City Council 32 – 15 8/20/2024
55394.00000\42495009.1

19. Arbitration. Any controversy or claim arising out of the interpretation or performance of this Agreement, or otherwise pertaining to this Agreement or Nuñez’s appointment and service as the City Manager, shall be resolved by binding arbitration in Orange County, California, in accordance with the rules of the Judicial Arbitration and Mediation Services, Inc., or such other arbitration service that the City and Nuñez may mutually select; and the arbitration award may be enforced as provided by California law.

The City shall be solely responsible for the costs of administration and the costs of the arbitrator.

20. Assignment. This Agreement is not assignable by either the City or Nuñez. The City and Nuñez acknowledge that this Agreement is a personal services agreement for the personal services of the City Manager.

21. General Provisions
a. The text herein shall constitute the entire agreement between the Parties. No representations have been made or relied upon except as set forth herein.

The Agreement is deemed to have been prepared by all of the Parties hereto, and any uncertainty or ambiguity herein shall not be interpreted against the drafter, but rather, if such ambiguity or uncertainty exists, shall be interpreted according to the applicable rules of interpretation of contracts under the law of the State of California. The use of section headings in this Agreement is provided for convenience only and will not have any impact on the interpretation of particular provisions.
b. If Nuñez dies or becomes incapacitated during the Term of this Agreement, any accrued and unpaid wages provided by the terms of this Agreement shall be paid by City to Nuñez’s spouse or if no spouse, to Nuñez’s dependents. The Agreement shall be binding upon, or shall inure to the benefit of, the respective heirs, executors, administrators, successors and assigns of the Parties; provided, however, that Nuñez may not assign Nuñez’s obligations hereunder. c. If any provision or portion hereof contained in this Agreement is held to be unconstitutional, invalid, or unenforceable, the remainder of this Agreement or portion thereof shall be deemed severable and shall not be affected and shall remain in full force and effect.

City Council 32 – 16 8/20/2024
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d. This Agreement represents the entire understanding of the City and Nuñez as to those matters contained herein, and no prior oral or written understanding shall be of any force or effect with respect to those matters covered by this Agreement. Except as specifically authorized by this Agreement, this Agreement may not be modified, altered or amended, except in writing approved by the City Council at a regular public meeting and Nuñez, and signed by the Mayor and Nuñez. e. Nuñez is expected to conform to the ICMA Code of Ethics.

Nuñez shall not engage in any business or transaction, or have a financial or other personal interest or association, direct or indirect, that is in conflict with the proper discharge of his official duties or that would tend to impair the independence of his judgment or action in the performance of his official duties. Nuñez shall also be subject to the conflict of interest provisions of the Government Code of the State of California, the City's Municipal Code, and any other conflict of interest regulations applicable to Nuñez’s employment with the City.
f. This Agreement shall be construed in accordance with the laws of the State of California and the parties agree that venue shall be in the state court in the County of Orange, California.
g. Nuñez acknowledges that he has had the opportunity to consult legal counsel in regard to this Agreement, that he has read and understands this Agreement, that he is fully aware of its legal effect, and that he has entered into it freely and voluntarily and based on his own judgment and not on any representations or promises other than those contained in the Agreement.

IN WITNESS WHEREOF, the City and Nuñez have executed this Agreement as of the day and year first above written.

NUÑEZ
________________________
ALVARO NUÑEZ
City Council 32 – 17 8/20/2024
55394.00000\42495009.1

CITY OF SANTA ANA
By: __________________________

VALERIE AMEZCUA, MAYOR
ATTEST:
___________________________

JENNIFER HALL, CITY CLERK
APPROVED AS TO FORM:
________________________________

SONIA CARVALHO, CITY ATTORNEY
City Council 32 – 18 8/20/2024
Human Resources Department
www.santa-ana.org/human-resources
Item # 33
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 20, 2024
TOPIC: Staff Development Resources for City of Santa Ana Employees

AGENDA TITLE
Agreement with Franklin Covey Client Sales, Inc. for Training Resources for Citywide Staff Development (General Fund)

RECOMMENDED ACTION
Authorize the City Manager to execute a sole source agreement with Franklin Covey Client Sales, Inc. to provide staff development resources for City of Santa Ana employees, for a term beginning July 15, 2024 and expiring July 14, 2027, for an aggregate amount not to exceed $90,960 (Agreement No. A-2024-XXX).

GOVERNMENT CODE §84308 APPLIES: Yes

DISCUSSION
The Human Resources Department utilized training resources provided by FranklinCovey over the past year to efficiently offer leadership courses to staff. These resources have included training curriculum, course materials, web-based training platform, etc., via their All Access Pass subscription. The Human Resources Department has dedicated one full-time Organizational Development and Training Manager to provide training with the assistance of other staff. By utilizing this subscription for the curriculum and course materials, this manager was able to bring new courses to the City without spending time developing the materials internally. The Human Resources Department requests to renew the FranklinCovey All Access Pass program for a three-year period.

Santa Ana City Ordinance No. NS-3041 authorizes the City to make non-bid purchases of services, supplies, materials, and equipment whenever it shall appear that there is only one reasonably available source. Staff researched available procurement options and product offerings in the market and determined that the training and staff development resources offered by Franklin Covey Client Sales, Inc. meets the City’s needs. FranklinCovey training curriculum, materials, and related offerings are proprietary and cannot be sourced through any other supplier. Additionally, over the past year, staff experience with FranklinCovey has been exceptionally positive; staff has worked with the supplier to develop custom solutions for the City, and training City Council 33 – 1 8/20/2024
Staff Development Resources for City of Santa Ana Employees August 20, 2024

Page 2 ends

participants have reported that their experience has been excellent. FranklinCovey provides cost efficient and proven leadership and management training programs which include instructor certification. Their breadth of high quality courses is greater than other vendors. To obtain access to a similar catalog of materials, agreements with several vendors would be needed, multiplying the cost. Their comprehensive package, which includes access to a wide range of resources and support services, represents a costeffective solution compared to piecemeal offerings from multiple providers. Employees have reported tangible improvements in their leadership capabilities, productivity, and job satisfaction as a direct result of participating in FranklinCovey training sessions. By continuing our partnership with FranklinCovey, we gain access to their proprietary methodologies, tools, and frameworks, which are not readily available from other vendors.

The proposed agreement includes subscription to the All Access Pass and funds for purchase of training materials as needed.

ENVIRONMENTAL IMPACT
The consideration and approval of the proposed action do not constitute a project under the California Environmental Quality Act.

FISCAL IMPACT
Funding is available in the current FY 2024-25 budget and funding for subsequent fiscal years will be included in the proposed budget for City Council consideration.

Fiscal Year Accounting UnitAccount #Fund
Description
Accounting
Unit, Account
Description
Amount
24-25 01109050-62120 General Fund Human
Resources
Training,
Transportation,
Meeting
$30,320
25-26 01109050-62120 General Fund Human
Resources
Training,
Transportation,
Meeting
$30,320
26-27 01109050-62120 General Fund Human
Resources
Training,
Transportation,
Meeting
$30,320
Total $90,960
City Council 33 – 2 8/20/2024
Staff Development Resources for City of Santa Ana Employees August 20, 2024

Page 3 ends

EXHIBIT(S)

1. Agreement
Submitted By: Lori Schnaider, Executive Director of Human Resources Approved By: Alvaro Nuñez, City Manager
City Council 33 – 3 8/20/2024

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License Agreement 6 4 2 024 1
License Agreement 6 4 2 024 1
License Agreement 6 4 2 024 1
Franklin Covey Client Sales, Inc.
2200 West Parkway Boulevard
Salt Lake City, Utah 84119
FRANKLIN COVEY ALL ACCESS PASS®

LICENSE AGREEMENT
This License Agreement (the “Agreement”) is entered into between Franklin Covey Client Sales, Inc. (“FranklinCovey”), and the following organization (hereinafter referred to as “Client”) and allows certain Client employees (“Passholders”) access to the FranklinCovey Solutions (described below).

Client Organization: City of Santa Ana - CA
Contact Person: Sofia Style
Address: 20 Civic Center Plz
Santa Ana, California 92701-4058
Telephone: 714-647-5400
Email: [email protected]

License Information
Pass Type
License Start
Date
License End
Date
Number of
Passholders /
Quantity
Price per
Person
Extended Price
Discounted
Price per
Person(1)
Final
Net Price
All Access Pass 8/23/2024 7/24/2025 100 $281.00 $28,100.00 $248.20 $24,820.00 All Access Pass 7/25/2025 7/24/2026 100 $281.00 $28,100.00 $248.20 $24,820.00 All Access Pass 7/25/2026 7/24/2027 100 $281.00 $28,100.00 $248.20 $24,820.00 (1) One-time Discount
FranklinCovey Solutions
Building Business AcumenTM Presentation Advantage®
Change: How to Turn Uncertainty Into Opportunity Project Management for the Unofficial Project ManagerTM FranklinCovey Exercises The 4 Essential Roles Leadership Series FranklinCovey Modules The 4 Essential Roles of LeadershipTM FranklinCovey Microlearning The 5 Choices to Extraordinary Productivity® Fundamental Beliefs of Trust & Inspire Leaders The 6 Critical Practices for Leading a TeamTM Inclusive Leadership: Practical Ways to Cultivate Inclusion and The 7 Habits for Managers® Build a Better TeamTM The 7 Habits of Highly Effective People® Foundations Inclusive Hiring and Advancement The 7 Habits of Highly Effective People® Signature Program Leading at the Speed of Trust® The 7 Habits® Leader Implementation Leading Customer Loyalty® Unconscious Bias: Understanding Bias to Unleash PotentialTM Meeting AdvantageTM Working at the Speed of Trust®
Multipliers®: How the Best Leaders Ignite Everyone’s Intelligence Writing Advantage® Navigating Difficult ConversationsTM
Optional Passholder-Only Products/Services
Item Passholder Price
Pre-Packaged Participant Kit (price per kit) $45
City Council 33 – 4 8/20/2024

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Client may contact FranklinCovey via email to request additional licenses or optional products and/or services. For some products and services where additional terms are necessary, an order form will be issued.

If this Agreement is executed by Client after the License Start Date above, FranklinCovey may adjust the License Start and End Date based on the date FranklinCovey activates the License and provided the License Term does not change. Such change shall not affect the License Fee.

Terms and Conditions
A. Grant of Rights. FranklinCovey grants Client a limited, non-exclusive, non-transferable, revocable license for the Passholders, for whom fees have been paid, to (a) print or download from FranklinCovey’s web-based platforms, the participant and facilitator Materials as they exist (collectively “Materials”); and (b) create “Compilations,” which means a Passholder’s right to take portions of the downloadable Materials and use them in accordance with the terms of this Agreement and specifically in accordance with the Guidelines attached hereto as Exhibit A.

B. Limitations to Grant of Rights. Client agrees not to make, or allow its employees to make, Derivative Works (defined by U.S. Copyright Law, 17 U.S.C. §101, as amended). Client will effectively communicate to its Passholders that the Materials are copyright-protected and the proprietary property of FranklinCovey, and that neither Client nor its employees shall file share, distribute to a third party, or publicly post (Slide Share, YouTube, etc.) any of the Materials except as provided for herein. Client acknowledges and agrees that it will take commercially practicable means as technologically feasible, to prevent the Materials from being used or accessed without proper authorization. Materials designated as “Facilitator Materials” are intended for use by Passholders certified to deliver the FranklinCovey Solutions. Non-Passholders are not eligible for Passholder pricing. Training must be delivered and participant Materials consumed during the License Term.

C. Term. This Agreement shall commence on the License Start Date and continue as indicated in the table above (all terms in the table are collectively referred to as the “Initial Term”) and is non-cancelable except for a material breach as described in “Termination and Events of Termination” below.

D. Termination and Events of Termination. Either party may terminate this Agreement with 30 days written notice of a material breach of this Agreement only, if uncured within such 30 day period. Upon termination of each Passholder license, such Passholders shall immediately (a) discontinue all use of the FranklinCovey Solutions; (b) discontinue all use of Compilations; and (c) remove all FranklinCovey content from Compilations which were blended with Client content. Notwithstanding the foregoing, Passholders who received the Participant materials prior to termination may continue to use them for their personal use to apply the concepts learned from a FranklinCovey Solution.

E. Fees and Payment Terms. Client agrees to pay FranklinCovey the non-refundable non-prorateable fees described above at the beginning of each license term and within 45 days of the receipt of an invoice. Additional Products and/or Services ordered under this Agreement shall be payable when delivered. Pricing does not include applicable sales and use taxes, shipping & handling fees, or travel expenses, which are the responsibility of the Client. Interest shall accrue on all delinquent accounts at the rate of 1.5% per month. Pricing for License Fees is fixed during the Initial Term and is subject to an increase annually thereafter. Pricing for Services and Products is subject to an increase upon sixty (60) days’ notice.

F. Returning Participant Materials. Participant materials shipped from and delivered to locations in the U.S. and Canada are eligible for refund if returned unused to FranklinCovey within thirty (30) days of purchase. Customized products and electronic participant materials are not accepted for return or exchange. Participant materials shipped from and delivered to locations outside the U.S. and Canada are not eligible for a refund.

G. Administrative Services. Administrative Services include uploading participants to the portal, providing standard usage reports, turning content on and off, sending login details to passholders, setting up teams within the pass, exporting user lists, and providing spreadsheets.

H. Single Sign On (SSO). In the event Client utilizes SSO integration, FranklinCovey shall provide Passholders with SSO access to the platform utilizing SAML 2.0 technology. Activation is contingent on successful compatibility and testing. User authentication is controlled by Client’s SSO system and responsibility for password complexity and length are the sole responsibility of Client’s SSO system following activation.

I. Third Party Restrictions. The facilitator videos, Microlearning (formerly known as Jhana), exercises, and modules may not be modified or edited in any way. Certain facilitator program videos may not be embedded into the facilitator PowerPoint. Digital access is not available with certain ancillary participant materials. These program videos and materials, including, but not limited to Creative Juicers, FranklinCovey Style Guide, Managing Essentials, Leadership Essentials, and Leadership Foundations Handbook, may be purchased separately, upon request.

J. Copyright. Client acknowledges that FranklinCovey or its licensors exclusively own all proprietary rights and copyrights to the FranklinCovey Solutions, Materials, and training sessions, including, but not limited to, any related documentation, images, animation, sound, music, and text, and Client shall communicate the same to Participants. Any unauthorized use, reuse, copying, reproduction, recording, transmittal, modification, or revision of the FranklinCovey Solutions, Materials, or training sessions is expressly prohibited and will constitute a breach of this Agreement and/or copyright laws.

K. Insurance. FranklinCovey will procure and maintain, at its sole expense, the minimum insurance requirements set forth in Exhibit B to this License Agreement.

City Council 33 – 5 8/20/2024
City Council 33 – 6 8/20/2024

Page 4 of 4 ends

Franklin Covey Client Sales, Inc. City of Santa Ana - CA Signature: \s2\ Signature: \s1\
By: By: \n1\
Title: Title: \t1\
Effective Date: \d1\
Exhibit A

GUIDELINES FOR ALL ACCESS PASSHOLDERS

FOR CREATING COMPILATIONS
As a FranklinCovey Passholder, you are allowed to combine segments from the FranklinCovey content included in your pass, even with your own content, for use for the population included in your All Access Pass agreement subject to the guidelines provided herein.

Consider this example: Your organization requires help with communication and trust. Using the listening skills from Habit 5 of The 7 Habits of Highly Effective People® Signature program and the 13 Trust Behaviors from Speed of Trust® Foundations, combine them to create a single training designed to improve these specific skills and behaviors.

Or, perhaps you have your own internal content on effective communication skills that reinforces your company’s values, and you would like to combine it with related FranklinCovey content. As long as the FranklinCovey content is properly attributed, you can do this, as well, adding your own examples or application exercises to the FranklinCovey solution.

If you would like help designing custom solutions, your organization is eligible for discounted FranklinCovey Passholder pricing for our customization services.

The following guidelines are provided to ensure that FranklinCovey’s intellectual property, as well as the intellectual property of our partners and other third parties, is respected as you work with our content.

What you can do:
• You are allowed to use FranklinCovey ideas, models, or concepts in combination with other FranklinCovey content included in your pass, or your own content for the Passholder population only identified in your All Access Pass, as long as they are properly attributed. The following statement is an example of proper attribution:
©FranklinCovey Co. All rights reserved. Used herein with permission under an existing license agreement. • You are required to include specific trademark notations (® or ™) found in our content. For example, The 7 Habits of Highly Effective People®
What you can’t do:
• You are not allowed to use FranklinCovey ideas, models, or concepts outside of the Passholder population covered by your FranklinCovey All Access Pass agreement.
• You are not permitted to use FranklinCovey ideas, models or concepts without proper copyright attribution. • You are not allowed to edit or disassemble quotes, videos, or extract music, images, or other media elements for use in a way that is separate from our content. We realize they may add professional appeal, but they are licensed materials limited for use, as is, within the FranklinCovey Solutions.
• You can’t change the names, titles, or terminology of our content, or otherwise create “derivative works” as defined by U.S. copyright laws.

For example, you aren’t allowed to change, adapt, or modify the name of one of the 7 Habits® or change, adapt, or modify the shape of a model or diagram. You must use our content as it exists. • You cannot sell, relicense, repackage, or otherwise give FranklinCovey content to others. • You cannot do anything that compromises FranklinCovey’s ownership of its intellectual property or its rights. • You cannot use FranklinCovey intellectual property in a way that disparages its brand or tarnishes its image. FranklinCovey is proud of its content and wants it to be presented in the best possible way.

As long as you have a current FranklinCovey All Access Pass agreement, you can continue to use our content as outlined above. If, for some reason, you choose not to renew your All Access Pass license, you must discontinue use of all FranklinCovey intellectual property including content, ideas, models, videos, music, and images. For additional details, please refer to the license agreement between FranklinCovey and your organization.

Kimberly Neville
Legal Director
City Council 33 – 7 8/20/2024
Exhibit B - Insurance Requirements
Prior to undertaking performance of work under this Agreement, FranklinCovey shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property that may arise from or in connection with the performance of the work hereunder and the results of that work by FranklinCovey, their agents, representatives, employees or subcontractors.
a. Minimum Scope and Limit of Insurance

1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregatelimit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.

2. Workers’ Compensation: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.

3. Professional Liability (Errors and Omissions): insurance appropriate to FranklinCovey’s profession with a limit no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate.

4. Broader Coverage: if FranklinCovey maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by FranklinCovey. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City.
b. Other Insurance Provisions

1. Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of FranklinCovey including materials, parts, or equipment furnished in connectionwith such work or operations.

General liability coverage can be provided in the form of an endorsement to FranklinCovey’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 2037 if a later edition is used).

2. Primary Coverage: For any claims related to this contract, FranklinCovey’s insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or selfCity Council 33 – 8 8/20/2024 insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of FranklinCovey’s insurance and shall not contribute with it.

3. Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City.

4. Waiver of Subrogation: FranklinCovey hereby grants to City a waiver of any right to subrogation that any insurer of FranklinCovey may acquire against the City by virtue of the payment of any loss under such insurance. FranklinCovey agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer.

5. Self-Insured Retentions: Self-insured retentions must be declared to and approved by the City. The City may require the FranklinCovey to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City.

6. Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City.

7. Claims Made Policies: If any of the required policies provide claims-made coverage:
i. The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work.
ii. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. iii. If coverage is canceled or non-renewed, and not replaced with another claimsmade policy form with a Retroactive Date prior to the contract effective date, FranklinCovey must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work.

8. Verification of Coverage: FranklinCovey shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive FranklinCovey’s obligation to provide them.

City Council 33 – 9 8/20/2024
The City reserves the right to require complete, certified copies of all required insurance policies,including endorsements required by these specifications, at any time.

9. Subcontractors: FranklinCovey shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and FranklinCovey shall ensure that City is an additional insured on insurance required from subcontractors.

10. Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature of therisk, prior experience, insurer, coverage, or other special circumstances.

City Council 33 – 10 8/20/2024
Human Resources
www.santa-ana.org/human-resources
Item # 34
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 20, 2024
TOPIC: Adoption of an Extension and First Amendment to the Memorandum of Understanding (“MOU”) by the Service Employees International Union Local 721 PartTime Civil Service Employees Unit (“SEIU-PTCS”) TITLE
Adoption of an Extension and First Amendment to the Memorandum of Understanding (“MOU”) by the Service Employees International Union Local 721 Part-Time Civil Service Employees Unit (“SEIU-PTCS”)

RECOMMENDED ACTION
Authorize the City Manager to execute an extension and first amendment to the existing Memorandum of Understanding with SEIU-PTCS regarding wages, hours, and other terms and conditions of employment effective through June 30, 2025, and authorize non-substantive changes, which may be necessary to implement the agreement (Agreement No. A-2024-XXX).

GOVERNMENT CODE §84308 APPLIES: No

DISCUSSION
The City and SEIU-PTCS agreed upon an extension of the existing MOU along with certain amendments regarding salary increases and city holidays. The extension and amendment provide the following:

1. Term: The original term of the contract was from July 1, 2019 through June 30, 2022. The extension would lengthen the term through June 30, 2025.

2. Salary:
a. A base salary increase of six (6) salary rate ranges, which is approximately three percent (3%) effective July 1, 2022. b. Three percent (3%) wage increase effective the first full pay period after July 1, 2023.
c. Three percent (3%) wage increase effective the first full pay period after July 1, 2024.

City Council 34 – 1 8/20/2024
Adoption of an Extension and First Amendment to the Memorandum of Understanding (“MOU”) by the Service Employees International Union Local 721 Part-Time Civil Service Employees Unit (“SEIU-PTCS”)
August 20, 2024

Page 2 ends

3. City Holidays: Beginning in 2024, the addition of Cesar Chavez Holiday (March 31).

The provisions of this MOU are consistent with the wage increases and benefits provided to the SEIU full-time unit.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with these actions.

FISCAL IMPACT
The estimated cost of the agreement during the additional three (3)-year period is $6,586 to the General Fund.

EXHIBIT

1. First Amendment and Extension to the Memorandum of Understanding between the City of Santa Ana and Part-Time Civil Service Employees Unit Service Employees International Union Local 721
Submitted By: Lori Schnaider, Executive Director of Human Resources Approved By: Alvaro Nuñez, City Manager
City Council 34 – 2 8/20/2024

FIRST AMENDMENT AND EXTENSION TO

THE MEMORANDUM OF UNDERSTANDING BETWEEN

THE CITY OF SANTA ANA AND

PART-TIME CIVIL SERVICE EMPLOYEES UNIT

SERVICE EMPLOYEES INTERNATIONAL UNION
LOCAL 721
This Extension and First Amendment to the Memorandum of Understanding (“MOU”) is entered into on August 20, 2024, by and between the City of Santa Ana, a charter City and municipal corporation organized and existing under the Constitution and the laws of the State of California (“City”) and the part-time civil service employees unit Service Employees International Union Local 721 (“SEIU” or “Union”) a recognized employee bargaining unit (collectively “Parties” or singularly a “Party.)

RECITALS
WHEREAS, the Parties entered into an MOU with a term of July 1, 2019 to June 30, 2022; and
WHEREAS, the Parties have met and agreed to extend the term of the MOU through June 2025; and
WHEREAS, the Parties have met and agreed to certain amendments to the MOU regarding salary increases and city holidays.

THE PARTIES THEREFORE AGREE as follows (additions are in bold and deletions are stricken):

1. Exhibit “A” to the MOU will be amended to substitute the attached Exhibit A for the previous Exhibit A to reflect the current list of represented part-time civil service classifications.

2. Section 4.3, Salaries, is amended to add the following:

D. A base salary increase of six (6) salary rate ranges, which is approximately three percent (3%) effective July 1, 2022, E. Three percent (3%) wage increase effective the first full pay period after July 1, 2023.

F. Three percent (3%) wage increase effective the first full pay period after July 1, 2024.

City Council 34 – 3 8/20/2024

3. Section 7.1,City Holidays, is amended to read as follows:

A. City paid holidays observed by the City are as follows:
o January 1 - New Year’s Day.
o Third (3rd) Monday in January - In observance of Martin Luther King, Jr.’s Birthday.
o Third (3rd) Monday in February - In observance of President’s Day. o March 31 - In commemoration of Cesar Chavez Day (effective the first holiday after January 1, 2024).
o Last Monday in May - In commemoration of Memorial Day. o July 4 - In observance of Independence Day.
o First (1st) Monday in September - In observance of Labor Day. o November 11 - In observance of Veteran’s Day.
o Fourth (4th) Thursday in November - In observance of Thanksgiving Day.
o The Friday immediately following Thanksgiving Day.
o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof.
o December 25 - In observance of Christmas Day.
o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor.
o Every day proclaimed by the Mayor of the City as a holiday for City employees.
o Any holiday which falls on a Sunday will be observed on the following Monday.

City Council 34 – 4 8/20/2024
o Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday.

Each employee shall receive no less than a total of seventy-two (72) hours of paid holidays per calendar year. Effective January 1, 2024 each employee shall receive no less than a total of seventy-eight (78) hours of paid holidays per calendar year.

4. Section 22.1, TERM OF MOU, will be amended to read as follows:

The term of this MOU shall be from July 1, 2019 through June 30, 2022 June 30, 2025

5. Section 20.4 entitled No New Membership is added to Article XX as follows:

20.4 No New Membership
Upon approval of this First Amendment and Extension, the City and the Union agree that no new employees will be added to this unit. [This section intentionally left blank]
City Council 34 – 5 8/20/2024
City Council 34 – 6 8/20/2024

EXHIBIT A

SEIU PART-TIME CIVIL SERVICE
REVISED AUGUST 20, 2024

HOURLY WAGE RATE SCHEDULE
EFFECTIVE JULY 1, 2022 TO JULY 1, 2023

JOB TITLE
JOB

CODE AA A B C D E
Assistant Buyer 09030 29.86 31.35 32.92 34.57 36.29 38.11 Office Assistant 09761 21.40 22.48 23.60 24.79 26.03 27.35 Park Maintenance Aide
July 1, 2022 to December 31, 2022
09299 13.08 13.74 14.42 15.15 15.91 16.71
Park Maintenance Aide
January 1, 2023 to July 1, 2023
09299 16.77 17.61 18.49 19.41 20.38 21.40
Secretary 09762 26.68 28.03 29.43 30.90 32.44 34.07
Senior Community Development
Analyst
09920 44.78 47.01 49.37 51.84 54.43 57.15

HOURLY WAGE RATE SCHEDULE
EFFECTIVE JULY 2, 2023 TO JULY 13, 2024

JOB TITLE
JOB

CODE AA A B C D E
Assistant Buyer 09030 30.76 32.29 33.91 35.61 37.39 39.25 Office Assistant 09761 22.04 23.15 24.31 25.53 26.80 28.17 Park Maintenance Aide 09299 17.27 18.14 19.04 20.00 20.99 22.04 Secretary 09762 27.48 28.87 30.31 31.83 33.42 35.09
Senior Community Development
Analyst
09920 46.12 48.42 50.85 53.40 56.06 58.86

HOURLY WAGE RATE SCHEDULE
EFFECTIVE JULY 14, 2024

JOB TITLE
JOB

CODE AA A B C D E
Assistant Buyer 09030 31.68 33.26 34.92 36.68 38.50 40.43 Office Assistant 09761 22.71 23.84 25.04 26.30 27.61 29.01 Park Maintenance Aide 09299 17.79 18.68 19.62 20.60 21.62 22.71 Secretary 09762 28.30 29.74 31.22 32.79 34.42 36.14
Senior Community Development
Analyst
09920 47.50 49.88 52.37 55.00 57.75 60.63
City Council 34 – 7 8/20/2024
Human Resources
www.santa-ana.org/human-resources
Item # 35
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 20, 2024
TOPIC: Resolution to Effect Certain Changes to the City’s Basic Classification and Compensation Plan for Service Employee International Union (SEIU) Represented Employees

AGENDA TITLE
Resolution to Effect Certain Changes to the City’s Basic Classification and Compensation Plan for Service Employee International Union (SEIU) Represented Employees

RECOMMENDED ACTION
Adopt a Resolution to effect certain changes to the City’s basic classification and compensation plan for Service Employee International Union (SEIU) Represented Employees.

RESOLUTION NO. 2024-XXXX entitled A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO EFFECT CERTAIN CHANGES TO THE CITY’S

CLASSIFICATION AND COMPENSATION PLAN
GOVERNMENT CODE §84308 APPLIES: No

DISCUSSION
Each year, the Classification and Compensation Resolution is presented to City Council to:
• Update job classifications to reflect current standards; • Add new job classifications as requested by departments to meet their operational needs;
• Remove job classifications that are no longer in use, not filled by employees, and not budgeted; and
• Establish the FY 2024-25 Salary Schedule to reflect wage increases set forth in the Memorandums of Understanding (MOUs) negotiated with the employee bargaining groups.

Staff has met and conferred with SEIU, and discussed each of the job classification changes in the proposed resolution. SEIU was provided with the changes on May 13, 2024, and management met and conferred with SEIU on June 4, June 11, June 25, July 2, and August 5 to obtain agreement for the recommended removal of certain job City Council 35 – 1 8/20/2024
Resolution to Effect Certain Changes to the City’s Basic Classification and Compensation Plan for Service Employee International Union (SEIU) Represented Employees
August 20, 2024

Page 2 ends

classifications that are no longer in use and update job classifications. The removal of the job classifications has no impact on City employees or the budget. SEIU has stated that they are in agreement with all of the proposed changes.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.

FISCAL IMPACT
The approved FY 2024-25 Budget includes enough funds for pay increases reflected in this document.

EXHIBIT(S)

1. Classification and Compensation Plan Resolution for SEIU Represented Employees
Submitted By: Lori Schnaider, Executive Director of Human Resources Approved By: Alvaro Nuñez, City Manager
City Council 35 – 2 8/20/2024
Resolution 2024-XXX

Page 1 of 16 ends

RESOLUTION NO. 2024-XXX

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA TO EFFECT CERTAIN CHANGES TO THE CITY’S

CLASSIFICATION AND COMPENSATION PLAN

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:

Section 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows:

A. Section 1004 of the City Charter requires the City Manager to prepare, install, and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council.

B. It is the City’s practice to assign job titles that reflect the duties and responsibilities of classifications and are consistent with other classifications within the City’s organizational structure, as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates.

C. The City Council regularly amends the City’s classification and compensation plan for all full-time and part-time classifications of officers and employees of the City.

D. It is now desired to amend the City’s classification and compensation plan as listed herein.

Section 2. The Santa Ana City Council hereby amends the City’s classification and compensation plan as follows:

A. Create the following classifications:

UNIT TITLE STEPS MIN MAX
SEIU FT Site Director 7 $5,438 $7,287
SEIU FT Site Teacher 7 $4,696 $6,295
SEIU FT Tax Compliance Officer 7 $5,683 $7,613
SEIU FT Teacher's Aide 7 $3,678 $4,931
City Council 35 – 3 8/20/2024
Resolution 2024-XXX

Page 2 of 16 ends

UNIT TITLE STEPS MIN MAX
SEIU PT Lifeguard (Part-Time) 5 $18.99 $23.13
SEIU PT Parking Meter Technician
I (Part-Time) 5 $27.50 $33.43
SEIU PT Permit Services
Technician (Part-Time) 5 $38.31 $46.57
SEIU PT Pool Manager (PartTime) 5 $23.37 $28.41
SEIU PT Senior Lifeguard (PartTime) 5 $21.20 $25.77
SEIU PT Substitute Teacher (PartTime) 5 $29.88 $36.32
B. Delete the following classifications:

UNIT TITLE STEPS MIN MAX
SEIU FT DNA Coordinator 7 $4,718 $6,326
SEIU FT Police Fiscal Officer 7 $7,613 $10,211
SEIU PT Special Events Leader I 5 $17.02 $20.69
SEIU PT Special Events Leader II 5 $20.77 $25.25
City Council 35 – 4 8/20/2024
Resolution 2024-XXX

Page 3 of 16 ends

C. Change the compensation of the following classifications:

FROM

UNIT TITLE STEPS MIN MAX
1 SEIU FT Construction Inspector 7 $6,326 $8,476
2 SEIU FT Senior Construction
Inspector 7 $7,180 $9,625
3 SEIU PT
Senior Special
Employment Counselor 5 $17.22 $20.93
TO

UNIT TITLE STEPS MIN MAX
1 SEIU FT Construction Inspector 7 $6,974 $9,345
2 SEIU FT Senior Construction
Inspector 7 $7,688 $10,313
3 SEIU PT
Senior Special
Employment Counselor 5 $22.39 $27.22
City Council 35 – 5 8/20/2024
Resolution 2024-XXX

Page 4 of 16 ends

D. Change the title of the following classifications:

FROM

UNIT TITLE STEPS MIN MAX
1 SEIU FT Recreation Leader 7 $3,503 $4,696
2 SEIU PT Clerk Typist 5 $22.27 $27.07
3 SEIU PT Community Center Aide 5 $22.26 $27.06
4 SEIU PT Program Coordinator 5 $20.19 $24.54
5 SEIU PT Program Leader 5 $16.61 $20.19
TO

UNIT TITLE STEPS MIN MAX
1 SEIU FT Recreation Specialist 7 $3,503 $4,696
2 SEIU PT Senior Office Assistant
(Part-Time) 5 $22.27 $27.07
3 SEIU PT Community Center Aide
(Part-Time) 5 $22.26 $27.06
4 SEIU PT Senior Program Leader
(Part-Time) 5 $20.19 $24.54
5 SEIU PT Program Leader I (PartTime) 5 $16.61 $20.19
City Council 35 – 6 8/20/2024
Resolution 2024-XXX

Page 5 of 16 ends

E. Change the title of the following classifications and make them Terminal (T):

FROM

UNIT TITLE STEPS MIN MAX
1 SEIU FT Senior Engineer 7 $10,883 $14,585
2 SEIU PT Maintenance Attendant 5 $16.54 $19.78
TO

UNIT TITLE STEPS MIN MAX
1 SEIU FT Senior Engineer (T) 7 $10,883 $14,585
2 SEIU PT Maintenance Attendant
(Part-Time) (T) 5 $16.54 $19.78
F. Change the compensation and title of the following classifications:

FROM

UNIT TITLE STEPS MIN MAX
1 SEIU FT Building Technician 7 $5,029 $6,740
2 SEIU FT Combination Building
Inspector 7 $6,514 $8,730
3 SEIU FT Senior Combination
Building Inspector 7 $7,180 $9,625
TO

UNIT TITLE STEPS MIN MAX
1 SEIU FT Building Inspector 7 $6,610 $8,857
2 SEIU FT Senior Building Inspector 7 $7,287 $9,765
3 SEIU FT Building Inspector
Supervisor 7 $8,032 $10,775
City Council 35 – 7 8/20/2024
Resolution 2024-XXX

Page 6 of 16 ends

G. Merge and change the compensation and/or title of the following classifications:

FROM

UNIT TITLE STEPS MIN MAX
SEIU PT Recreation Facility
Attendant 5 $18.09 $22.03
SEIU PT Senior Program Leader 5 $17.44 $21.20
TO

UNIT TITLE STEPS MIN MAX
SEIU PT Program Leader II (PartTime) 5 $18.09 $22.03
Section 3. Compensation rates listed herein are inclusive of applicable Memorandum of Understanding salary increase provisions.

Section 4. The Santa Ana City Council hereby approves the updated Salary Schedules for the Service Employees International Union Full-Time (SEIU FT) and Service Employees International Union Part-Time (SEIU PT) units, attached to this resolution as Exhibit A, reflecting classification and compensation amendments per this and previously approved City Council resolutions, and grouped by employee unit, as recommended by CalPERS, and in compliance with CalPERS California Code of Regulations section 570.5.

Section 5. That except as amended by this resolution, all other provisions of the City’s classification and compensation plan shall remain in full force and effect.

Section 6. This resolution is effective August 25, 2024, which is the start date of the first full pay period after adoption of this resolution.

ADOPTED this 20th day of August 2024.
___________________________
Valerie Amezcua
Mayor
City Council 35 – 8 8/20/2024
Resolution 2024-XXX

Page 7 of 16 ends

APPROVED AS TO FORM:

Sonia R. Carvalho
City Attorney
By: __________________
Laura A. Rossini
Chief Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers

CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, Jennifer Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2024- ___ to be the original resolution adopted by the City Council of the City of Santa Ana on August 20, 2024.

Date: ___________________ ____________________________
Jennifer L. Hall
City Clerk
City of Santa Ana
City Council 35 – 9 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT)

MONTHLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 8 of 16 ends

JOB TITLE JOB
CODE
STEP
AAA
STEP
AA
STEP
A
STEP
B
STEP
C
STEP
D
STEP
E
Accountant I 01140 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Accountant II 01150 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Accounting Assistant 07010 4,718 4,955 5,205 5,465 5,737 6,023 6,326 Accounting Assistant / Systems Technician 07015 4,718 4,955 5,205 5,465 5,737 6,023 6,326 Accounts Payable Supervisor 07009 8,032 8,436 8,857 9,301 9,765 10,262 10,775 Accounts Payable Technician 01345 4,718 4,955 5,205 5,465 5,737 6,023 6,326 Active Transportation Coordinator 01295 7,540 7,918 8,314 8,730 9,167 9,625 10,109 Arts and Culture Specialist 02845 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Assistant Buyer 00270 5,230 5,491 5,765 6,053 6,357 6,674 7,008 Assistant Community Planner 07611 6,326 6,641 6,974 7,323 7,688 8,072 8,476 Assistant Engineer 01601 6,641 6,974 7,323 7,688 8,072 8,476 8,900 Assistant Fleet Services Technician 00530 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Assistant Instrument Technician 04125 5,412 5,683 5,966 6,264 6,578 6,906 7,251 Assistant Librarian 05180 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Assistant Park and Landscape Planner 00280 6,357 6,674 7,008 7,359 7,726 8,112 8,518 Assistant Plan Check Engineer 01410 9,033 9,485 9,960 10,458 10,981 11,530 12,106 Assistant Planner I 00040 6,326 6,641 6,974 7,323 7,688 8,072 8,476 Assistant Planner II 02440 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Assistant Traffic Operations Engineer 02155 9,078 9,533 10,009 10,509 11,034 11,588 12,166 Associate Community Planner 02455 8,072 8,476 8,900 9,345 9,814 10,313 10,828 Associate Engineer 02100 9,033 9,485 9,960 10,458 10,981 11,530 12,106 Associate Park and Landscape Planner 01040 8,112 8,518 8,945 9,393 9,862 10,365 10,883 Associate Plan Check Engineer 02280 9,719 10,211 10,720 11,257 11,820 12,412 13,033 Associate Planner 02450 8,072 8,476 8,900 9,345 9,814 10,313 10,828 Bibliographic Technician 05150 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Building Inspector 02230 6,610 6,940 7,287 7,650 8,032 8,436 8,857 Building Inspector Supervisor 06431 8,032 8,436 8,857 9,301 9,765 10,262 10,775 Building Maintenance Aide 04315 4,237 4,450 4,672 4,906 5,154 5,412 5,683 Building Maintenance Supervisor 04310 6,641 6,974 7,323 7,688 8,072 8,476 8,900 Building Maintenance Technician 04140 5,154 5,412 5,683 5,966 6,264 6,578 6,906 Business Tax Collector / Inspector 01240 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Buyer 01350 6,450 6,773 7,110 7,468 7,841 8,234 8,645
Central Services Supervisor 07030 5,332 5,599 5,879 6,173 6,482 6,805 7,145 Civil Engineer 02132 9,719 10,211 10,720 11,257 11,820 12,412 13,033 Code Enforcement Associate 02780 5,154 5,412 5,683 5,966 6,264 6,578 6,906 Code Enforcement Officer 02740 6,388 6,707 7,042 7,395 7,765 8,153 8,560 City Council 35 – 10 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT)

MONTHLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 9 of 16 ends

JOB TITLE JOB
CODE
STEP
AAA
STEP
AA
STEP
A
STEP
B
STEP
C
STEP
D
STEP
E
Code Enforcement Supervisor 00070 7,180 7,540 7,918 8,314 8,730 9,167 9,625 Community Development Analyst 07585 6,805 7,145 7,504 7,880 8,274 8,688 9,123 Community Development Commission
Secretary 07321 4,648 4,881 5,128 5,385 5,655 5,937 6,234 Community Liaison 05000 7,008 7,359 7,726 8,112 8,518 8,945 9,393 Community Planning Assistant 00055 5,737 6,023 6,326 6,641 6,974 7,323 7,688 Construction Inspector 02240 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Corporate Yard Maintenance Attendant 04070 3,900 4,096 4,301 4,517 4,742 4,980 5,230 Correctional Records Specialist 07630 4,096 4,301 4,517 4,742 4,980 5,230 5,491 Correctional Records Supervisor 07629 5,683 5,966 6,264 6,578 6,906 7,251 7,613 Custodial Aide / Porter 04005 3,238 3,400 3,570 3,748 3,936 4,133 4,340 Custodian 04000 3,748 3,936 4,133 4,340 4,558 4,785 5,029 Custodian Supervisor 04090 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Customer Service Representative 01220 4,906 5,154 5,412 5,683 5,966 6,264 6,578 Data Entry Office Assistant 04200 4,237 4,450 4,672 4,906 5,154 5,412 5,683 Deputy City Clerk 07050 5,205 5,465 5,737 6,023 6,326 6,641 6,974 Economic Development Specialist I 00560 7,008 7,359 7,726 8,112 8,518 8,945 9,393 Economic Development Specialist II 00550 8,072 8,476 8,900 9,345 9,814 10,313 10,828 Economic Development Specialist III 00350 9,345 9,814 10,313 10,828 11,370 11,940 12,535 Engineering Aide 02030 5,054 5,307 5,572 5,850 6,143 6,450 6,773 Engineering Technician 02035 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Equipment Operator 00440 5,205 5,465 5,737 6,023 6,326 6,641 6,974 Equipment Operator - Water Services 04215 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Facilities Supervisor 04370 6,641 6,974 7,323 7,688 8,072 8,476 8,900 Fleet Parts Specialist 00500 5,599 5,879 6,173 6,482 6,805 7,145 7,504 Fleet Services Supervisor 04770 7,110 7,468 7,841 8,234 8,645 9,078 9,533 Fleet Services Technician I 04720 5,332 5,599 5,879 6,173 6,482 6,805 7,145 Fleet Services Technician II 04730 5,879 6,173 6,482 6,805 7,145 7,504 7,880 Fleet Services Technician III 00450 6,326 6,641 6,974 7,323 7,688 8,072 8,476 General Maintenance Assistant 00740 3,767 3,955 4,153 4,361 4,580 4,809 5,054 General Maintenance Leader 04190 5,709 5,995 6,295 6,610 6,940 7,287 7,650 General Maintenance Supervisor 01010 6,641 6,974 7,323 7,688 8,072 8,476 8,900 General Maintenance Worker 04180 5,154 5,412 5,683 5,966 6,264 6,578 6,906 GIS Administrator 02190 7,880 8,274 8,688 9,123 9,579 10,059 10,562 GIS Systems Analyst / Programmer 02192 7,215 7,576 7,956 8,354 8,773 9,211 9,673 GIS Technician 02193 5,599 5,879 6,173 6,482 6,805 7,145 7,504 City Council 35 – 11 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT)

MONTHLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 10 of 16 ends

JOB TITLE JOB
CODE
STEP
AAA
STEP
AA
STEP
A
STEP
B
STEP
C
STEP
D
STEP
E
Graphics Designer I 01500 5,230 5,491 5,765 6,053 6,357 6,674 7,008 Graphics Designer II 02400 5,765 6,053 6,357 6,674 7,008 7,359 7,726 Housing Authority Analyst 01885 6,906 7,251 7,613 7,994 8,395 8,815 9,257 Housing Authority Coordinator 07640 9,393 9,862 10,365 10,883 11,427 11,998 12,598 Housing Authority Operations Supervisor 02720 7,650 8,032 8,436 8,857 9,301 9,765 10,262 Housing Programs Aide 07580 4,494 4,718 4,955 5,205 5,465 5,737 6,023 Housing Programs Analyst 01840 7,650 8,032 8,436 8,857 9,301 9,765 10,262 Housing Programs Coordinator 00520 9,393 9,862 10,365 10,883 11,427 11,998 12,598 Housing Specialist I 01890 4,785 5,029 5,281 5,544 5,823 6,113 6,419 Housing Specialist II 01900 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Information Services Representative 02670 5,054 5,307 5,572 5,850 6,143 6,450 6,773 Information Technology Support Supervisor 06470 8,274 8,688 9,123 9,579 10,059 10,562 11,090 Information Technology Support
Technician I 00021 5,079 5,332 5,599 5,879 6,173 6,482 6,805 Information Technology Support
Technician II 00020 5,599 5,879 6,173 6,482 6,805 7,145 7,504 Instrument Technician 04130 5,908 6,203 6,514 6,838 7,180 7,540 7,918 Lead Accounting Assistant 07090 5,572 5,850 6,143 6,450 6,773 7,110 7,468 Lead Correctional Records Specialist 07628 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Lead Police Records Specialist 07110 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Librarian 05110 5,995 6,295 6,610 6,940 7,287 7,650 8,032 Library Services Assistant 05050 3,714 3,900 4,096 4,301 4,517 4,742 4,980 Library Technician 05076 4,471 4,696 4,931 5,179 5,438 5,709 5,995 Loan Specialist 07000 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Mail Clerk / Messenger 07170 3,387 3,557 3,734 3,920 4,116 4,322 4,538 Maintenance Worker I 04050 4,153 4,361 4,580 4,809 5,054 5,307 5,572 Maintenance Worker II 04060 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Meter Reader Collector 01210 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Network Engineer 06450 9,123 9,579 10,059 10,562 11,090 11,644 12,227 Network Specialist / WAN Systems
Administrator 06460 7,504 7,880 8,274 8,688 9,123 9,579 10,059 NPDES Manager 06440 8,518 8,945 9,393 9,862 10,365 10,883 11,427 Office Assistant 07180 3,748 3,936 4,133 4,340 4,558 4,785 5,029 Office Specialist 07190 3,320 3,486 3,659 3,843 4,035 4,237 4,450 Park Ranger 03610 5,709 5,995 6,295 6,610 6,940 7,287 7,650 Park Services Inspection Supervisor 04320 6,674 7,008 7,359 7,726 8,112 8,518 8,945 Park Services Inspector I 04105 4,258 4,471 4,696 4,931 5,179 5,438 5,709 City Council 35 – 12 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT)

MONTHLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 11 of 16 ends

JOB TITLE JOB
CODE
STEP
AAA
STEP
AA
STEP
A
STEP
B
STEP
C
STEP
D
STEP
E
Park Services Inspector II 04106 5,281 5,544 5,823 6,113 6,419 6,740 7,076 Parking Meter Operations Supervisor 02890 5,655 5,937 6,234 6,546 6,872 7,215 7,576 Parking Meter Technician I 07160 4,322 4,538 4,767 5,006 5,256 5,518 5,794 Parking Meter Technician II 00080 5,006 5,256 5,518 5,794 6,083 6,388 6,707 Permit Services Processor 07200 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Permit Services Supervisor 02590 7,180 7,540 7,918 8,314 8,730 9,167 9,625 Permit Services Technician 02580 6,023 6,326 6,641 6,974 7,323 7,688 8,072 Planning Assistant 00050 5,737 6,023 6,326 6,641 6,974 7,323 7,688 Planning Commission Secretary 07320 5,230 5,491 5,765 6,053 6,357 6,674 7,008 Planning Technician 00641 4,955 5,205 5,465 5,737 6,023 6,326 6,641 Plans Examiner 02271 8,153 8,560 8,989 9,439 9,911 10,417 10,937 Police Fiscal Services Supervisor 06295 6,546 6,872 7,215 7,576 7,956 8,354 8,773 Police Records Specialist 07220 4,096 4,301 4,517 4,742 4,980 5,230 5,491 Police Records Supervisor 07230 5,683 5,966 6,264 6,578 6,906 7,251 7,613 Police Systems Support Analyst 06475 8,518 8,945 9,393 9,862 10,365 10,883 11,427 Principal Librarian 05115 6,707 7,042 7,395 7,765 8,153 8,560 8,989 Principal Programmer Analyst 02630 9,123 9,579 10,059 10,562 11,090 11,644 12,227 Programmer Analyst 01460 7,504 7,880 8,274 8,688 9,123 9,579 10,059 Property Control Specialist 07250 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Public Works Contracts Administrator 01850 6,514 6,838 7,180 7,540 7,918 8,314 8,730 Public Works Crew Leader 04040 5,709 5,995 6,295 6,610 6,940 7,287 7,650 Public Works Dispatcher 04519 4,384 4,603 4,834 5,079 5,332 5,599 5,879 Public Works Projects Manager 06140 8,476 8,900 9,345 9,814 10,313 10,828 11,370 Public Works Projects Specialist 04340 7,042 7,395 7,765 8,153 8,560 8,989 9,439 Public Works Safety Assistant 05031 4,450 4,672 4,906 5,154 5,412 5,683 5,966 Public Works Safety Coordinator 05030 6,906 7,251 7,613 7,994 8,395 8,815 9,257 Purchasing Supervisor 01340 8,032 8,436 8,857 9,301 9,765 10,262 10,775 Receptionist 00060 4,015 4,216 4,427 4,648 4,881 5,128 5,385 Records Specialist 07430 4,580 4,809 5,054 5,307 5,572 5,850 6,143 Recreation and Community Services
Supervisor 01940 7,688 8,072 8,476 8,900 9,345 9,814 10,313 Recreation Program Coordinator 05330 5,179 5,438 5,709 5,995 6,295 6,610 6,940 Recreation Specialist 05310 3,503 3,678 3,861 4,055 4,258 4,471 4,696 Reprographic Equipment Operator 07260 3,900 4,096 4,301 4,517 4,742 4,980 5,230 Residential Construction Specialist 02710 6,326 6,641 6,974 7,323 7,688 8,072 8,476 Revenue Supervisor 01090 6,203 6,514 6,838 7,180 7,540 7,918 8,314 City Council 35 – 13 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT)

MONTHLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 12 of 16 ends

JOB TITLE JOB
CODE
STEP
AAA
STEP
AA
STEP
A
STEP
B
STEP
C
STEP
D
STEP
E
Right-of-Way Coordinator 00118 4,471 4,696 4,931 5,179 5,438 5,709 5,995 Sanitation Inspector I 02200 4,955 5,205 5,465 5,737 6,023 6,326 6,641 Sanitation Inspector II 02210 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Secretary 07270 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Security Electronics Technician 01055 6,773 7,110 7,468 7,841 8,234 8,645 9,078 Senior Accountant 07490 7,613 7,994 8,395 8,815 9,257 9,719 10,211 Senior Accounting Assistant 07280 5,079 5,332 5,599 5,879 6,173 6,482 6,805 Senior Accounting Assistant / Systems
Technician 07016 5,079 5,332 5,599 5,879 6,173 6,482 6,805 Senior Building Inspector 06430 7,287 7,650 8,032 8,436 8,857 9,301 9,765 Senior Buyer 00275 7,042 7,395 7,765 8,153 8,560 8,989 9,439 Senior Civil Engineer 02131 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Community Development Analyst 07584 7,841 8,234 8,645 9,078 9,533 10,009 10,509 Senior Community Planner 07610 8,900 9,345 9,814 10,313 10,828 11,370 11,940 Senior Construction Inspector 02239 7,688 8,072 8,476 8,900 9,345 9,814 10,313 Senior Correctional Records Specialist 07650 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Senior Deputy City Clerk 07290 6,113 6,419 6,740 7,076 7,431 7,803 8,194 Senior Engineer (T) 02111 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Fleet Services Supervisor 00840 7,841 8,234 8,645 9,078 9,533 10,009 10,509 Senior Housing Specialist 01860 6,546 6,872 7,215 7,576 7,956 8,354 8,773 Senior Librarian 05109 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Senior Library Technician 05075 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Senior Office Assistant 07330 4,237 4,450 4,672 4,906 5,154 5,412 5,683 Senior Office Specialist 07360 3,748 3,936 4,133 4,340 4,558 4,785 5,029 Senior Park Services Inspection Supervisor 06330 7,841 8,234 8,645 9,078 9,533 10,009 10,509 Senior Permit Services Technician 02581 6,450 6,773 7,110 7,468 7,841 8,234 8,645 Senior Plan Check Engineer 00330 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Planner 02470 9,167 9,625 10,109 10,614 11,146 11,703 12,288 Senior Police Records Specialist 07370 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Senior Programmer Analyst 01470 8,274 8,688 9,123 9,579 10,059 10,562 11,090 Senior Residential Construction Specialist 02700 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Senior Systems Administrator 00990 7,251 7,613 7,994 8,395 8,815 9,257 9,719 Senior Transportation Analyst 01290 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Water Services Supervisor 07776 7,880 8,274 8,688 9,123 9,579 10,059 10,562 Senior Water Systems Operator 06240 6,514 6,838 7,180 7,540 7,918 8,314 8,730 Site Director 05316 5,438 5,709 5,995 6,295 6,610 6,940 7,287 City Council 35 – 14 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT)

MONTHLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 13 of 16 ends

JOB TITLE JOB
CODE
STEP
AAA
STEP
AA
STEP
A
STEP
B
STEP
C
STEP
D
STEP
E
Site Teacher 05317 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Solid Waste Enforcement Officer 02741 6,388 6,707 7,042 7,395 7,765 8,153 8,560 Stock Clerk 01310 4,580 4,809 5,054 5,307 5,572 5,850 6,143 Storekeeper 01320 5,438 5,709 5,995 6,295 6,610 6,940 7,287 Stores and City Yard Property Specialist 01315 5,438 5,709 5,995 6,295 6,610 6,940 7,287 Stormwater Coordinator 00115 7,359 7,726 8,112 8,518 8,945 9,393 9,862 Street Lighting Maintenance Worker 04280 5,599 5,879 6,173 6,482 6,805 7,145 7,504 Street Maintenance Supervisor 04360 6,674 7,008 7,359 7,726 8,112 8,518 8,945 Street Painter 04160 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Supervising Accountant 07500 8,476 8,900 9,345 9,814 10,313 10,828 11,370 Supervising Library Services Assistant 05055 4,340 4,558 4,785 5,029 5,281 5,544 5,823 Supervising Park Ranger 07470 6,450 6,773 7,110 7,468 7,841 8,234 8,645 Systems Administrator 00120 6,203 6,514 6,838 7,180 7,540 7,918 8,314 Systems Technician 01060 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Tax Compliance Officer 01245 5,683 5,966 6,264 6,578 6,906 7,251 7,613 Teacher’s Aide 05318 3,678 3,861 4,055 4,258 4,471 4,696 4,931 Telecommunications Coordinator 00710 7,576 7,956 8,354 8,773 9,211 9,673 10,160 Telecommunications Customer Service
Representative 07140 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Transportation Driver 01081 4,301 4,517 4,742 4,980 5,230 5,491 5,765 Treasury Services Specialist 01165 5,465 5,737 6,023 6,326 6,641 6,974 7,323 Treasury Services Supervisor 07020 6,143 6,450 6,773 7,110 7,468 7,841 8,234 Tree Maintenance Supervisor 04330 6,674 7,008 7,359 7,726 8,112 8,518 8,945 Tree Trimmer 04170 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Utilities Billing / Systems Technician 01215 4,906 5,154 5,412 5,683 5,966 6,264 6,578 Utilities Customer Service Supervisor 01219 6,203 6,514 6,838 7,180 7,540 7,918 8,314 Video Technician 06320 6,234 6,546 6,872 7,215 7,576 7,956 8,354 Water Conservation Specialist 07740 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Water Services Crew Leader 07750 5,879 6,173 6,482 6,805 7,145 7,504 7,880 Water Services Meter Repairer I 07755 4,809 5,054 5,307 5,572 5,850 6,143 6,450 Water Services Meter Repairer II 07756 5,281 5,544 5,823 6,113 6,419 6,740 7,076 Water Services Production Supervisor 07795 6,805 7,145 7,504 7,880 8,274 8,688 9,123 Water Services Quality Coordinator 07760 7,540 7,918 8,314 8,730 9,167 9,625 10,109 Water Services Quality Inspector 07765 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Water Services Quality Supervisor 07770 6,940 7,287 7,650 8,032 8,436 8,857 9,301 Water Services Supervisor 07775 6,940 7,287 7,650 8,032 8,436 8,857 9,301 City Council 35 – 15 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT)

MONTHLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 14 of 16 ends

JOB TITLE JOB
CODE
STEP
AAA
STEP
AA
STEP
A
STEP
B
STEP
C
STEP
D
STEP
E
Water Services Utility Inspector 07780 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Water Services Worker I 07785 4,258 4,471 4,696 4,931 5,179 5,438 5,709 Water Services Worker II 07790 4,809 5,054 5,307 5,572 5,850 6,143 6,450 Water Systems Electrician 04540 6,514 6,838 7,180 7,540 7,918 8,314 8,730 Water Systems Operator I 00880 4,881 5,128 5,385 5,655 5,937 6,234 6,546 Water Systems Operator II 00920 5,385 5,655 5,937 6,234 6,546 6,872 7,215 Water Systems Operator III 04530 5,765 6,053 6,357 6,674 7,008 7,359 7,726 Web Systems Technician 01006 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Website Entry Specialist 01005 4,055 4,258 4,471 4,696 4,931 5,179 5,438 Work Center Coordinator 02390 9,345 9,814 10,313 10,828 11,370 11,940 12,535 Workforce Specialist I 08371 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Workforce Specialist II 08372 5,205 5,465 5,737 6,023 6,326 6,641 6,974 Workforce Specialist III 08373 5,737 6,023 6,326 6,641 6,974 7,323 7,688 Workforce Specialist IV 08374 7,504 7,880 8,274 8,688 9,123 9,579 10,059 Youth Services Technician 05313 4,471 4,696 4,931 5,179 5,438 5,709 5,995 Zoo Curator 05430 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Zoo Curator of Education 05450 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Zoo Curator of Health 05451 5,966 6,264 6,578 6,906 7,251 7,613 7,994 Zoo Education Specialist 00930 4,857 5,103 5,359 5,627 5,908 6,203 6,514 Zoo Keeper I 05420 4,096 4,301 4,517 4,742 4,980 5,230 5,491 Zoo Keeper II 05410 4,742 4,980 5,230 5,491 5,765 6,053 6,357 Zoo Operations Coordinator 05485 5,332 5,599 5,879 6,173 6,482 6,805 7,145 The (T) designates a terminal classification. A position classification that has been designated as terminal by formal City Council action will be deleted from the City’s Classification and Compensation Plan when vacated by its last remaining incumbent. No new appointments may be made to a classification that has been so assigned.

City Council 35 – 16 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION PART-TIME (SEIU PT)

HOURLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 15 of 16 ends

JOB TITLE JOB

CODE STEP A STEP B STEP C STEP D STEP E
Account Clerk I 09041 21.50 22.54 23.67 24.86 26.09
Account Clerk II 09042 23.78 24.96 26.24 27.52 28.90
Administrative Aide 09770 27.26 28.62 30.04 31.55 33.13 Animal Keeper 09000 17.13 17.99 18.89 19.83 20.82
Building Maintenance Assistant 09215 23.43 24.59 25.82 27.14 28.46 Cashier 09040 16.65 17.48 18.35 19.27 20.23
Clerical Aide 09060 16.98 17.84 18.69 19.62 20.60
Combination Inspector 09800 33.30 34.93 36.72 38.54 40.49 Community Center Aide (Part-Time) 09100 22.26 23.37 24.54 25.77 27.06 Computer Technician 09690 21.66 22.74 23.89 25.10 26.37 Customer Service Clerk 09780 22.32 23.43 24.60 25.83 27.14 Data Entry Clerk 09120 18.51 19.45 20.45 21.45 22.53
Engineering Apprentice 09471 22.90 24.05 25.25 26.51 27.84 Equipment Service Attendant 09140 20.84 21.85 22.98 24.09 25.33 General Maintenance Assistant (Part-Time) 09300 18.09 19.01 19.97 20.97 22.03 Information Desk Clerk 09755 18.69 19.62 20.60 21.63 22.71 Janitor 09170 17.07 17.92 18.82 19.76 20.77
Library Associate 09271 20.91 21.96 23.05 24.21 25.43
Library Clerk I 09200 17.42 18.27 19.19 20.18 21.16
Library Clerk II 09210 19.30 20.25 21.24 22.32 23.43
Lifeguard (Part-Time) 05311 18.99 19.96 20.97 22.02 23.13 Maintenance Attendant (Part-Time) (T) 09230 16.54 17.37 17.94 18.84 19.78 Mobile Library Clerk 09280 21.22 22.32 23.40 24.59 25.82 Municipal Utility Reader / Collector 09775 21.36 22.43 23.53 24.72 25.96

Page 09290 ends

Park Ranger (Part-Time) 03615 30.03 31.54 33.11 34.79 36.54 Parking Meter Technician I (Part-Time) 07161 27.50 28.88 30.32 31.84 33.43 Permit Parking Aide 09505 23.05 24.20 25.43 26.68 28.01 Permit Services Technician (Part-Time) 02579 38.31 40.24 42.25 44.35 46.57 Planning Technician (Part-Time) 09135 27.38 28.74 30.19 31.70 33.30 Police Records Clerk 09330 20.24 21.22 22.32 23.40 24.59 Police Supply Clerk 09340 20.30 21.32 22.39 23.51 24.69 Pool Manager (Part-Time) 05315 23.37 24.54 25.77 27.06 28.41 Program Leader I (Part-Time) 09360 16.61 17.44 18.31 19.23 20.19 Program Leader II (Part-Time) 09395 18.09 19.01 19.97 20.97 22.03 Purchasing Clerk 09720 21.41 22.48 23.63 24.79 26.02
City Council 35 – 17 8/20/2024

EXHIBIT A

SERVICE EMPLOYEES INTERNATIONAL UNION PART-TIME (SEIU PT)

HOURLY WAGE RATE SCHEDULE
EFFECTIVE AUGUST 25, 2024
REVISED AUGUST 20, 2024
Resolution 2024-XXX

Page 16 of 16 ends

JOB TITLE JOB

CODE STEP A STEP B STEP C STEP D STEP E
Right-of-Way Technician 09900 17.22 18.09 19.03 19.96 20.93 Senior Clerical Aide 09070 18.69 19.62 20.60 21.63 22.71 Senior Library Associate 09270 22.20 23.30 24.44 25.69 26.96 Senior Lifeguard (Part-Time) 05314 21.20 22.26 23.37 24.54 25.77 Senior Maintenance Aide 09250 16.67 17.49 18.36 19.30 20.27 Senior Maintenance Worker 09260 20.27 21.28 22.34 23.46 24.63 Senior Office Assistant (Part-Time) 09090 22.27 23.38 24.55 25.78 27.07 Senior Program Leader (Part-Time) 08160 20.19 21.20 22.26 23.37 24.54 Senior Special Employment Counselor 08370 22.39 23.51 24.69 25.92 27.22 Stores Aide 09460 19.88 20.88 21.89 23.01 24.13
Substitute Teacher (Part-Time) 05319 29.88 31.37 32.94 34.59 36.32 Tutor 08420 17.22 18.08 18.98 19.93 20.93
Water Conservation Representative 09960 17.59 18.46 19.37 20.34 21.40 The (T) designates a terminal classification. A position classification that has been designated as terminal by formal City Council action will be deleted from the City’s Classification and Compensation Plan when vacated by its last remaining incumbent. No new appointments may be made to a classification that has been so assigned.

City Council 35 – 18 8/20/2024
Police Department
www.santa-ana.org/police
Item # 36
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 20, 2024
TOPIC: FY 2023 Emergency Management Performance Grant

AGENDA TITLE
Resolution, Agreement, and Appropriation Adjustment Accepting the FY 2023 Emergency Management Performance Grant (Non-General Fund)

RECOMMENDED ACTION

1. Adopt a resolution authorizing the City Manager to act on behalf of the City of Santa Ana for obtaining federal funds related to homeland security, emergency management, and/or disaster recovery provided by the U.S. Department of Homeland Security and sub-granted through the State of California and the County of Orange.

RESOLUTION NO. 2024-XXX entitled A RESOLUTION OF THE CITY COUNCIL

OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER OR THE CITY MANAGER’S DESIGNEE(S) TO OBTAIN 2023 EMERGENCY

MANAGEMENT PERFORMANCE GRANT FUNDS THROUGH THE COUNTY OF ORANGE

2. Authorize the City Manager to execute a two-year agreement with the County of Orange for the period of July 1, 2023 through June 30, 2025, for the FY 2023 Emergency Management Performance Grant in an amount not to exceed $46,342 (Agreement No. 2024-XXX).

3. Approve an appropriation adjustment recognizing $46,342 in Law Enforcement Grants revenue account and appropriating same to the Emergency Management Performance Grant expenditure account. (Requires five affirmative votes) GOVERNMENT CODE §84308 APPLIES: Yes

DISCUSSION
The Emergency Management Performance Grant (EMPG) is funded by the U.S.

Department of Homeland Security and passed through the State of California Office of City Council 36 – 1 8/20/2024
FY 2023 Emergency Management Performance Grant
August 20, 2024

Page 2 ends

Emergency Services. The EMPG grant is designed to assist state and local emergency management and disaster preparedness programs with employment and development of emergency management staff, development of emergency plans and procedures, and preparing cities for disaster response. The EMPG grant is distributed by population to counties and cities that maintain emergency management staff and meet training, exercising, and reporting requirements. The County of Orange, Sheriff-Coroner Department is the lead agency for the County.

In March 2023, the Police Department submitted an initial application for the FY 2023 EMPG Grant and has been awarded $46,342. The Police Department will utilize this funding to purchase and install two security video cameras on Bristol Street to enhance public safety. The grant requires a dollar-for-dollar match. Existing Police Department funding of the Emergency Operations Coordinator position fulfills the requirement for matching funds.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.

FISCAL IMPACT
The appropriation adjustment will recognize $46,342 in Law Enforcement Grants, Federal Grant-Indirect revenue account (no. 12814002-52001), and appropriate same to FY23 EMPG Grant expenditure account (no. 12814414-66400) as follows:

Fiscal Year Accounting Unit
– Account No.

Fund
Description
Accounting Unit,
Account Description Amount
FY 24-25 12814414-66400 Law Enforcement
Grants
EMPG Grant, Machinery
& Equipment $46,342
Total $46,342

EXHIBIT(S)

1. Resolution

2. FY 2023 EMPG Transfer Agreement with County of Orange Submitted By: Robert Rodriguez, Acting Police Chief
Approved By: Alvaro Nuñez, City Manager
City Council 36 – 2 8/20/2024
Resolution No. 2024-XXX

Page 1 of 2 ends

RESOLUTION NO. 2024-xxx

A RESOLUTION OF THE CITY COUNCIL OF THE CITY

OF SANTA ANA AUTHORIZING THE CITY MANAGER
OR THE CITY MANAGER’S DESIGNEE(S) TO
OBTAIN 2023 EMERGENCY MANAGEMENT

PERFORMANCE GRANT FUNDS THROUGH THE

COUNTY OFORANGE

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:

Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows:

A. TheState of California Office ofEmergency Services is responsible for implementing the United States Department of Homeland Security's Emergency Management Performance Grant Program (EMPG). The funds cover the salary costs for personnel involved in emergency management activities as well as the cost of miscellaneous equipment identified on the OHS approved equipment list.

B. The County of Orange is a subgrantee of the 2023 EMPG funds and will provide funds to local governments for implementation of countywide emergency management capabilities.

C. The City of Santa Ana is one of the subrecipients of the EMPG funds and has been allocated $46,342 of the County of Orange's EMPG fund.

Section 2. The City Council of the City of Santa Ana hereby authorizes the City Manager, on terms acceptable to the City Attorney, to execute a subrecipient transfer agreement (also called a transfer agreement) with the County of Orange and/or Orange County Sheriff's Department in an amount not to exceed $46,342.

Section 3. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager or the City Manager’s designee, on terms acceptable to the City Attorney, to prepare reimbursement agreements for salary costs, equipment, services, or training with the County of Orange pursuant to the guidelines set for in the EMPG program and EMPG Articles, Assurances, Certifications, Terms and Conditions.

Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the FY 2023 Emergency Management EXHIBIT 1
City Council 36 – 3 8/20/2024
Resolution No. 2024-XXX

Page 2 of 2 ends

Performance Grant in the amount of $46,342 and appropriates same in the FY 2023 Emergency Management Performance Grant expenditure accounts.

Section 5. This Resolution shall take effect immediately upon the signing of this Resolution by the City Council and the Clerk of the Council shall attest to and certify this the vote adopting this Resolution.

SIGNED this day of _______________, 2024.
______________________________

VALERIE AMEZCUA
Mayor
APPROVED AS TO FORM:

Sonia R. Carvalho, City Attorney

By: TAMARA BOGOSIAN
Senior Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOTPRESENT: Councilmembers

CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, JENNIFER L. HALL, City Clerk, do hereby attest to and certify the attached Resolution No. 2024-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on , 2024.

Date:_______________ _____________________________
City Clerk
City of Santa Ana
City Council 36 – 4 8/20/2024
Exhibit 2
City Council 36 – 5 8/20/2024
City Council 36 – 6 8/20/2024
City Council 36 – 7 8/20/2024
City Council 36 – 8 8/20/2024
City Council 36 – 9 8/20/2024

ATTACHMENT A
Fiscal Year 2023 Preparedness
Grants Manual
FEMA Grant Programs Directorate
FEMA Manual (FM) 207-22-0001Version 4, 2023
City Council 36 – 10 8/20/2024
Table of Contents
Table of Contents 1
About the Federal Emergency Management Agency (FEMA) 6
Overview of FEMA 6
6 6
7 7
7 7
7 7
7 Overview of Preparedness Grant Programs
Homeland Security Grant Program (HSGP)
Tribal Homeland Security Grant Program (THSGP)
Nonprofit Security Grant Program (NSGP)
Transit Security Grant Program (TSGP)
Intercity Bus Security Grant Program (IBSGP)
Intercity Passenger Rail (IPR) Program – Amtrak
Port Security Grant Program (PSGP)
Emergency Management Performance Grant (EMPG) Program
Foreword 8
The National Preparedness Goal 8
Pre-Award Application and Submission 9
Pre-Submission Information 9
9 10
Agreeing to Terms and Conditions of the Award
Address to Request Application Package
Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
Electronic Delivery
How to Register to Apply through Grants.gov
How to Submit an Initial Application to DHS/FEMA via Grants.gov Submitting the Final Application in ND Grants
Timely Receipt Requirements and Proof of Timely Submission Standard Required Application Forms and Information
Intergovernmental Review
10 11
11 13
14 15
15 16
16 18
19 Funding Restrictions and Allowable Costs
Management and Administration (M&A)
Procedures for Establishing Indirect Cost Rates
Award Determination and Obligation 20
Allocations 20
20 20
21 21
21 Risk Methodology
Application Evaluation Criteria
Supplemental Financial Integrity Review
Review and Selection Process
Federal Award Administration Information
1 City Council 36 – 11 8/20/2024
Notice of Award
Pass-Through Requirements
Administrative and National Policy Requirements
21 22
22 Post-Award Management and Implementation 27
Reporting 27
27 27
27 27
27 28
28 28
28 29
30 30
30 Federal Financial Reporting Requirements
Federal Financial Report (FFR)
Financial Reporting Periods and Due Dates
Program Performance Reporting Requirements
Performance Progress Report (PPR)
Program Performance Reporting Periods and Due Dates
Additional Programmatic Reporting Requirements and Information Biannual Strategy Implementation Report (BSIR)
Closeout Reporting Requirements
Administrative Closeout
Disclosing Information per 2 C.F.R. § 180.335
Reporting of Matters Related to Recipient Integrity and Performance Single Audit Report
Additional Information 31
Monitoring and Oversight 31
31 32
34 35
35 35
36 37
38 38
39 40
42 42
42 42
43 44
45 46
Overview
Financial Monitoring Overview and Approach
Programmatic Monitoring Overview and Approach
Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations Termination Provisions
Period of Performance (POP) Extensions
Disability Integration
Conflicts of Interest in the Administration of Federal Awards or Subawards Procurement Integrity
Important Changes to Procurement Standards in 2 C.F.R Part 200 Competition and Conflicts of Interest
Supply Schedules and Purchasing Programs
Financial Assistance Programs for Infrastructure
Build America, Buy America Act
Waivers
Definitions
Records Retention
Actions to Address Noncompliance
Audits
Payment Information
National Campaigns and Programs 47
FEMA Strategic Plan
Whole Community Preparedness
47 47
2 City Council 36 – 12 8/20/2024
Active Shooter Preparedness
Soft Targets and Crowded Places
Community Lifelines
Strategic Framework for Countering Terrorism and Targeted Violence Countering Violent Extremism (CVE) Training
48 48
49 50
50 Program Appendix A: Homeland Security Grant Program (HSGP) 1 Alignment of HSGP to the National Preparedness System
HSGP Funding Guidelines
1 2
Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements Building and Sustaining Capabilities
National Incident Management System (NIMS) Implementation Planning to Deliver Capabilities
Validating Capabilities
Fusion Centers
Fusion Center Performance Measures
Continuity Capability
Governance
Supplemental SHSP and UASI Guidance
Supplemental OPSG Program Guidance
OPSG Operational Guidance
HSGP Supplemental Material
Supplemental Emergency Communications Guidance
21 21
22 22
22 23
24 26
27 28
32 35
38 44
47 Program Appendix B: Tribal Homeland Security Grant Program (THSGP) 1 Alignment of THSGP to the National Preparedness System
THSGP Funding Guidelines
1 4
THSGP Priorities 4
Allowable Costs 4
THSGP Investment Modifications – Changes in Scope or Objective 13 Program Appendix C: Nonprofit Security Grant Program (NSGP) 1 NSGP Funding Guidelines
NSGP Priorities
Allowable Costs
NSGP Investment Modifications – Changes in Scope or Objective Pass-Through Requirements
1 1
1 7
8 SAM/UEI Requirements for Recipients and Subrecipients 9 Program Appendix D: Transit Security Grant Program (TSGP) 1 TSGP Funding Guidelines
Pre-Award Costs
TSGP Priorities
Security Plan Requirements
Allowable Direct Costs
1 1
1 1
2 3
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Allowable Indirect Costs
Unallowable Costs
Maintenance and Sustainment Costs
Encouraged Use of Certain Products Produced in the United States 12 12
13 13
Program Appendix E: Intercity Bus Security Grant Program (IBSGP) 1 IBSGP Priorities
Pre-Award Costs
Allowable Direct Costs
Indirect Costs
Unallowable Costs
Other Allowable Costs
Encouraged Use of Certain Products Produced in the United States 1 1
1 7
7 8
9 Program Appendix F: Intercity Passenger Rail (IPR) Program 1 IPR Funding Guidelines
IPR Priorities
Security Plan Requirements
Allowable Costs
Operational Activities
Funding Availability for OPacks
Specific Guidance on EDCT
1 1
1 2
3 4
5 Program Appendix G: Port Security Grant Program (PSGP) 1 PSGP Funding Guidelines
PSGP Priorities
1 1
Limitations on Funding 1
Allowable Direct Costs 2
Port-Wide Risk Management Plans
Sample Memorandum of Understanding/Agreement (MOU/MOA)
PSGP Investment Modifications
17 17
18 Program Appendix H: 1
EMPG Program Priorities 1
1 2
2 3
3 3
6 6
6 7
8 9
Alignment of the EMPG Program to the National Preparedness System Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements Building and Sustaining Core Capabilities
National Incident Management System (NIMS) Implementation National Qualifications System (NQS) Implementation
Logistics Planning
Distribution Management Plans
Additional Logistics Planning Resources
Evacuation Planning
Disaster Housing Planning
State Disaster Recovery Coordinator
4 City Council 36 – 14 8/20/2024
Disaster Financial Management Policies and Procedures
Training and Exercises
Reviewing and Updating Planning Products
Additional Considerations
Program Performance Reporting Requirements
Performance Progress Reports (PPR)
10 11
15 15
16 16
Standardized Programmatic Reporting for the EMPG Program 17 EMPG Program Funding Guidelines 18
Allowable Costs 18
18 18
18 18
20 21
22 23
24 25
26 28
28 29
29 29
Management and Administration (M&A)
Indirect Costs
Unrecovered Indirect Costs
Whole Community Preparedness
Planning
Continuity Planning
Organization
Equipment
Training
Exercises
Construction and Renovation
Acquisition of Real Property
Leasing of Real Property
Maintenance and Sustainment
Unallowable Costs
Amendments for EMPG Costs
EMPG Program Work Plan 31
EMPG Program Work Plan Instructions
Definitions and Guidance
Quick Links
Grant Investment Strategy
Grant Activities Outline
Detailed Budget – Excluding M&A
Budget Narrative – Excluding M&A
Detailed Budget – M&A Only
Budget Narrative – M&A Only
Information for the Detailed Budget and Budget Narrative EMPG Program Summary
31 32
32 32
33 35
35 36
36 36
38 38
39 40
41 Implementation Schedule
Training Data Table
Exercise Data Table
EMPG Requirements Matrix
5 City Council 36 – 15 8/20/2024
About the Federal Emergency Management
Agency (FEMA)
Overview of FEMA
FEMA’ s m i sheslpiingop enopleibesfore, during, and after disasters, and it has done so for more than years. FEMA remains committed to building resilience and developing a culture of preparedness across 40 the country and unifying all levels of community and government in an integrated approach to emergency management. FEMA is part of a larger team of federal agencies, state, local, tribal, and territorial (SLTT) governments, and non-governmental partners that share responsibility for emergency management and national preparedness. Those closest to areas impacted by any emergency or disaster are the true first responders—i n d i v i d u a l s , f a m i l i e s , n e i g h b o r s , a n d l o c a l federal resources to supplement SLTT capabilities. FEMA does this by coordinating across the levels of government, meaning that states and their local units of government, tribes, and territories are F E MA ’ s primary partners.

Overview of Preparedness Grant Programs
FEMA has the statutory authority to deliver numerous disaster and non-disaster financial assistance programs in support of its mission, and that of the U.S. Department of Homeland Security (DHS), largely through grants and cooperative agreements. These programs account for a significant amount of the federal assistance funds for which FEMA is accountable. FEMA officials are responsible and accountable for the proper administration of these funds pursuant to federal laws and regulations, Office of Management and Budget circulars, and federal appropriations laws and principles. FEMA has developed this Manual to provide additional direction on grant policy and implementation for the following grant programs:

Homeland Security Grant Program (HSGP)
The HSGP includes a suite of risk-based grants to assist SLTT efforts in preventing, preparing for, protecting against, and responding to acts of terrorism. The grants under HSGP include:
•
•
•
State Homeland Security Program (SHSP)
The SHSP assists SLTT efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism.

Urban Area Security Initiative (UASI)
The UASI Program assists high-risk urban areas’ efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism.

Operation Stonegarden (OPSG)
OPSG supports enhanced cooperation and coordination among U.S. Customs and Border Protection (CBP), United States Border Patrol (USBP), and federal and SLTT law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to s e c u r e t h e U n i t e d S t a t e s ’ b o rfrodmeinrtersnatioanall boorndergs, r o u t to include travel corridors in states bordering Mexico and Canada, as well as states and territories s with international water borders. SLTT law enforcement agencies utilize their own law enforcement authorities to support the border security mission and do not receive any additional authority by participating in OPSG.
6 City Council 36 – 16 8/20/2024
Tribal Homeland Security Grant Program (THSGP)
The THSGP provides funding directly to eligible tribes to strengthen their capacity to prevent, prepare for, protect against, and respond to potential terrorist attacks.

Nonprofit Security Grant Program (NSGP)
The NSGP provides funding for physical security enhancements and other security-related activities to nonprofit organizations that are at high risk of a terrorist or other extremist attack. The NSGP also seeks to integrate the preparedness activities of nonprofit organizations with broader state and local preparedness efforts.

Transit Security Grant Program (TSGP)
The TSGP provides funds to eligible public transportation systems (which include intra-city bus, ferries, and all forms of passenger rail) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.

Intercity Bus Security Grant Program (IBSGP)
The IBSGP provides funds to eligible private operators of intercity over-the-road bus transportation systems to protect critical transportation infrastructure and travelling public from acts of terrorism, and to increase transportation infrastructure resilience.

Intercity Passenger Rail (IPR) Program – Amtrak
The IPR provides funds to the National Railroad Passenger Corporation (Amtrak) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.

Port Security Grant Program (PSGP)
The PSGP provides funding to port authorities, facility operators, and state and local agencies for activities associated with implementing Area Maritime Security Plans, facility security plans, and other port-wide risk management efforts.

Emergency Management Performance Grant (EMPG) Program
The EMPG Program provides funds to assist SLTT emergency management agencies in obtaining the resources required for implementation of the National Preparedness System and the National Preparedness Goal of a secure and resilient nation.
7 City Council 36 – 17 8/20/2024
Foreword
FEMA has developed this Preparedness Grants Manual to guide applicants and grant recipients on how to manage their grants and other resources. Recipients seeking guidance on policies and procedures for managing preparedness grants should reference this Manual for further information on both programspecific information as well as overall guidance on rules and regulations that guide the proper management of FEMA grants.

The National Preparedness Goal
The National Preparedness Goal (the Goal) is “ [ saec]ure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.” See Department of Homeland Security, National Preparedness Goal, Second Edition, (Sept. 2015). The Goal essentially defines what it means for all communities to be prepared collectively for the threats and hazards that pose the greatest risk to the nation. The Goal identifies 32 distinct activities, called core capabilities, needed to address the risks. The Goal organizes these core capabilities into five categories, called mission areas. Some core capabilities apply to more than one mission area. For example, the first three core capabilities—Planning, Public Information and Warning, and Operational Coordination—are cross-cutting capabilities, meaning they apply to each of the five mission areas. The National Preparedness Goal describes the five mission areas as follows:
•
•
Prevention: Prevent, avoid, or stop an imminent, threatened, or actual act of terrorism.

Protection: Protect our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations, and way of life to thrive.

Mitigation: Reduce the loss of life and property by lessening the impact of future disasters.

Response: Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an incident.
•
•
• Recovery: 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 an incident.

The mission areas and core capabilities organize the activities and tasks performed before, during, and after disasters into a framework for achieving the goal of a secure and resilient Nation. Resilience is the desired outcome, defined in the Goal a s t h e “ a b i l i t y t o a d a p t t o c h a n g i r a p i d l y r e c o v e r f r o m dIdi. ast Ar -2u. Fport mioroe informda tuione abotutothe Geoaml, egor g e n c to National Preparedness Goal | FEMA.gov i e.

Recipients will use the National Preparedness System to build, sustain, and deliver these core capabilities.

The components of the National Preparedness System are Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at National Preparedness System | FEMA.gov. Additional details regarding the National Preparedness System and how it is supported by these grant programs can be found in the program-specific appendices.
8 City Council 36 – 18 8/20/2024
Pre-Award Application and Submission
Pre-Submission Information
These instructions apply to the following programs:
•
•
•
•
•
•
•
•
Homeland Security Grant Program;1
Tribal Homeland Security Grant Program;
Nonprofit Security Grant Program;
Transit Security Grant Program;
Intercity Bus Security Grant Program;
Intercity Passenger Rail Program;
Port Security Grant Program; and
Emergency Management Performance Grant Program.

All applications must be received by the established deadline e s t a b l i s h e d i n e a c h p r o g r Funding Opportunity (NOFO). The Non-Disaster (ND) Grants System has a date stamp that indicates when an applicant submits their application. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application r e c e i p t , s e e t h e s e c t i o n t i t l e d “ T i m eo ln y. ” R e c e i p t R FEMA will not review applications that it receives after the deadline, nor will it consider these late applications for funding. FEMA may, however, extend the application deadline on request for an applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an e x t e n s i o n m a y i n c l u d e t e c h n i c a l p r o b l e m s o u t s i d e application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.

Applicants experiencing technical problems outside of their control must notify the respective FEMA Preparedness Officer or Program Manager as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application m a y p r e c l u d e c o n s i d e r a t i o n o f t h e a w a r d . “ T i m e l y the application deadline and within 48 hours after the applicant became aware of the issue.

For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or [email protected]. The ND Grants Service Desk is available Monday through Friday, 9 a.m. – 6 p.m. ET. For programmatic or grants management questions, please contact your Preparedness Officer or Program Manager. If applicants do not know their FEMA Preparedness Officer or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9 a.m. – 5 p.m. ET.

Agreeing to Terms and Conditions of the Award
By submitting an application, the applicant agrees to comply with the requirements of the applicable NOFO, this Manual, and the applicable appendix to this Manual, as well as the terms and conditions of its award should it receive an award.
1 Under this program, these instructions apply to SHSP, UASI, and OPSG. 9 City Council 36 – 19 8/20/2024
Address to Request Application Package
Initial applications are processed through the Grants.gov portal. Final applications are completed and s u b m i t t e d t hNrD Go ruantgs ShysteFm.EAMppAlic’atison forms and instructions are available on Grants.gov. Hard copies of the NOFO and associated application materials can also be downloaded at Grants.gov. To access these materials, go to Grants.gov, order to obtain the application package, s e l e c t
s e l e c t
“ D o w n l o a d
“ A p p l i c a n .”t Ins ” t h e n
a .G” Erntaernthte A p p l i c a t
Assistance Listing (formerly CFDA) and/or the funding opportunity number located on the cover of the p r o g sr a Nm O’ F O , s e l e c t “ D o w n l o a d P a c k a g e , ” a n d t h e n f o package. In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice and all relevant NOFOs is (800) 462-7585.

Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
Applying for an award under the programs covered by this Manual is a multi-step process and requires time to complete. Applicants are encouraged to register early, as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact the applicant’s ability to meet required submission deadlines. Failure of an applicant to comply with any of the required steps in submitting an application before the deadline may disqualify that application from funding consideration.

To apply for an award, all applicants must:

1. Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov, and Employer Identification Number (EIN) from the Internal Revenue Service;

2. In the application, provide a UEI number;

3. Have an account with login.gov;

4. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;

5. Create a Grants.gov account;

6. Add a profile to a Grants.gov account;

7. Establish an Authorized Organizational Representative (AOR) in Grants.gov;

8. Register in ND Grants;

9. Submit an initial application in Grants.gov;

10. Submit the final application in ND Grants, including electronically signing applicable forms; and

11. Continue to maintain an active SAM registration with current information at all times during which they have an active federal award or an application or plan under consideration by a federal awarding agency. A s p a r t o f t h i s , a p p l i c a n t s m u s t a l s o p immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the past three years, if applicable.

Specific instructions on how to apply for, update, or verify a UEI number or SAM registration or establish an AOR are included in the steps below for applying through Grants.gov. Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable UEI and SAM r e q u i r e m e n t s .
application, but also during the application review period and when FEMA is ready to make a federal a w a r d . F u r t h e r , a s n o t e d a b o v e , a n a p p l i c a n t ’ s duration of an active federal award. If a n a p p l i c a n t ’ s S A M r e g i s t r a t i o n application, expires during application review, or expires any other time before award, FEMA may T h e r e f o r e , a n a p p l i c thaentimt e’ofs S A M r e g i s o r
i
10 City Council 36 – 20 8/20/2024
determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevent it from receiving a UEI number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting [email protected] and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain a UEI number, if applicable, and complete SAM registration within 30 days of the federal award date.

Electronic Delivery
FEMA is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. FEMA requires applicants to submit their initial applications online through Grants.gov and to submit their final applications through ND Grants.

How to Register to Apply through Grants.gov

1. General Instructions: Registering and applying for an award under these programs is a multistep process and requires time to complete. Read the instructions below about registering to apply for FEMA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. To ensure an application meets the deadline, applicants are advised to start the required steps well in advance of their submission.

Organizations must have a UEI number, an EIN, and an active SAM registration to apply for grants. Organizations must also have a Grants.gov account to apply for an award under these programs. Creating a Grants.gov account can be completed online in minutes, but UEI and SAM registrations may take several weeks. Therefore, an organization’s registration should be done in sufficient t i m e t o e n s u r e i t d o e s n o t i m p a c t t h e e n t submission deadlines. Complete organizational instructions can be found on Grants.gov.

If individual applicants are eligible to apply for a grant funding opportunity, refer to Applicant Registration | Grants.gov to create an account with Grants.gov.

2. Obtain a UEI Number: All entities applying for funding, including renewal funding, must have a UEI number. Applicants must enter the UEI number in the applicable data entry field on the SF424 form.

For more detailed instructions for obtaining a UEI number, refer to SAM.gov.

3. Obtain Employer Identification Number: All entities applying for funding must provide an EIN. The EIN can be obtained from the IRS by visiting Apply for an Employer Identification Number (EIN) Online | Internal Revenue Service (irs.gov).

4. Create a login.gov account: Applicants must have a login.gov account in order to register with SAM or update their SAM registration. Applicants can create a login.gov account at Create your account - Login.gov.
11 City Council 36 – 21 8/20/2024
Applicants only have to create a login.gov account once. For applicants that are existing SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked.

For more information on the login.gov requirements for SAM registration, refer to SAM.gov | Home.

5. Register with SAM: All organizations applying online through Grants.gov must register with SAM. Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually.

For more detailed instructions for registering with SAM, refer to Step 2: Register with SAM | Grants.gov.

Note: As a new requirement per 2 C.F.R. § 25.200, applicants must also pro v i d e immediate and highest-level owner, subsidiaries, and predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable. t h e a p p l i c
a. Additional SAM Reminders
Existing SAM.gov account h o l d e r s
SAM registration should be completed at the very beginning of the application period and s h o u l d b e r e n e w e d a n n u a l Plleayse altlowo pleantvy oof tii mde b e i n g
s h o u l d c h e c k t h e i r a c c o u n
“ I N
before the grant application submission deadline to obtain a UEI number and then to register in SAM. It may be four weeks or more after an applicant submits the SAM registration before the registration is active in SAM, and then it may be an additional 24 hours before FEMA’s system recognizes the information.

It is imperative that the information applicants provide is correct and current. Please ensure t h a t
number used in SAM is the same one used to apply for all other FEMA awards. Payment u n d e r a n y F E MA a w a r d i s c o n t i n g e n t o n t h e y o u r o r g a n i z a t i o n ’ s n a m e , a d dUrE Ie s s , a n d E r e c
b. Help with SAM
The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk at GDIT Shared (fsd.gov) or call toll free (866) 606-8220.

6. Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their or their organization’s UEI number to complete this process.

For more information, follow the on-screen instructions or refer to Applicant Registration | Grants.gov.

7. Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all your grant applications. To add an organizational profile to your Grants.gov account, enter the UEI number for the organization in the UEI field while adding a profile.
12 City Council 36 – 22 8/20/2024
For more detailed instructions about creating a profile on Grants.gov, refer to Add Profile | Grants.gov.

8. EBiz Point of Contact (POC) Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization a p p l i recquaesnt ftor’G rsants.gov roles
and access are sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

For more detailed instructions about creating a profile on Grants.gov, refer to EBiz POC Authorizes Profile Roles | Grants.gov.

9. Track Role Status: To track your role request, refer to Track Profile Role Status | Grants.gov.

10. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR. Please ensure you have been authorized by the EBiz POC as this step is often missed, and it is crucial for valid and timely submissions.

How to Submit an Initial Application to DHS/FEMA via Grants.gov Standard Form 424 (SF 424) is the initial application form.

Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each NOFO, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least three days before the application deadline.

In Grants.gov, applicants need to submit the following forms:
•
•
SF-424, Application for Federal Assistance; and
Grants.gov Lobbying Form, Certification Regarding Lobbying.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using a workspace, refer to: Workspace Overview | Grants.gov

1. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2. Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission.

3. Adobe Reader: If you decide not to apply by filling out web forms, you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS/FEMA forms.

The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, and then accessed through Adobe Reader. 13 City Council 36 – 23 8/20/2024
NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at Adobe Software Compatibility | Grants.gov.

4. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

5. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and UEI number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

6. Submit a Workspace: An application may be submitted through workspace by clicking the “ S i g n a n d S u b m i t ” b u t t o n o n t h e Ma n a g e Wo r k s p a recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

7. Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

Additional Training and Applicant Support: For additional training resources, including video tutorials, refer to Applicant Training | Grants.gov.

Grants.gov provides applicants 24/7 support (except federal holidays) via the toll-free number (800) 518- 4726 and email at [email protected] and the website at Support | Grants.gov. For questions related to a specific grant contact the number listed in the NOFO of the grant for which you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist FEMA with tracking your issue and understanding background information on the issue.

Submitting the Final Application in ND Grants
After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of the NOFO announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.

Applicants needing assistance registering for the ND Grants system should contact [email protected] or (800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please see Non-Disaster Grants Management System | FEMA.gov.

In ND Grants, applicants will be prompted to submit the standard application information required as described i n t h e “ C o n t e n t a n d F o r m boe lfow. TAhep Sptanl d airdcFaormt si o n
S u b m i
(SFs) are auto-generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.
14 City Council 36 – 24 8/20/2024
An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: 1) a current employee, personnel, official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application.

Further, the AOR and Signatory Authority (SA) must be a duly authorized current employee, personnel, official, staff, or leadership of the recipient, and provide an email address unique to the recipient at the time of application and upon any change in assignment during the period of performance. Consultants or contractors of the recipient are not permitted to be the AOR or SA of the recipient.

For program-specific application submission requirements, please refer to the applicable program NOFO and applicable appendix to this Manual.

Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt, a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants system. Please allow 24 hours for your ND Grants application tracking number to migrate.

All applications must be received in ND Grants by 5 p.m. Eastern Time on the application deadline.

Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

Standard Required Application Forms and Information
For all programs, the following forms or information are required to be submitted in either Grants.gov or ND Grants. The SFs are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at SF-424 Family | Grants.gov.

Grants.gov:
• SF-424, Application for Federal Assistance, initial application submitted through Grants.gov; and
• Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov.

ND Grants:
• SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grants;
o For construction under an award, submit: SF-424C, Budget Information (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A
• SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND Grants;
15 City Council 36 – 25 8/20/2024
o For construction under an award, submit: SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B
•
•
SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants; and
Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, p l e a s e s e e t h e “ F u n d i n g R e s t r i c t i o n s a n d program NOFO and the section below on indirect costs for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available or contact the relevant Preparedness Officer or Program Manager for further instructions.

Generally, applicants need to submit either the non-construction forms (i.e., SF-424A and SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non-construction work under these programs need to submit both the construction and non-construction forms.

Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state’ s S i n g l e P o i n t o Contact to comply with the state’ s p r o c e s s u n d e r . E x e c u t i v e O r d e r 1 2 3 See Executive Orders | National Archives and Intergovernmental Review (SPOC List) (whitehouse.gov).

Funding Restrictions and Allowable Costs
All costs charged to awards covered by this Manual must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in this Manual, the applicable program NOFO, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA preparedness grant awards is the same as the period of performance).

In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability principles for selected items of cost. More specifically, except as otherwise stated in the applicable program appendix to this Manual, the program NOFO, or the terms and condition of an award, costs charged to awards covered by this Manual must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award.

Additionally, all costs charged to award s m u s t c o m p l y w i t h t h e g r a n t p r o g policies, NOFOs, and requirements in this Manual and the applicable NOFO, as well as with the terms and conditions of the award. If FEMA staff identify costs that are inconsistent with any of these requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent with applicable laws, regulations, and policies.
16 City Council 36 – 26 8/20/2024
As part of those requirements, grant recipients and subrecipients may only use federal funds or funds applied to a cost share for the purposes set forth in this Manual, applicable NOFOs, and the terms and conditions of the award, and those costs and must be consistent with the statutory authority for the award.

Federal funds made available through these awards may be used for the purposes set forth in this Manual, the applicable program NOFO, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal grants/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.

Specific investments made in support of the funding priorities discussed in the appendices to this Manual generally fall into one of the following eight allowable expense categories:

1. Construction;

2. Equipment;

3. Exercises;

4. Management & Administration (M&A);

5. Organization;

6. Operational Activities;

7. Planning; and

8. Training.

Please refer to the relevant program-specific appendix for more information on funding restrictions, funding priorities, and these categories.

Accessibility Compliance
Preparedness grant program recipients using funds to build or alter buildings must comply with accessibility requirements under the Rehabilitation Act of 1973 and Architectural Barriers Act of 1968 (ABA), as well as the Americans with Disabilities Act (ADA), if applicable, to ensure individuals with disabilities have access to such buildings. Accessibility standards under the ABA and ADA are highly similar. Additional information regarding compliance with the Architectural Barriers Act is available at Chapter 1: Using the ABA Standards (access-board.gov).

Authorized Equipment List
The Authorized Equipment List (AEL) i s a l i s t o f a p p r o v e d e q u i p m e n t t y preparedness grant programs. The intended audience of this tool is emergency managers, first responders, and other homeland security professionals. The list consists of equipment categories divided into categories, sub-categories, and then individual equipment items.

Prohibitions on Expending Grant or Cooperative Agreement Funds for Certain Telecommunications and Video Surveillance Services or Equipment Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.327, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons.
17 City Council 36 – 27 8/20/2024
Guidance is available in FEMA Policy #405-143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services.

Additional guidance is available at Contract Provisions Guide: Navigating Appendix II to Part200 - Contract Provisions for Non-Federal Entity Contracts Under Federal Awards.

Effective August 13, 2020, 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.

Replacement Equipment and Services: FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements in this Manual and the applicable NOFO.

Definitions
Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:

1. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities);

2. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);

3. Telecommunications or video surveillance services provided by such entities or using such equipment; or

4. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or c o n t r o l l e d b y , o r o t h e r w i s e c o n n e c t e d t o , t h e Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of “ c o v e r e d t e l e c o m m u n i c a Steei 2oC .nF.Rs . § 2e00q.4u7 1i. p m e n t
o r s e r v i c e s
Management and Administration (M&A)
M&A costs are for activities directly related to the management and administration of the award, such as financial management, reporting, and program and financial monitoring. Some examples of M&A costs include grants management training for M&A staff, equipment and supplies for M&A staff to administer the grant award, travel costs for M&A staff to attend conferences or training related to the grant program, travel costs for the M&A staff to conduct subrecipient monitoring, contractual services to support the 18 City Council 36 – 28 8/20/2024
M&A staff with M&A activities, and auditing costs related to the grant award to the extent required or permitted by statute or 2 C.F.R. Part 200. Characteristics of M&A expenses can include the following: 1) direct costs that are incurred to administer a particular Federal award; 2) identifiable and unique to each Federal award; 3) charged based on the activity performed for that particular Federal award; and 4) not duplicative of the same costs that are included in the approved Indirect Cost Rate Agreement, if applicable.

Procedures for Establishing Indirect Cost Rates
The requirements and procedures for establishing indirect cost rates are the same for all the preparedness programs outlined in the Preparedness Grants Manual. The process for establishing the indirect cost rate varies based on the type of entity and the amount of funding they receive:
• If the entity is a non-governmental entity, and is a subrecipient, indirect cost rate procedures are outlined in 2 CFR 200.332(a)(4). These types of entities may either use the de minimis rate or negotiate a rate with the pass-through entity.
• If the subrecipient is a state or local governmental entity, indirect cost rate procedures are established in 2 CFR 200, Appendix VII.
o Per Paragraph D.1.b. of Appendix VII, state or local governmental entities receiving grant funds must develop an indirect cost rate proposal. ▪ If the state or local entity receives more than $35 million in grant funding, the proposal must be approved by the cognizant agency.
▪ If a state or local entity receives $35 million or less in grant funding, they have to develop an indirect cost rate proposal, but that indirect cost rate proposal does not need to be approved by the cognizant agency.
• If a state or local governmental entity wants to use the de minimis rate (instead of developing an indirect cost rate proposal), they can request a case-by-case exception from FEMA (per 2 CFR 200.102(b)).
19 City Council 36 – 29 8/20/2024
Award Determination and Obligation
Allocations
Risk Methodology
D H S d e f i n e s r i s kadvearses o:utcom“epasosestseed ans at fiuncatiol n offhaoz arrd/thareants, assets and their vulnerabilities, and consequences.” See DHS Lexicon Terms and Definitions: 2017 Edition – Revision 2, (Oct. 2017). The FEMA risk methodology is focused on three elements:
•
•
•
Threat: the likelihood of an attack being attempted by an adversary; Vulnerability: the likelihood that an attack is successful, given that it is attempted; and Consequence: the effect of an event, incident, or occurrence.

Please see the applicable appendix of this Manual for each award program for specific information on the risk methodology applied for each program.

Application Evaluation Criteria
Programmatic Criteria
See the Manual appendices and relevant program NOFOs for specific information on the application criteria specific to each program.

Financial Integrity Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as enacted by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

1. Financial stability;

2. Quality of management systems and ability to meet management standards;

3. History of performance in managing federal award;

4. Reports and findings from audits; and

5. Ability to effectively implement statutory, regulatory, or other requirements.

All investments selected for recommendation will also undergo an additional risk review conducted by the FEMA Grants Management Specialist to evaluate the risk for noncompliance in carrying out the federal award. Using their subject-matter expertise, the questions the FEMA Grants Management Specialist may assess include, but are not limited to:
•
•
Is the applicant on any exclusion lists as identified in SAM.gov? If the applicant has received federal funding in the past, has the applicant performed all audits required by the Single Audit requirements under 2 C.F.R. Part 200, Subpart F? Has the applicant provided sufficient budget information and justification as required by the NOFO?
Are the costs proposed by the applicant in the budget information and justification allowable and reasonable based on the criteria set forth in this Manual and the applicable appendix, NOFO, and regulations?
•
•
20 City Council 36 – 30 8/20/2024
•
•
Is the budget representative of the total cost of performance of the projects? If indirect costs are included, is the applicant required to have an approved indirect cost rate agreement? If so, has the applicant provided an approved indirect cost rate agreement? Is the applicant delinquent on any federal debt?
Has the applicant had substandard performance in a prior award? Is the applicant on the Do Not Pay List?
•
•
•
Based on the outcome of this review, FEMA may determine that it will not make an award to an applicant that poses a risk of noncompliance. FEMA may also determine that it will make an award to an at-risk applicant, subject to additional terms and conditions as described in 2 C.F.R. § 200.208.

Supplemental Financial Integrity Review
Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000:
• FEMA is required to review and consider any information about the applicant, including information on the a p p l i c a n t ’ s i m-mleveeldowi near,tsuebsidiarines,dand hpreidegcehssoerss, t if applicable, that is in the designated integrity and performance system accessible through SAM, which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS).

An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered. •
• FEMA will consider any comments by the applicant, in addition to the other information in F A P I I S , i n m a k i n g a j u d g m e n t a b o u t t h e a p p l i c a performance under federal awards when completing the review of risk posed by applicants, as described in 2 C.F.R. § 200.206.

Review and Selection Process
FEMA will follow all applicable statutes, rules, and requirements and will take into consideration materials accompanying the annual appropriations acts, such as the Joint Explanatory Statement, as appropriate, in reviewing and selecting recipients.

Please see the applicable NOFO for the review and selection process for that program.

Federal Award Administration Information
Notice of Award
Before accepting the award, the AOR and recipient should carefully review the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in the applicable program NOFO, as well as this Manual, in addition to any special terms and conditions in the Notice of Award to receive an award under the applicable program.

Notification of award approval is made through the ND Grants system through an automatic electronic mail to the r e c i pauitheornizetd o’ffsicial listed in the initial application. The award date will be the date that FEMA approves the award. The recipient should follow the directions in the notification to confirm acceptance of the award.

Recipients must accept their awards no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND 21 City Council 36 – 31 8/20/2024
Grants system, please see the Grant Recipient User Guide. Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of the award have been satisfied or until the award is otherwise rescinded. Failure to accept a grant award within the 60-day timeframe may result in a loss of funds.

Pass-Through Requirements
Please see the applicable NOFO and appendix to this Manual for information on pass-through requirements for that program.

Administrative and National Policy Requirements
In addition to the requirements in this section and the applicable NOFO, FEMA may place specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200.

All successful applicants for all FEMA grants and cooperative agreements are required to comply with the DHS Standard Terms and Conditions.

The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. The specific terms and conditions that will apply for the award will be clearly stated in the award package at the time of award.

Ensuring the Protection of Civil Rights
As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations.

Federal civil rights statutes, such as Section 308 of the Stafford Act, Section 504 of the Rehabilitation Act of 1973, and Title VI of the Civil Rights Act of 1964, Age Discrimination Act, along with DHS and FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA.

Recipients must complete the DHS Civil Rights Evaluation Tool within 30 days of receipt of the Notice of Award. Information about this requirement and a fuller list of the civil rights provisions that apply to recipients can be found in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at: Civil Rights Resources for Recipients of DHS Financial Assistance | Homeland Security and Office of Equal Rights | FEMA.gov.

Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws are also authorized pursuant to 44 C.F.R Part 7.

In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment.

Environmental Planning and Historic Preservation (EHP) Compliance As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP regulations, laws, and Executive Orders, as applicable. 22 City Council 36 – 32 8/20/2024
All non-critical new construction or substantial improvement of structures in a Special Flood Hazard Area must, at a minimum, app l y t h e f l o o d e l e v a t i o n s o f t h e F e d e r a l Freeboard Value Approach unless doing so would cause the project to be unable to meet applicable program cost-effectiveness requirements. All other types of projects may choose to apply the flood e l e v a t i o n s o f t h e F e d e r a l F l o o d R i s k MEax encuativge e m e n t S Order (EO) 14030, Climate-Related Financial Risk and FEMA Policy #-206-21-0003, Partial Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance Programs (Interim).

The Grant Programs Directorate (GPD) manages and administers F E MA ’ s p r e p a r-deisadstner e s s a n d grants and consolidates the grant business operations, systems, training, policy, and oversight of all FEMA grants. All GPD actions, including grant-funded actions, must comply with National Flood Insurance Program criteria or any more restrictive federal, state, or local floodplain management standards or building code (44 CFR § 9.11(d)(6)). All GPD-funded non-critical actions in 1% annual chance floodplains (also known as 100-year floodplains) that involve new construction or substantial improvement of structures must be elevated, at a minimum, to the lower of:
• Two feet above the 1% annual chance flood elevation (also known as the base flood elevation), in accordance with th e
A p p r o a c h ”
F e d e r a l
( F V A ) ;
F l o o d
o r
R i s k Ma n a g e m e n t S t a n d a
• The 0.2% annual chance flood elevation. Where 0.2% annual chance flood elevations are not available, such actions must be elevated to at least two feet above the 1% annual chance flood elevation.

All GPD-funded critical actions in 0.2% annual chance floodplains (also known as 500-year floodplains) that involve new construction or substantial improvement of structures must be elevated, at a minimum, to the higher of:
•
•
Three feet above the 1% annual chance flood elevation; or The 0.2% annual chance flood elevation. Where 0.2% annual chance flood elevations are not available, such actions must be elevated to at least three feet above the 1% annual chance flood elevation.

See Executive Order (EO) 11988, Floodplain Management, as amended by EO 13690, Establishing a Federal Flood Risk Management Standard and a Process for Further Soliciting and Considering Stakeholder Input.

Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, new construction, including replacement of facilities, and some training activities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties.

In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project; otherwise, FEMA may not be able to fund the project due to noncompliance with EHP laws, Executive Orders, regulations, and policies.

DHS and FEMA EHP policy is found in directives and instructions available on Environmental and Historic Preservation Guidance for FEMA Grant Applications, the FEMA website page that includes 23 City Council 36 – 33 8/20/2024
documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders.

A GPD EHP screening form and supporting documentation for preparedness projects requiring EHP review should be submitted to [email protected]. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023- 1, Grant Programs Directorate Environmental and Historic Preservation Policy Guidance.

Executive Order (EO) 13985, Advancing Racial Equity and Support for Underserved Communities through the Federal Government, rearticulates and strengthens the environmental justice framework articulated in 1994 in EO 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations. Specifically, Section 1 of E.O. 13985 states that:
“ A f f i r m a atncingveqeu iltyy, civial ridghvts, racial justice, and equal opportunity is the responsibility of
the whole of our Government. Because advancing equity requires a systemic approach to embedding fairness in decision-making processes, executive departments and agen c i e s …m u s t r e c o g n i z e a n d p r o g r a
a
r e d r e s s i n e q u a l i t i e s i n t h e i r p o l i c i e s Ma n y p r o j e c t s f u n d e d b y G P D ’ s g r a n t p r o g r a m s c a n particular, construction of buildings and other structures and construction of new communication towers may have disproportionately high and adverse effects on minority and low-income populations. FEMA acknowledges the important role that FEMA recipients and subrecipients play in advancing and achieving environmental justice by identifying low-i n c o m e a n d m i n o r i t y p o p u l a t i o n s w affected area as early as possible and taking steps to accommodate these interests.

F o r c o n s i s t e n c y w i otlichy, FEtMhA ewill rAe vdiewmaindnevi alsuatte rpoatenttiail poronjec’tssfor p
racial equity and justice concerns. If FEMA determines that a proposed project would have a disproportionately high and adverse effect on minority or low-income populations, FEMA will consult with recipients and subrecipients to discuss the feasibility of revising the scope of work to avoid these adverse impacts, or otherwise applying mitigation measures to alleviate these effects. In addition, FEMA may work with other recipients and subrecipients to solicit public input on the proposed projects for a more informed decision-making process. To learn more about how FEMA environmental justice responsibilities might affect your project, go to Executive Order 12898: Environmental Justice | FEMA.gov.

National Incident Management System (NIMS) Implementation 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.

The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarify the NIMS implementation requirements in FEMA preparedness grant NOFOs. As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at NIMS Implementation and Training | FEMA.gov.

Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. 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 24 City Council 36 – 34 8/20/2024
standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support the delivery of core capabilities. Additional information on resource management, NIMS resource typing definitions, job titles, and position qualifications is available at NIMS Components - Guidance and Tools | FEMA.gov. Please also see the individual program appendices in this Manual for additional requirements regarding NIMS implementation for specific programs.

FEMA developed the NIMS Guideline for the National Qualification System (NQS) to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools that Federal Emergency Response Officials and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses. Starting in FY 2023, EMPG program recipients are required to use EMPG Program funds to support NQS implementation efforts.

A d d i t i o n a l i n f o r m a t i o n a b o u t N I MS Naitionnal Ingc iedennte r a l i s a Management System | FEMA.gov.

The NQS doctrine promotes interoperability by establishing a common language for defining job titles and by enabling jurisdictions and organizations to plan for, request, and have confidence in the capabilities of personnel deployed for disasters and emergencies from other entities through mutual aid agreements and compacts. Following the concepts and processes in this Guideline will enhance national preparedness by expanding the network of qualified incident management and support personnel who can be deployed nationwide.

Additional information about NIMS implementation is available at NIMS Implementation and Training | FEMA.gov.

FirstNet
The Middle-Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112-96, as amended (codified in part at 47 U.S.C. §§ 1401-1473) established the First Responder Network Authority (hereinafter FirstNet Authority) as an independent authority within the National Telecommunications and Information Administration (NTIA). 47 U.S.C. § 1424(a). T h e F i r s t N e t utorAy mu i stsihonoisrtoiestabylis’h as s t a t nationwide public safety broadband network (FirstNet). 47 U.S.C. § 1426(b). FirstNet uses the 700 MHz D block spectrum to provide Long-Term Evolution (LTE)-based broadband services and applications to public safety entities. 47 U.S.C. §§ 1401(2), 1421(a). FirstNet became operational in March 2018 and is based on a single, national network architecture that evolves with technological advances and consists of a physically separate evolved packet core (EPC) network and radio access networks (RANs).

FirstNet provides public safety entities with mission-critical broadband data capabilities and services including, but not limited to messaging, image sharing, video streaming, group text, voice, data storage, application, location-based services, and Quality of Service, Priority, and Preemption. Public safety entities seeking to enhance their operational capabilities using broadband technology may seek grant funding from appropriate programs to support the following:
•
•
•
Planning for integration of information technology (IT) infrastructure, software, and site upgrades necessary to connect to FirstNet;
Handheld broadband devices including smartphones, feature phones, tablets, wearables, push-totalk (PTT) devices; Vehicle-mounted or otherwise field operated data devices, such as ruggedized laptops; 25 City Council 36 – 35 8/20/2024
•
•
Network access devices, including portable Wi-Fi devices, Universal Serial Bus (USB) modems/dongles, trunk-mounted modems, routers;
Customer-Owned and Managed (COAM) broadband deployable equipment, enabling public safety to own and dispatch coverage expansion or capacity enhancement equipment within their jurisdiction;
•
•
•
Broadband device accessories that enable efficient and safe public safety operations such as headsets, belt clips, earpieces, remote Bluetooth sensors, ruggedized cases; Subscriber Identification Modules (SIMs)/Universal Integrated Circuit Cards (UICCs) to allow public safety users to update existing devices to operate on public safety prioritized services; and One-time purchase and subscription-based applications for public safety use which could include, among several other options, enterprise mobility management (EMM), mobile device management (MDM), mobile Virtual Private Network (VPN), identity services, or cloud service tools.

As FirstNet is built out in all 56 states and territories, and coverage and capacity for first responders expands, recipients are strongly encouraged to coordinate with the Statewide Interoperability Coordinator (SWIC) and FirstNet on the planning, deployment timelines, and operational availability of the network deployment within a specific state or territory, and to ensure that project does not conflict with network planning efforts and complies with all technical requirements. FirstNet requires participating agencies to demonstrate a subscription to public safety-prioritized broadband services to purchase FirstNet broadband devices or applications. Recipients must coordinate with FirstNet in advance of any strategic acquisition of broadband LTE equipment to ensure that purchases adhere to all applicable standards for public safety entities. Recipients with questions on FirstNet should contact [email protected]. Please also refer to the most recent SAFECOM Guidance on Emergency Communications Grants for additional guidance.

SAFECOM Guidance Compliance
All entities using preparedness grant funding to support emergency communications investments are required to comply with the SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). The SAFECOM Guidance provides current information on emergency communications policies, eligible costs, best practices, and technical standards for SLTT recipients investing federal funds in emergency communications projects. It is also designed to promote and align with the National Emergency Communications Plan (NECP). Compliance with the SAFECOM Guidance helps ensure that federally funded investments are compatible, interoperable, resilient, and support national goals and objectives for improving emergency communications. Applicants should use the SAFECOM Guidance during planning, development, and implementation of emergency communications projects and in conjunction with other planning documents (e.g., Statewide Communication Interoperability Plans (SCIP)). Specifically, Appendix D of the SAFECOM Guidance contains compliance instructions for FEMA grant recipients.

Emergency communications investments also will be reviewed jointly by FEMA and the Cybersecurity and Infrastructure Security Agency (CISA) to verify compliance with SAFECOM Guidance. FEMA will coordinate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance. 26 City Council 36 – 36 8/20/2024
Post-Award Management and Implementation
Reporting
Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.

Consultants or contractors are not permitted to be the AOR or the SA of the recipient. The AOR, as the Authorized Official for the award, is responsible for submitting programmatic and financial performance reports, accepting award packages, signing assurances and certifications, and submitting award amendments.

Federal Financial Reporting Requirements
Federal Financial Report (FFR)
Recipients must report obligations and expenditures to FEMA on a quarterly basis through the FFR form (SF-425). Recipients may review the FFR Form (SF-425) at Post-Award Reporting Forms | Grants.gov.

Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS).

Financial Reporting Periods and Due Dates
An FFR must be submitted quarterly throughout the period of performance (POP), including partial calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within 120 days after the end of the POP. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate a lack of progress, or are insufficient in detail.

Except for the final FFR due at 120 days after the end of the POP for purposes of closeout, the following reporting periods and due dates apply for the FFR:

FFR Reporting Period
October 1 – December 31
Report Due Date
January 30
January 1 – March 31
April 1 – June 30
April 30
July 30
July 1 – September 30 October 30
Because of a system limitation, if at the end of the POP a recipient still has funds to draw down, PARS requires an FFR be submitted within 30 days of the end of the POP in order to access those funds. In that case, the recipient will need to submit an FFR within 30 days of the end of the POP in addition to the final FFR within 120 days of the end of the POP. All other recipients who do not need to draw down funds after the end of the POP are only required to submit the final FFR within 120 days after the end of the POP.

Program Performance Reporting Requirements
Performance Progress Report (PPR)
Recipients are responsible for providing updated performance reports on a biannual basis as an attachment in ND Grants. The PPR should include the following:
27 City Council 36 – 37 8/20/2024
•
•
•
A brief narrative of overall project(s) status;
A summary of project expenditures; and
A description of any potential issues that may affect project completion.

Note: This requirement does NOT apply to the EMPG Program, which has different performance reporting requirements. These are described in the EMPG Program Appendix in this Manual.

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

Reporting Period
January 1 – June 30
July 1 – December 31
Report Due Date
July 30
January 30
Additional Programmatic Reporting Requirements and Information Biannual Strategy Implementation Report (BSIR)2
In addition to the quarterly financial and biannual performance progress reports, recipients are responsible for completing and submitting BSIRs through the Grants Reporting Tool (GRT). The BSIR is due within 30 days after the end of the reporting period: July 30 for the reporting period of January 1 through June 30 (summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show the progress of implementation for every project as well as how expenditures support Planning, Organization, Equipment, Training, and Exercises (POETE). The first BSIR will be due by January 30, or 30 days after the end of the first reporting period of the award. Subsequent BSIR reports will require recipients to report on a project-byproject basis.

Recipients also are responsible for completing and submitting a closeout BSIR. Wh e n the liquidation period ends in the middle of a reporting period, a “regular” BSIR must be submitted with full accounting of actual project information/expenditures before a Closeout BSIR can be created/ submitted. The last “regular” BSIR is required because the Closeout BSIR does NOT contain full functionality to edit any project information/expenditures. Once the last “regular” BSIR is approved by GPD, the Closeout BSIR can be created/submitted. Please contact your HQ Preparedness Officer for guidance on the information required for the Closeout BSIR. a n OaPwora r d ’ s P
Closeout Reporting Requirements
Within 120 days after the end of the POP for the prime award or after an amendment has been issued to close out an award before the original POP ends, whichever occurs first, recipients must liquidate all financial obligations and submit the following documentation in ND Grants:

1. The final request for payment, if applicable;

2. The final FFR (SF-425);

3. The final PPR;
2 BSIR requirements are applicable to the following grant programs: HSGP (SHSP, UASI, and OPSG), THSGP, EMPG, and NSGP.
28 City Council 36 – 38 8/20/2024

4. A qualitative narrative summary of the impact of those accomplishments throughout the entire POP submitted to the respective FEMA Preparedness Officer; and

5. Other documents required by program guidance, NOFOs, appendices to this Manual, terms and conditions of the award, or other FEMA guidance.

In addition, any recipient that issues subawards to any subrecipient is responsible for closing out those subawards as described in 2 C.F.R. § 200.344; subrecipients are still required to submit closeout materials within 90 days of the subaward POP end date. When a subrecipient completes all closeout requirements, pass-through entities must promptly complete all closeout actions for subawards in time for the recipient to submit all necessary documentation and information to FEMA during the closeout of their prime award.

After the prime award closeout reports have been reviewed and approved by FEMA, a closeout notice will be completed to close out the grant. The notice will indicate the POP as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the award records for at least three years from the date of the final FFR. The record retention period may be longer than three years due to an audit, litigation, for equipment or real property used beyond the period of performance or other circumstances outlined in 2 C.F.R. § 200.334.

Recipients are responsible for refunding to FEMA any balances of unobligated cash that FEMA paid that are not authorized to be retained per 2 C.F.R. § 200.344(d).

Administrative Closeout
Administrative closeout is a mechanism for FEMA to unilaterally move forward with closeout of an award using available award information in lieu of final reports from the recipient per 2 C.F.R. § 200.344(h)-(i). It is a last resort available to FEMA, and if FEMA needs to administratively close an award, this may negatively impact a recipient’s ability to obtain future funding. This mechanism can also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the information it has, which may result in identifying a debt owed to FEMA by the recipient.

Wh e n a r e c i p i e n t i s n o t r e s p o n s i v e t o F E MA ’ s r e a s complete the standard closeout process, FEMA is required under 2 C.F.R. § 200.344(h) to start the administrative closeout process within the regulatory timeframe. FEMA will make at least three written attempts to collect required reports before initiating administrative closeout. If the recipient does not submit all required reports in accordance with 2 C.F.R. § 200.344, the relevant program NOFO, this Manual, and the terms and conditions of the award, FEMA must proceed to administratively close the award with the information available within one year of the POP end date. Additionally, if the recipient does not submit all required reports within one year of the POP end date, per 2 C.F.R. § 200.344(i), F E MA m u s t r e p o r t i n F A P I I S t h e r e c i p i e n t ’ s m a t e r i the award.

If FEMA administratively closes an award where no final FFR has been submitted, FEMA uses that administrative closeout date in lieu of the final FFR submission date as the start of the three-year record retention period under 2 C.F.R. § 200.334.

In addition, if an award is administratively closed, FEMA may decide to impose remedies for noncompliance per 2 C.F.R. § 200.339, consider this information in reviewing future award applications, or apply special conditions to existing or future awards. 29 City Council 36 – 39 8/20/2024
Disclosing Information per 2 C.F.R. § 180.335
This reporting requirement pertains to disclosing information related to government-wide suspension and debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must notify FEMA if it knows if it or a n y o f t h e r e c i p i e n t ’ s p r i rnmcorie p a l s u n d of the four criteria listed at 2 C.F.R. § 180.335:
•
•
Are presently excluded or disqualified;
Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or a n y o f t h e r e fcorionpe i e n t ’ s of those offenses within that time period;
•
•
Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or Have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.

At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350.

Reporting of Matters Related to Recipient Integrity and Performance Per 2 C.F.R. Part 200, Appendix I § F.3, the additional post-award reporting requirements in 2 C.F.R. Part 200, Appendix XII may apply to applicants who, if upon becoming recipients, have a total value of currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies that exceeds $10 million for any period of time during the POP of an award under these funding opportunities.

Recipients that meet these criteria must maintain current information reported in FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting frequency described in paragraph 4 of Appendix XII.

Single Audit Report
For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000.00 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report, also known as a “single audit” report.

The audit must be performed in accordance with the requirements of the U.S. Government Accountability O f f i c e ’ s ( G A O ) G o v e r n m e n tYelloAwuBdooik |tU.iS.nG Ag O, aSndt thae n d a r d s ,
l o c
requirements of Subpart F of 2 C.F.R. Part 200, located at eCFR :: 2 CFR Part 200 Subpart F -- Audit Requirements.
30 City Council 36 – 40 8/20/2024
Additional Information
Monitoring and Oversight
Overview
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems in order to evaluate award progress and to provide any required technical assistance.

During site visits or desk revie w s ,
monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-r e l a t e d r e c o r d s a n d t o i n nt treactrorvs riegaer dwing ttheh e F E MA w i l l r e v i e w r e c i p i e n t s ’ f i l e o r g a n i z
program. Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award.

Effective monitoring and oversight help FEMA ensure that recipients use grant funds for their intended purpose(s), verify that projects undertaken are consistent with approved plans, and ensure that recipients make adequate progress towards stated goals and objectives. Additionally, monitoring serves as the primary mechanism to ensure that recipients comply with applicable laws, rules, regulations, program guidance, and requirements. FEMA regularly monitors all grant programs both financially and programmatically in accordance with federal laws, regulations (including 2 C.F.R. Part 200), program guidance, and the terms and conditions of the award. All monitoring efforts ultimately serve to evaluate progress towards grant goals and proactively target and address issues that may threaten grant success during the period of performance.

FEMA staff will periodically monitor recipients to ensure that administrative processes, policies and procedures, budgets, and other related award criteria are meeting Federal Government-wide and FEMA regulations. Aside from reviewing quarterly financial and programmatic reports, FEMA may also conduct enhanced monitoring through desk-based reviews, onsite monitoring visits, or both. Enhanced monitoring will involve the review and analysis of financial compliance and administrative processes, policies, activities, and other attributes of each federal assistance award, and it will identify areas where the recipient may need technical assistance, corrective actions, or other support.

F i n a n c i a l a n d p r o g r a m m a t i c m o n i t o r i n g a r e c o m p l e m monitoring strategy that function together to ensure effective grants management, accountability, and transparency; validate progress against grant and program goals; and safeguard federal funds against fraud, waste, and abuse. Financial monitoring primarily focuses on statutory and regulatory compliance with administrative grant requirements, while programmatic monitoring seeks to validate and assist in grant progress, targeting issues that may be hindering project goals and ensuring compliance with the purpose of the grant and grant program. Both monitoring processes are similar in that they feature initial reviews of all open awards, and in-depth monitoring of grants requiring additional attention.

Recipients and subrecipients who are pass-through entities are responsible for monitoring their subrecipients in a manner consistent with the terms of the federal award at 2 C.F.R. Part 200, including 2 C.F.R. § 200.332. This includes the pass-t h r o u g h e n t i t y ’ s r e s p o n s i b i l i t y t subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved.

In terms of overall award management, recipient and subrecipient responsibilities include, but are not limited to accounting of receipts and expenditures, cash management, maintaining adequate financial 31 City Council 36 – 41 8/20/2024
records, reporting, and refunding expenditures disallowed by audits, monitoring if acting as a passthrough entity, other assessments and reviews, and ensuring overall compliance with the terms and conditions of the award or subaward, as applicable, including the terms of 2 C.F.R. Part 200.

Financial Monitoring Overview and Approach
FEMA ’ aspproach to financial monitoring provides a standard monitoring framework that promotes consistent processes across all monitoring staff. There are four core components of the monitoring process:

1. Monitoring Assessment: Mo n i t o r i n g s t a f f m e a s u r e e a c h g r a n t ’ of pre-determined evaluation criteria. The criteria help assess the recipient and potential challenges to the success of the grant award.

2. Monitoring Selection and Scheduling: Monitoring staff make selection and scheduling decisions in accordance with applicable statutory requirements, such as the Homeland Security Act of 2002, as amended (hereafter “HSA”), and consider the results of the monitoring assessment process.

3. Monitoring Activities: Monitoring activities include cash analysis, desk reviews, and site visits.

Grants Management Specialists are responsible for conducting quarterly or semi-annual reviews of all grants via cash analysis. Desk reviews and site visits are additional monitoring activities conducted on grants where the monitoring assessment process identified the need for additional monitoring and validated the use of FEMA resources for these activities.

4. Post-Monitoring Actions: Monitoring staff may follow up with recipients via post-monitoring actions based on the outcomes of monitoring activities. Post-monitoring actions include conducting additional monitoring; reviewing Corrective Action Plans (CAP) and monitoring the progress of CAP deliverables; documenting the resolution of identified corrective actions and issues; providing technical assistance and recipient training; and debt collection.

In addition to the monitoring guidance outlined above, section 2022(a)(2)(A) of the HSA mandates the frequency of monitoring activities for applicable preparedness grants. The applicable section of the HSA reads as follows:

Not less than once every 2 years, the Administrator shall conduct, for each state and high-risk urban area receiving a grant administered by the Department, a programmatic and financial review of all grants awarded by the Department to prevent, prepare for, protect against, or respond to natural disasters, acts of terrorism, or other man-made disasters, excluding assistance provided under section 203, title IV, or title V of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5133, 5170 et seq., and 5191 et seq.).

The following preparedness grant programs covered by this Manual are subject to HSA monitoring requirements:
• HSGP
o SHSP
o UASI
o OPSG
• NSGP
• TSGP
32 City Council 36 – 42 8/20/2024
•
•
PSGP
EMPG Program
Standard Monitoring Activity: Cash Analysis
Through cash analysis, a Grants Management Specialist assesses and reports o n t h e r e -coni- p i e n t s ’ hand, expenditures, and unliquidated obligations; gauges potential cost share shortfalls; cash on hand issues; and spend down activities within the POP. The analysis reconciles and compares grant disbursement records with the recipient submitted FFR. This process identifies recipients that may require additional monitoring due to issues identified with drawdowns or FFR submissions.

Enhanced Monitoring Activities: Desk Review, Site Visit Desk reviews and site visits are two forms of additional monitoring that FEMA conducts on a recipient.

Table 1 defines the key differences and similarities.

Table 1 - Enhanced Financial Monitoring Activities (Desk Review and Site Visit) Attribute Desk Review Site Visit
Location/
Logistics
A detailed, paper-based review and
evaluation conducted at a FEMA office.

Desk reviews do not require travel.

A visit by FEMA grants management staff
conducted at the site of the r e c i p i e
operations and/or selected performance
sites. Site visits may require travel.

Materials
Reviewed
Required reports, correspondence, and
other documentation, including policies
and procedures, to substantiate
compliance. Additional documentation
available remotely may include
information available through the grant
file, financial reports, interviews, and
other documentation and correspondence
to verify compliance.

Includes documents listed under the desk
review in addition to all applicable
documents and required reports necessary
to assess recipient capability and progress,
validate records, and substantiate
compliance with laws, regulations, and
policies.

Goal of T h e g o a l s o f F E MA ’ T h e g o a l s o f F E MA ’ Monitoring
Activity
review monitoring activities are, as
applicable, to:
monitoring activities are, as applicable, to:
• Review grant files to verify
• Review grant files to verify
compliance, conduct interviews to
confirm adherence to approved
program plans, and confirm
equipment acquisition, allowable
use, and inventory controls;
Document that recipient
compliance, conduct interviews to
confirm adherence to approved
program plans, and confirm
equipment acquisition, allowable
use, and inventory controls;
•
•
•
Document that recipient institutions
possess adequate internal controls,
policies, processes, and systems to
manage FEMA grants effectively;
Assist the recipient with the grant
process and provide guidance to
improve recipient administrative
efficiencies;
•
institutions possess adequate
internal controls, policies,
processes, and systems to manage
FEMA grants effectively;
Assist the recipient with the grant
process and provide guidance to
improve recipient administrative
efficiencies;
•
•
Identify and analyze relevant
problems that might prevent the
Identify and analyze relevant program from achieving its 33 City Council 36 – 43 8/20/2024
Attribute Desk Review
problems that might prevent the
Site Visit
internal and external objectives;
program from achieving its
internal and external objectives;
and
and
• Provide technical assistance.
• Provide technical assistance.

Programmatic Monitoring Overview and Approach
Programmatic monitoring involves oversight throughout the award lifecycle in order for FEMA to verify that programs and projects undertaken by recipients are consistent with approved plans and comply with applicable laws, regulations, program guidance, and the terms and conditions of the award.

F E M Am’ osnitoring approach complies with the monitoring requirements described in section 2022 of the HSA. Programmatic monitoring also plays an important role in ensuring that FEMA preparedness grant funding builds and sustains capabilities at the SLTT levels that advance the National Preparedness Goal. Programmatic monitoring also is an opportunity for FEMA staff to build relationships with recipients and to work collaboratively to identify and mitigate factors that may impede programmatic performance.

Programs covered by this Manual that are included in the programmatic monitoring approach are listed below, including the programs subject to section 2022 of the HSA and three additional programs (THSGP, IPR, and IBSGP):
• HSGP
o SHSP
o UASI
o OPSG
NSGP
THSGP
TSGP
IPR
IBSGP
PSGP
EMPG Program
•
•
•
•
•
•
•
FEMA uses a risk- and project-based programmatic monitoring framework for its preparedness grant programs that is designed for data-driven grants management, and which interacts seamlessly with other aspects of the grant lifecycle. FEMA uses monitoring as a vehicle to validate data previously self-reported by recipients in applications and reporting tools. FEMA does not utilize monitoring as a data collection tool in and of itself. By specializing monitoring in this way, FEMA avoids duplicative data collection, targets its resources more effectively, and provides stronger and more proactive technical assistance to its recipients. The framework also comprehensively documents grant management decisions for resource allocation.

This programmatic monitoring approach establishes baseline monitoring of all open awards across the FEMA preparedness grant portfolio using a First Line Review (FLR). The FLR identifies recipients and awards with a high potential for noncompliance with regulations or failure to meet project objectives. The FLR uses quantifiable measures (criteria) to prioritize and rank recipients and awards according to identified risks that threaten the success of FEMA’ s p r e p a r e d n e s s g r a n t a w a r d s . prioritization process determine which high-risk recipients and awards will receive advanced monitoring. 34 City Council 36 – 44 8/20/2024
Post-monitoring actions document and communicate findings and recommendations for resolution to the recipients and FEMA leadership and allow for increasingly cohesive programmatic and financial monitoring processes.

Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations
Analyzing the use of grant-funded investments in real-world incidents will improve the ability of FEMA and its SLTT partners to assess the effectiveness of these investments and to better understand how grant funds support improvements in nationwide capability levels. Currently, FEMA conducts case studies with a limited number of grant recipients each year to explore how jurisdictions prioritize grant investments based on risk and capability assessments, and the ways specific investments improve SLTT preparedness (Preparedness Grants Case Studies | FEMA.gov). By accepting the award, the recipient agrees to participate in a case study or evaluation if requested.

Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is t e r m i n a t e d i n w h o l e o r i n p a r t . T o t h e e x t e n t t h a NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards.

1. Noncompliance. If an applicant fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non-responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the r e q u i r e m e n t o f 2 C . F . R . § 2 0 0 . 3 4 0 ( c ) t o r e p o r t comply with the award terms and conditions. See also the section on Actions to Address Noncompliance.

2. With the Consent of the Recipient. FEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated.

3. Notification by the Recipient. The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the award.

Period of Performance (POP) Extensions
Extensions to the POP for programs addressed in this Manual are allowed under limited circumstances.

Extensions to the initial POP identified in the award will only be considered through formal, written r e q u e s t s t o t hPereparredenescs iOfpficiereornPrtog’rams MaFn aEgeMr aAnd must contain specific 35 City Council 36 – 45 8/20/2024
and compelling justifications as to why an extension is required. Recipients are advised to coordinate with their FEMA Preparedness Officer or Program Manager as needed when preparing an extension request.

All extension requests must address the following:

1. The grant program, fiscal year, and award number;

2. Reason for the delay–including details of the legal, policy, or operational challenges that prevent the final outlay of awarded funds by the deadline;

3. Current status of the activity(ies);

4. Approved POP termination date and new project completion date;

5. Amount of funds drawn down to date;

6. Remaining available funds, both federal and, if applicable, non-federal;

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

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

9. Certification that the activity(ies) will be completed within the extended POP without any modification to the original statement of work, as described in the investment justification and as approved by FEMA.

Extension requests will be granted only due to compelling legal, policy, or operational challenges.

Extension requests will only be considered for the following reasons:
•
•
•
•
Contractual commitments by the recipient or subrecipient with vendors prevent completion of the project within the existing POP;
The project must undergo a complex environmental review that cannot be completed within the existing POP;
Projects are long-term by design, and therefore acceleration would compromise core programmatic goals; or
Where other special or extenuating circumstances exist.

Recipients should submit all proposed extension requests to FEMA for review and approval at least 120 days prior to the end of the POP to allow sufficient processing time. Extensions are typically granted for no more than a six-month period. Recipients are advised to coordinate with their FEMA Preparedness Officer or Program Manager as needed when preparing an extension request.

Disability Integration
Pursuant to Section 504 of the Rehabilitation Act of 1973, recipients of FEMA financial assistance must ensure that their programs and activities do not discriminate against otherwise qualified individuals with disabilities.

Preparedness grant recipients 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, recipients are encouraged to consider the needs of individuals with disabilities into the activities and projects funded by the grant.

FEMA expects that the integration of the needs of people with disabilities will occur at all levels, including planning; alerting, notification, and public outreach; training; purchasing of equipment and supplies; protective action implementation; and exercises/drills. 36 City Council 36 – 46 8/20/2024
The following are examples that demonstrate the integration of the needs of people with disabilities in carrying out FEMA awards:
• Include representatives of organizations that work with/for people with disabilities on planning committees, work groups and other bodies engaged in development and implementation of the grant programs and activities.
•
•
•
•
Hold all activities related to the grant in locations that are accessible to persons with physical disabilities to the extent practicable.

Acquire language translation services, including American Sign Language, that provide public information across the community and in shelters.

Ensure shelter-s p e c i f i c g r a n t f u n d s Gauirdaence oin Pnlannainlg fiorg n m e n t w i Integration of Functional Needs Support Services in General Population Shelters.

If making alterations to an existing building to a primary function area utilizing federal funds, complying with the most recent codes and standards, and making path of travel to the primary function area accessible to the greatest extent possible. •
•
Implement specific procedures used by public transportation agencies that include evacuation and passenger communication plans and measures for individuals with disabilities.

Identify, create, and deliver training to address any training gaps specifically aimed toward whole-community preparedness. Include and interact with individuals with disabilities, aligning with the designated program capability.
• Establish best practices in inclusive planning and preparedness that consider physical access, language access, and information access. Examples of effective communication access include providing auxiliary aids and services such sign language interpreters, Computer Aided Real-time Translation (CART), and materials in Braille or alternate formats.

FEMA grant recipients can fund projects towards the resiliency of the whole community, including people with disabilities, such as training, outreach, and safety campaigns, provided that the project aligns with the applicable NOFO, this Manual, the applicable appendix to this Manual, and the terms and conditions of the award. For specific guidelines on funding a disability inclusive project, please refer to the program-specific appendix in this Manual.

Conflicts of Interest in the Administration of Federal Awards or Subawards
For conflicts of interest under grant-funded procurements and contracts, refer to the section on Procurement Integrity in the applicable NOFO, this Manual, and 2 C.F.R. §§ 200.317 – 200.327.

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

The recipient or pass-through entity must disclose to the respective Preparedness Officer or Program Manager, in writing, any real or potential conflict of interest that may arise during the administration of the federal award, as defined by the federal or SLTT statutes or regulations or their own existing policies, within five days of learning of the conflict of interest. Similarly, subrecipients, whether acting as subrecipients or as pass-through entities, must disclose any real or potential conflict of interest to the 37 City Council 36 – 47 8/20/2024
recipient or next-level pass-through entity as required by the recipient or pass-t h r o u g h e n t i t y ’ s c interest policies, or any applicable federal or SLTT statutes or regulations.

Conflicts of interest may arise during the process of FEMA making a federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employees.

Procurement Integrity
Through audits conducted by the DHS Office of Inspector General (OIG) and FEMA grant monitoring, findings have shown that some FEMA recipients have not fully adhered to the proper procurement requirements when spending grant funds. Anything less than full compliance with federal procurement requirements jeopardizes the integrity of the grant, as well as the grant program. To assist with determining whether an action is a procurement or instead a subaward, please consult 2 C.F.R § 200.331.

For detailed guidance on the federal procurement standards, recipients and subrecipients should refer to v a r i o u s m a t e r i a l s i s s u e d b y F E MA ’ s P r os thceuPDrAeT m e n t D i Field Manual and Contract Provisions Guide. Additional resources, including an upcoming trainings schedule, can be found on the PDAT Website Contracting with Federal Funds for Goods and Services Before, During and After Disasters | FEMA.gov.

The below highlights the federal procurement requirements for FEMA recipients when procuring goods and services with federal grant funds. FEMA w i l l i n c l u d e a r e v i e w o f r e c i p i part of the normal monitoring activities. All procurement activity must be conducted in accordance with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. Select requirements under these standards are listed below. The recipient and any of its subrecipients must comply with all requirements, even if they are not listed below.

Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states (including territories) must follow the same policies and procedures they use for procurements from their non-federal funds; additionally, states must now follow 2 C.F.R. § 200.321 regarding socioeconomic steps, § 200.322 regarding domestic preferences for procurements, § 200.323 regarding procurement of recovered materials, and § 200.327 regarding required contract provisions.

All other non-federal entities, such as tribes (collectively, non-state entities), must have and use their own documented procurement procedures that reflect applicable SLTT laws and regulations, provided that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200.

These standards include, but are not limited to, providing for full and open competition consistent with the standards of 2 C.F.R. § 200.319 and § 200.320.

Important Changes to Procurement Standards in 2 C.F.R Part 200 OMB recently updated various parts of Title 2 of the Code of Federal Regulations, among them, the procurement standards. States are now required to follow the socioeconomic steps in soliciting small and m i n o r i t y b u s i n e s s e s , wdolamboer snurp’ luss areba fuirms sipenr 2eCs.F.sR. § e20n0.3t21e. r p r i s All non-federal entities should also, to the greatest extent practicable under a federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United S t a t e s p e r 2 C . F . R . § 2 0 0 . 3 2 2 . Mo r e i n f o r m a t i o n o standards can be found in Purchasing Under a FEMA Award: OMB Revisions Fact Sheet. 38 City Council 36 – 48 8/20/2024
The recognized procurement methods in 2 C.F.R. § 200.320 have been reorganized into informal procurement methods, which include micro-purchases and small purchases; formal procurement methods, which include sealed bidding and competitive proposals; and noncompetitive procurements. The federal micro-purchase threshold is currently $10,000, and non-state entities may use a lower threshold when using micro-purchase procedures under a FEMA award. If a non-state entity wants to use a micropurchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. § 200.320(a)(1)(iii)-(v). The federal simplified acquisition threshold is currently $250,000, and a non-state entity may use a lower threshold but may not exceed the federal threshold when using small purchase procedures under a FEMA award. See 2 C.F.R. § 200.1 (citing the definition of simplified acquisition threshold from 48 C.F.R. Part 2, Subpart 2.1).

See 2 C.F.R. §§ 200.216, 200.471, and Appendix II as well as FEMA Policy #405-143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, the relevant program NOFO, and this Manual regarding prohibitions on covered telecommunications equipment or services.

Competition and Conflicts of Interest
Among the requirements of 2 C.F.R. § 200.319(b) applicable to all non-federal entities other than states, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing for such procurements in order to ensure objective contractor performance and eliminate unfair competitive advantages. FEMA considers these actions to be an organizational conflict of interest and interprets this restriction as applying to contractors that help a non-federal entity develop its grant application, project plans, or project budget. This prohibition also applies to the use of former employees to manage the grant or carry out a contract when those former employees worked on such activities while they were employees of the non-federal entity.

Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both development and execution of specifications (or similar elements as described above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 – 200.327, federal funds cannot be used to pay a contractor to carry out the work if that contractor also worked on the development of those specifications.

This rule applies to all contracts funded with federal grant funds, including pre-award costs, such as grant writer fees, as well as post-award costs, such as grant management fees.

Additionally, some of the situations considered to be restrictive of competition include but are not limited to:
•
•
•
•
•
•
Placing unreasonable requirements on firms in order for them to qualify to do business; Requiring unnecessary experience and excessive bonding; Noncompetitive pricing practices between firms or between affiliated companies; Noncompetitive contracts to consultants that are on retainer contracts; Organizational conflicts of interest;
Specifying only a “ b r a n d n a m e ” p r o d u c t i n s t e a d o f a l l o w i n describing the performance or other relevant requirements of the procurement; and • Any arbitrary action in the procurement process.

Per 2 C.F.R. § 200.319(c), non-federal entities other than states must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed SLTT geographical preferences in the evaluation of bids or proposals, except in those cases where applicable federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering services, geographic location may be a selection criterion 39 City Council 36 – 49 8/20/2024
provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.

Under 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written standards of conduct covering conflicts of interest and governing the actions of their employees engaged in the selection, award, and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a federal award if he or she has a real or apparent conflict of interest. Such conflicts of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization that employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the non-federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-federal entities may set standards for situations in which the financial interest is not substantial, or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-federal entity.

Under 2 C.F.R. § 200.318(c)(2), if the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary organization that is not a state, local, tribal, or territorial government, the non-federal entity must also maintain written standards of conduct covering organizational conflicts of interest. In this context, organizational conflict of interest means that because of a relationship with a parent company, affiliate, or subsidiary organization, the non-federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. The non-federal entity must disclose in writing any potential conflicts of interest to FEMA or the pass-through entity in accordance with applicable FEMA policy.

Supply Schedules and Purchasing Programs
Generally, a non-federal entity may seek to procure goods or services from a federal supply schedule, state supply schedule, or group purchasing agreement.

General Services Administration Schedules
States, tribes, and local governments, and any instrumentality thereof (such as local education agencies or institutions of higher education), may procure goods and services from a General Services Administration (GSA) schedule. GSA offers multiple efficient and effective procurement programs for state, tribal, and local governments, and instrumentalities thereof, to purchase products and services directly from prevetted contractors. The GSA Schedules (also referred to as the Multiple Award Schedules and the Federal Supply Schedules) are long-term government-wide contracts with commercial firms that provide access to millions of commercial products and services at volume discount pricing.

Information about GSA programs for states, tribes, and local governments, and instrumentalities thereof, can be found at Programs for State and Local Governments | GSA and State and Local Governments | GSA.

For tribes, local governments, and their instrumentalities that purchase off of a GSA schedule, this will satisfy the federal requirements for full and open competition provided that the recipient follows the GSA ordering procedures; however, tribes, local governments, and their instrumentalities will still need to follow the other rules under 2 C.F.R. §§ 200.317 – 200.327, such as solicitation of minority businesses, women’ s b u s i n e ,ssms all beusninet s seesr, opr larb oir surepluss area firms (§ 200.321), preferences (§ 200.322), contract cost and price (§ 200.324), and required contract provisions (§ 200.327 domestic and Appendix II).
40 City Council 36 – 50 8/20/2024
Other Supply Schedules and Programs
For non-federal entities other than states, such as tribes, local governments, and nonprofits, that want to procure goods or services from a state supply schedule, cooperative purchasing program, or other similar program, in order for such procurements to be permissible under federal requirements, the following must be true:
•
•
The procurement of the original contract or purchasing schedule and its use by the non-federal entity complies with state and local law, regulations, and written procurement procedures; The state or other entity that originally procured the original contract or purchasing schedule entered into the contract or schedule with the express purpose of making it available to the nonfederal entity and other similar types of entities; •
•
•
The contract or purchasing schedule specifically allows for such use, and the work to be performed for the non-federal entity falls within the scope of work under the contract as to type, amount, and geography;
The procurement of the original contract or purchasing schedule complied with all the procurement standards applicable to a non-federal entity other than states under at 2 C.F.R. §§ 200.317 – 200.327; and
With respect to the use of a purchasing schedule, the non-federal entity must follow ordering procedures that adhere to applicable state, tribal, and local laws and regulations and the minimum requirements of full and open competition under 2 C.F.R. Part 200.

If a non-federal entity other than a state seeks to use a state supply schedule, cooperative purchasing program, or other similar type of arrangement, FEMA recommends the recipient discuss the procurement plans with its FEMA Preparedness Officer or Program Manager.

Procurement Documentation
Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price.

States and territories are encouraged to maintain and retain this information as well and are reminded that in order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).

Examples of the types of documents that would cover this information include but are not limited to:
• Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
•
•
Responses to solicitations, such as quotes, bids, or proposals; Pre-solicitation independent cost estimates and post-solicitation cost/price analyses on file for review by federal personnel, if applicable;
•
•
Contract documents and amendments, including required contract provisions; and Other documents required by federal regulations applicable at the time a grant is awarded to a recipient.

Additional information on required procurement records can be found on pages 24-26 of the PDAT Field Manual.
41 City Council 36 – 51 8/20/2024
Financial Assistance Programs for Infrastructure
Build America, Buy America Act
Recipients and subrecipients must comply with the Build America, Buy America Act (BABAA), which was enacted as part of the Infrastructure Investment and Jobs Act §§ 70901-70927, Pub. L. No. 117-58 (2021); and Ex e c u t i v e O r d e r 1 4 0 0 5 , E n s u r i n g t h e F u t u r e i s Workers. See also OMB Memorandum M-22-11, Initial Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure.

None of the funds provided under this program may be used for a project for infrastructure unless the iron and steel, manufactured products, and construction materials used in that infrastructure are produced in the United States.

The Buy America preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a Buy America preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project.

To see whether a particular FEMA federal financial assistance program is considered an infrastructure program and thus required to include a Buy America preference, please see Programs and Definitions:

Build America, Buy America Act | FEMA.gov and Build America, Buy America Act Frequently Asked Questions (FAQs) | FEMA.gov. Additional information is found in Buy America Preference in FEMA Financial Assistance Programs for Infrastructure, FEMA Interim Policy #207-22-0001.

Waivers
When necessary, recipients (and subrecipients through their pass-through entity) may apply for, and FEMA may grant, a waiver from these requirements.

A waiver of the domestic content procurement preference may be granted by the agency awarding official if FEMA determines that:
•
•
•
Applying the domestic content procurement preference would be inconsistent with the public interest.

The types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality.

The inclusion of iron, steel, manufactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25%.

For FEMA awards, the process for requesting a waiver from the Buy America preference requirements c a n b e f o u n d o n “B uFy EA mMerAic’a”sPrefewreenceb ins FiE Mt Ae Financt ial Assistance Programs
for Infrastructure | FEMA.gov.

Definitions
Construction materials: an article, material, or supply—other than an item primarily of iron or steel; a manufactured product; cement and cementitious materials; aggregates such as stone, sand, or gravel; or aggregate binding agents or additives—that is or consists primarily of non-ferrous metals, plastic and polymer-based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables), glass (including optic glass), lumber, paint, and drywall. 42 City Council 36 – 52 8/20/2024
Domestic content procurement preference: Means all iron and steel used in the project are produced in the United States; the manufactured products used in the project are produced in the United States; or the construction materials used in the project are produced in the United States.

Federal financial assistance: Generally defined in 2 C.F.R. § 200.1 and includes all expenditures by a federal agency to a non-federal entity for an infrastructure project, except that it does not include expenditures for assistance authorities relating to major disasters or emergencies under sections 402, 403, 404, 406, 408, or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act relating to a major disaster or emergency declared under section 401 or 501, respectively, or pre and post disaster or emergency response expenditures.

Infrastructure: infrastructure projects which serve a public function, including at a minimum, the structures, facilities, and equipment for, in the United States, roads, highways, and bridges; public transportation; dams, ports, harbors, and other maritime facilities; intercity passenger and freight railroads; freight and intermodal facilities; airports; water systems, including drinking water and wastewater systems; electrical transmission facilities and systems; utilities; broadband infrastructure; and buildings and real property; and structures, facilities, and equipment that generate, transport, and distribute energy.

Produced in the United States means the following for:
• Iron and steel: All manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States.
• Manufactured products: The product was manufactured in the United States, and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55% of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation. • Construction Materials: All manufacturing processes for the construction material occurred in the United States.

Project: is any activity related to the construction, alteration, maintenance, or repair of infrastructure in the United States.

Records Retention
Record Retention Period
Financial records, supporting documents, statistical records, and all other non-federal entity records pertinent to a federal award generally must be maintained for at least three years from the date the final FFR is submitted. See 2 C.F.R. § 200.334. Further, if the recipient does not submit a final FFR and the award is administratively closed, FEMA uses the date of administrative closeout as the start of the general record retention period.

The record retention period may be longer than three years or have a different start date in certain cases. These include:
•
•
Records for real property and equipment acquired with federal funds must be retained for three years after final disposition of the property. See 2 C.F.R. § 200.334(c).

If any litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken. See 2 C.F.R. § 200.334(a). 43 City Council 36 – 53 8/20/2024
•
•
•
The record retention period will be extended if the recipient is notified in writing of the extension by FEMA, the cognizant or oversight agency for audit, or the cognizant agency for indirect costs. See 2 C.F.R. § 200.334(b).

Where FEMA requires recipients to report program income after the period of performance ends, the program income record retention period begins at the end of the recipient’s fiscal year in which program income is earned. See 2 C.F.R. § 200.334(e).

For indirect cost rate proposals, cost allocation plans, or other rate computations records, the start of the record retention period depends on whether the indirect cost rate documents were submitted for negotiation. If the indirect cost rate documents were submitted for negotiation, the record retention period begins from the date those documents were submitted for negotiation. If indirect cost rate documents were not submitted for negotiation, the record retention period begins at the end of the recipient’s fiscal year or other accounting period covered by that indirect cost rate. See 2 C.F.R. § 200.334(f).

Types of Records to Retain
FEMA requires that non-federal entities maintain the following documentation for federally funded purchases:
•
•
•
•
•
•
•
•
Specifications;
Solicitations;
Competitive quotes or proposals;
Basis for selection decisions;
Purchase orders;
Contracts;
Invoices; and
Canceled checks.

Non-federal entities should keep detailed records of all transactions involving the grant. FEMA may at any time request copies of any relevant documentation and records, including purchasing documentation along with copies of canceled checks for verification. See, e.g., 2 C.F.R. §§ 200.318(i), 200.334, 200.337.

In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Nonfederal entities who fail to fully document all purchases may find their expenditures questioned and subsequently disallowed.

Actions to Address Noncompliance
Non-federal entities receiving financial assistance from FEMA are required to comply with requirements in the terms and conditions of their awards or subawards, including the terms set forth in applicable federal statutes, regulations, NOFOs, policies, and this Manual. Throughout the award lifecycle or even after an award has been closed, FEMA or the pass-through entity may discover potential or actual noncompliance on the part of a recipient or subrecipient. This potential or actual noncompliance may be discovered through routine monitoring, audits, closeout, or reporting from various sources.

In the case of any potential or actual noncompliance, FEMA may place special conditions on an award per 2 C.F.R. §§ 200.208 and 200.339, FEMA may place a hold on funds until the matter is corrected, or additional information is provided per 2 C.F.R. § 200.339, or it may do both. Similar remedies for noncompliance with certain federal civil rights laws are authorized pursuant to 44 C.F.R Parts 7 and 19. 44 City Council 36 – 54 8/20/2024
In the event the noncompliance is not able to be corrected by imposing additional conditions or the recipient or subrecipient refuses to correct the matter, FEMA might take other remedies allowed under 2 C.F.R. § 200.339. These remedies include actions to disallow costs, recover funds, wholly or partly suspend or terminate the award, initiate suspension and debarment proceedings, withhold further federal awards, or take other remedies that may be legally available. For further information on termination due to noncompliance, see the section on Termination Provisions in the relevant NOFO.

FEMA may discover and take action on noncompliance even after an award has been closed. The c l o s e o u t o f a n a w a r d d o e s n o t a f f e c t F aEs MtheA ’ s r i g h t action to disallow costs takes place during the record retention period. See 2 C.F.R. §§ 200.334, 200.345(a). Closeout also does not affect the obligation of the non-federal entity to return any funds due as a result of later refunds, corrections, or other transactions. See 2 C.F.R. § 200.345(a)(2).

The types of funds FEMA might attempt to recover include, but are not limited to, improper payments, cost share reimbursements, program income, interest earned on advance payments, or equipment disposition amounts.

FEMA may seek to recover disallowed costs through a Notice of Potential Debt Letter, a Remedy Notification, or other letter. The document will describe the potential amount owed, the reason why F E MA i s r e c o v e r i n g t h e f uthen rdequsir,ementt tho reetainrreecocrdsi, hpo wi theen t ’ sa p p amount can be paid, and the consequences, including billing and collection, for not appealing or paying the amount by the deadline.

If the recipient neither appeals nor pays the amount by the deadline, the amount owed will become final.

Potential consequences if the debt is not paid in full or otherwise resolved by the deadline include the assessment of interest, administrative fees, and penalty charges; administratively offsetting the debt against other payable federal funds; and transferring the debt to the U.S. Department of the Treasury for collection.

FEMA notes the following common areas of noncompliance for the preparedness grant programs:
•
•
•
•
•
Insufficient documentation and lack of record retention; Failure to follow the procurement under grants requirements; Failure to submit closeout documents in a timely manner; Failure to follow EHP requirements; and
Failure to comply with the POP deadline.

Audits
FEMA grant recipients are subject to audit oversight from multiple entities including the DHS OIG, the GAO, the pass-through entity, or independent auditing firms for single audits, and may cover activities and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the passthrough entity (if applicable), and FEMA in its oversight capacity, must have access to records pertaining to the FEMA award. Recipients and subrecipients must retain award documents for at least three years from the date the final FFR is submitted, and even longer in many cases subject to the requirements of 2 C.F.R. § 200.334. In the case of administrative closeout, documents must be retained for at least three years from the date of closeout, or longer subject to the requirements of 2 C.F.R. § 200.334. If documents are retained longer than the required retention period, the DHS OIG, the GAO, and the pass-through entity, as well as FEMA in its oversight capacity, have the right to access these records as well. See 2 C.F.R. §§ 200.334, 200.337.
45 City Council 36 – 55 8/20/2024
Additionally, non-federal entities must comply with the single audit requirements at 2 C.F.R. Part 200, Subpart F. Specifically, non-federal entities, other than for-profit subrecipients, that expend $750,000 or more in federal awards during their fiscal year must have a single or program-specific audit conducted for that year in accordance with Subpart F. 2 C.F.R. § 200.501. A single audit covers all federal funds expended during a fiscal year, not just FEMA funds. The cost of audit services may be allowable per 2 C.F.R. § 200.425, but non-federal entities must select auditors in accordance with 2 C.F.R. § 200.509, including following the proper procurement procedures. For additional information on single audit reporting requirements, see t h e s e c t i o n i n t h i s Ma n u a l t i t l e d “ S i n The objectives of single audits are to:
•
•
•
Determine if financial statements conform to generally accepted accounting principles (GAAP); Determine whether the schedule of expenditures of federal awards is presented fairly; Understand, assess, and test the adequacy of internal controls for compliance with major programs; and
• Determine if the entity complied with applicable laws, regulations, and contracts or grants.

For single audits, the auditee is required to prepare financial statements reflecting its financial position, a schedule of federal award expenditures, and a summary of the status of prior audit findings and questioned costs. The auditee also is required to follow up and take appropriate corrective actions on new and previously issued but not yet addressed audit findings. The auditee must prepare a corrective action plan to address the new audit findings. See 2 C.F.R. §§ 200.508, 200.510, 200.511.

Non-federal entities must have an audit conducted, either single or program-specific, of their financial statements and federal expenditures annually or biennially pursuant to 2 C.F.R. § 200.504. Non-federal entities must also follow the information submission requirements of 2 C.F.R. § 200.512, including submitting the audit information to the Federal Audit Clearinghouse within the earlier of 30 calendar days a f t e r r e c e i p t o f t h e a u d i t o r ’ s r e p o r t ( s ) o r n i n e information to be submitted include the data collection form described at 2 C.F.R. § 200.512(c) and Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(b).

The non-federal entity must retain one copy of the data collection form and one copy of the reporting package for three years from the date of submission to the Federal Audit Clearinghouse. 2 C.F.R. § 200.512; see also 2 C.F.R. § 200.517 (setting requirements for retention of documents by the auditor and access to audit records i n t h e a u d i ).t o r ’ s p o s s e s s i o n FEMA, the DHS OIG, the GAO, and the pass-through entity (if applicable), as part of monitoring or as part of an audit, may review a non-federal e n t i t y ’ s c o m p l i a n c e w i tInhcasest h e s i n of continued inability or unwillingness to have an audit conducted in compliance with 2 C.F.R. Part 200, Subpart F, FEMA and the pass-through entity, if applicable, are required to take appropriate remedial action under 2 C.F.R. § 200.339 for noncompliance, pursuant to 2 C.F.R. § 200.505.

Payment Information
FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, the recipient must complete the SF-1199A, Direct Deposit Form.

FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking payments. For additional information, refer to PARS Security (fema.gov). 46 City Council 36 – 56 8/20/2024
National Campaigns and Programs
Preparedness grant funding can generally be used to support the following campaigns and programs that have been developed by or in partnership with DHS or FEMA.

FEMA Strategic Plan
The 2022–2026 FEMA Strategic Plan outlines a bold vision and three ambitious goals designed to address key challenges the agency faces during a pivotal moment in the field of emergency management.

Wide-ranging and long-term, the goals defined in the plan respond to the changing landscape in which we find ourselves. The goals to meet this challenge are:
• Goal 1 - Instill Equity as a Foundation of Emergency Management. Disasters impact people and communities differently. Every disaster occurs within a unique context based on a c o m m u n i t y ’ s g e o g r a p h i c , d e m o g r a p h i c , p o l i t i c a l unique contexts require tailored solutions that are designed to meet their unique needs; • Goal 2 - Lead Whole of Community in Climate Resilience. Climate change represents a profound crisis for the nation, making natural disasters more frequent, more intense, and more destructive. The growing severity of disasters increases the time it takes for communities to recover – a process that can be further complicated by repeat events in areas already struggling to bounce back. These cascading and compounding impacts, propelled by climate change, pose the greatest risk to our communal and nationwide resilience; and Goal 3 - Promote and Sustain a Ready FEMA and Prepared Nation. The increase in frequency, severity, and complexity of emergency, disaster, and fire incidents has heightened demands on FEMA and on the larger emergency management community. FEMA must expand its approach to agency readiness and to national preparedness. The only way to achieve this is to •
i n c r e a s e t h e n a t i o n ’ s o v e r a l l e m e r g e n c y m a n a g e well as the private sector, the nonprofit sector, and among individuals.

These goals position FEMA to address the increasing range and complexity of disasters, support the d i v e r s i t y o f c o m m u n i t i e s w e s e r v e , a n d c o m p l e m e n t management community. All preparedness grant program recipients are encouraged to review the 2022– 2026 FEMA Strategic Plan and consider how FY 2023 grant f u n d i n g c a n b e u s e d t o s u goals and objectives of equity, climate resilience, and readiness as they apply to a n e nspteciifitc nye e’dss and the needs of the whole community. We invite all stakeholders and partners to also adopt these priorities and join us in building a more prepared and resilient nation.

Whole Community Preparedness
Preparedness is a shared responsibility that calls for the involvement of everyone—not just the government—in preparedness efforts. By working together, everyone can help keep the nation safe from harm and help keep it resilient when struck by hazards, such as natural disasters, acts of terrorism, and pandemics.

Whole Community includes, but is not limited to:
•
•
Individuals and families, including those with access and functional needs; Businesses;
47 City Council 36 – 57 8/20/2024
•
•
•
•
•
Faith-based and community organizations;
Nonprofit groups;
Schools and academia;
Media outlets; and
All levels of government, including state, local, tribal, territorial, and federal partners.

T h e p hWrhoale sCoe m m“ u n oiftetn yap”pears repeatedly in preparedness materials, as it is one of the guiding principles. It means two things:

1. Involving people in the development of national preparedness documents; and

2. Ensuring their roles and responsibilities are reflected in the content of the materials.

Additional information on incorporating whole community preparedness is available in the relevant program-specific appendix to this Manual, as applicable.

Active Shooter Preparedness
DHS aims to enhance national preparedness through a whole-community approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. To that end, DHS has developed a comprehensive Active Shooter Preparedness website, which includes informational resources, available at Active Shooter Preparedness | CISA.

An additional resource, the Joint DHS and Federal Bureau of Investigation (FBI) Countering Violent Extremism (CVE) and Active Shooter Web Portal is located within the Homeland Security Information Network (HSIN). The portal provides a restricted-access forum to share Unclassified, For Official Use Only (FOUO), Sensitive but Unclassified (SBU), and Law Enforcement Sensitive (LES) information. The portal provides users and training practitioners with accurate, appropriate, and relevant CVE and Active Shooter training development resources, subject-matter expert information, and outreach initiatives. It also has forums to provide feedback, products useful to others, and allows participants to ask questions concerning CVE or the Active Shooter Program. Persons with a job-related duty, public service interest, or who support a CVE and/or Active Shooter program can request access to this Portal. Additional information can be found at: CVEAS Portal | Homeland Security (dhs.gov).

States and high-risk urban areas are encouraged to review the referenced active shooter guidance, evaluate their preparedness needs, and consider applying for funding to address any needs identified in this area (please see the most current NOFO for allowable costs). To address training needs associated w i t h a c t i v e s h o o t e r i n c i d e n t s , F E MA ’ s - bEasmede r g e n c y M training course entitled IS-907: Active Shooter: What You Can Do, available at FEMA - Emergency Management Institute (EMI) Course | IS-907: Active Shooter: What You Can Do.

Soft Targets and Crowded Places
There are continued and growing threats facing Soft Targets and Crowded Places (ST-CP) throughout the nation. ST-CPs are those 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.

These locations are vulnerable to attack using simple tactics and readily accessible weapons such as small arms, edged weapons, vehicles, improvised explosive devices, and unmanned aircraft systems. ST-CPs can include places such as town centers, shopping malls, open-air venues, outside hard targets/venues perimeters, and other places of meeting and gathering. DHS is committed to reducing the risk of attacks against ST-CPs and the impact of attacks if they do occur. However, the protection and security of ST48 City Council 36 – 58 8/20/2024
CPs is a shared responsibility among whole community partners including the public, ST-CP owners and operators, security industry partners, the Federal Government, and SLTT government partners. States, territories, high-risk urban areas, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs of ST-CPs, understanding the unique challenges related to protecting locations that are open to the public. States, territories, high-risk urban areas, and public and private sector partners are also encouraged to use resources to instill a culture of awareness, vigilance, and preparedness. For more information and additional resources, please s e e t h e D H S ’ s Hometown Security Program.

Community Lifelines
FEMA created Community Lifelines to reframe incident information, understand and communicate incident impacts using plain language, and promote unity of effort across the whole community to prioritize efforts to stabilize the lifelines during incident response. Although lifelines were developed to support response planning and operations, the concept can be applied across the entire preparedness cycle.

Efforts to protect lifelines, prevent and mitigate potential impacts to them, and build back stronger and smarter during recovery will drive overall resilience of the nation. Applying the lifelines construct allows decision-makers to:
• Prioritize, sequence, and focus response efforts towards maintaining or restoring the most critical services and infrastructure;
•
•
Utilize a common lexicon to facilitate unity of purpose among all stakeholders; Promote a response that facilitates unity of purpose and better communication among the whole community (federal, state, tribal, territorial, and local governments, and private sector and nongovernmental entities); and • Clarify which components of the disaster are complex (multifaceted) or complicated (difficult), requiring cross-sector coordination.

Lifelines are used to:
•
•
•
•
Enhance the ability to gain, maintain, and communicate situational awareness for the whole community in responding to disasters;
Analyze impacts to the various lifelines and develop priority focus areas for each operational period during response;
Identify and communicate complex interdependencies to identify major limiting factors hindering stabilization; and
Update the National Response Framework to reflect use of lifelines in response planning.

Lifelines include opportunities to:
•
•
•
Enable a true unity of effort between government, non-governmental organizations, and the private sector, including infrastructure owners and operators; Integrate preparedness efforts, existing plans, and identify unmet needs to better anticipate response requirements; and
Refine reporting sources and products to enhance situational awareness, best determine capability gaps, and demonstrate progress towards stabilization.

For more information on lifelines, please visit F E MA ’ s C o m m u n i t aynd ImLpilemf enetaltioin n e s
P a g e
Toolkit.
49 City Council 36 – 59 8/20/2024
Strategic Framework for Countering Terrorism and Targeted Violence The United States faces increasingly complex threats from terrorism and targeted violence. Both continue to pose a grave threat in ways that have evolved dramatically in the nearly two decades since the 9/11 attacks. Although foreign terrorist organizations remain intent on striking our Homeland, we also face a growing threat from domestic actors. Combating terrorism and targeted violence requires the combined efforts of DHS, our federal and SLTT government partners, and civil society.

To address these threats, in September 2019 DHS adopted the DHS Strategic Framework for Countering Terrorism and Targeted Violence which explains how the department will use the tools and expertise that have protected and strengthened the country from foreign terrorist organizations to address the evolving challenges of today. DHS has also now finalized a corresponding Public Action Plan. Preparedness grant recipients are encouraged to familiarize themselves with these documents and consider adopting the concepts, principles, and goals and ojbectives they outline.

Countering Violent Extremism (CVE) Training
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 m i s s i o n s c o p e a nmedrgentc yhOeperatjionus Pr lain.s d i c t i o n ’ s
E
FEMA will conduct periodic reviews of all state, territory, and high-risk 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, the costs will be disallowed.

When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional design. For further information on developing courses using the instructional design methodology and tools that can facilitate the process, State Administrative Agencies, and TPOCs are encouraged to review the National Training and Education Division Training Resource and Development Center website at First Responder Training Resource and Development Center.

All training, presentations, and speakers regarding CVE must be consistent with DHS and U.S.

Government policy, in particular by avoiding the use of hostile, stereotypical, or factually inaccurate information about Muslims and Islam or any community, and by emphasizing the importance of community engagement and interaction to promote communities as part of the solution rather than the problem needing solution.

Foreign terrorist groups and individual terrorist thought leaders are seeking to recruit or inspire Westerners to carry out attacks against western and U.S. targets. They seek to recruit and/or inspire individuals living in communities with the U.S. via, but not limited to, print, video, and social media, as well as through personal interaction. But we also know that violent extremism is not a phenomenon restricted solely to one community and that any effort to counter violent extremism must be applicable to all ideologically motivated violence. Efforts to provide information and training regarding CVE should emphasize the strength of local communities approach. The following are examples that demonstrate the integration of community engagement and CVE that reflect the strength of local communities approach:
50 City Council 36 – 60 8/20/2024
•
•
•
•
Training objectives should be clearly defined to meet specific CVE goals, such as community engagement, cultural awareness, community-based policing, etc.; Engaging diverse American communities around CVE may require working with local grassroots community organizations to develop engagement and outreach initiatives; Training programs should be sensitive to Constitutional values, such as protecting fundamental civil rights and civil liberties, and eschew notions of racial and ethnic profiling; It may be necessary to conduct vetting procedures for self-selected CVE training experts who offer programs that may claim to address CVE, but serve to demonize certain individuals or whole cross sections of a community;
•
•
•
•
Training programs must ensure that the clearly defined objectives are in line with DHS strategies to counter violent extremism;
It may be necessary to provide a review process to determine if CVE training focuses on community engagement and outreach;
Support may be needed for law enforcement to increase knowledge, skills, and abilities to increase engagement techniques with diverse American communities; and Cultural awareness courses of diverse American communities may be necessary to ensure stakeholders are taught to work with communities and build trust, rather than feed existing misconceptions and stereotypes of people, culture, or religion. 51 City Council 36 – 61 8/20/2024
Program Appendix A:

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

Alignment of HSGP to the National Preparedness System
The Nation uses the National Preparedness System to build, sustain, and deliver core capabilities to achieve the National Preparedness Goal (the Goal). Recipients will use the National Preparedness System to support their efforts to build, sustain, and deliver these core capabilities. The components of the National Preparedness System are Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at National Preparedness System | FEMA.gov.

As the National Preparedness System matures, we are getting better data on our capabilities as a Nation that can be used to drive our focus and our resources at all levels. States and territories provide annual data on their proficiency across 32 core capabilities through the Threat and Hazard Identification and Risk Assessment (THIRA), Stakeholder Preparedness Review (SPR), exercise and real world after-action reports, and other preparedness data. This data feeds into the National Preparedness Report and forms a shared national picture of needs relative to capability gaps—including what threats and hazards are posing the greatest risks, and what core capabilities are most in need of improvement or sustainment.

Communities and federal agencies alike use this data to prioritize, synchronize, and guide programs and activities to build and sustain capabilities. Analytic results help shape prioritization decisions at FEMA and across the nation to make sure we are focusing our time and our resources in the right areas.

The HSGP provides financial support to state, local, tribal, and territorial (SLTT) jurisdictions to help them build, sustain, and deliver core capabilities identified in the Goal. A key focus and requirement of the HSGP is to prevent terrorism and other catastrophic events and to prepare the Nation for the threats and hazards that pose the greatest risk to the security of the United States, including risks along the N a t i boornder’s.sWhen 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 HSGP supports investments that improve the ability of jurisdictions nationwide to:
•
•
Prevent a threatened or an actual act of terrorism;
Protect citizens, residents, visitors, and assets against the threats that pose the greatest risk to the security of the United States;
•
•
Mitigate the loss of life and property by lessening the impact of future catastrophic events; Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or City Council HSGP Appendix | 2023 36 – 62 8/20/2024 Page A-1 HSGP Funding Guidelines
Recipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards). In general, recipients should consult with their FEMA HQ Preparedness Officer prior to making any investment that does not clearly meet the allowable expense criteria. Funding guidelines established within this section support four of the five mission areas—Prevention, Protection, Mitigation, and Response—and associated core capabilities within the Goal. While Recovery is part of the Goal, it is not explicitly part of the HSGP. Allowable investments made in support of the national priorities, as well as other capability-enhancing projects must have a nexus to terrorism preparedness and fall into the categories of planning, organization, exercises, training, or equipment, aligned to building capability, closing capability gaps, and/or sustaining capabilities, as defined by CPG 201: THIRA/SPR Guide—3rd Edition (Comprehensive Preparedness Guide (CPG) 201, 3rd Edition (fema.gov)). Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness and return on investment. FEMA encourages recipients to provide the results of that analysis to FEMA.

Multiple Purpose or Dual-Use of Funds
For both the State Homeland Security Program (SHSP) and Urban Area Security Initiative (UASI), many activities that support the achievement of core capabilities related to the national priorities and terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. However, all SHSP- and UASI-funded projects must assist recipients and subrecipients in achieving core capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism per section 2008(c) of the Homeland Security Act of 2002 (6 U.S.C. § 609(c)).

Planning (SHSP and UASI)
SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities, such as those associated with the development, review, and revision of the THIRA, SPR, continuity plans, and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current Emergency Operations Plan (EOP) that conforms to the guidelines outlined in Comprehensive Preparedness Guide (CPG) 101 v2. Planning efforts can also include conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related Cybersecurity and Infrastructure Security Agency (CISA) resources.

Additionally, SHSP and UASI funds may be used for planning efforts related to state court cybersecurity, 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13).

Organization (SHSP and UASI)
States and high-risk urban areas must justify proposed expenditures of SHSP or UASI funds to support organization activities within their Investment Justification (IJ) submission. Organizational activities include:
•
•
•
•
Program management;
Development of whole community partnerships, through groups such as Citizen Corp Councils; Structures and mechanisms for information sharing between the public and private sector; Implementing models, programs, and workforce enhancement initiatives to address ideologically inspired radicalization to violence in the homeland; City Council HSGP Appendix | 2023 36 – 63 8/20/2024 Page A-2 • Tools, resources, and activities that facilitate shared situational awareness between the public and private sectors;
•
•
Operational Support;
Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident;
•
•
Responding to an increase in the threat level under the National Terrorism Advisory System (NTAS) or needs resulting from a National Special Security Event; Paying salaries and benefits for personnel to serve as qualified Intelligence Analysts. Per the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act (PRICE Act), Pub. L. No. 110-412, § 2, codified in relevant part, as amended, at 6 U.S.C. § 609(a), SHSP and UASI funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by SHSP or UASI funding. See 6 U.S.C. § 609(a). To be hired as an intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria:
o Complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or,
o Previously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit.
•
•
All fusion center analytical personnel must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the State Administrative Agency (SAA) a n d m u s t b e m a d e a v a i c tlivea FbEMl Ae HQtProeparetdnheses Offriceer c i p i e upon request; and n t
Mi g r a t i n g o n l i n e s e r v i c e s t o t h e “ . g o v ” i n t e r n All SAAs are allowed to use up to 50% of their SHSP funding, and all high-risk urban areas are allowed to use up to 50% of their UASI funding, for personnel costs per 6 U.S.C. § 609(b)(2)(A). 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. Personnel expenses may include, but are not limited to training and exercise coordinators, program managers and planners, intelligence analysts, and Statewide Interoperability Coordinators (SWICs).

At the request of a recipient, the FEMA Administrator (or their designee) may grant a waiver of this 50% limitation under 6 U.S.C. § 609(b)(2)(B). Requests for waivers to the personnel cap must be submitted by the authorized representative of the SAA to FEMA in writing on official letterhead, with the following information:
•
•
•
Documentation explaining why the cap should be waived;
Conditions under which the request is being submitted; and A budget and method of calculation of personnel costs both in percentages of the grant award and in total dollar amount.

Please see Information Bulletin (IB) 421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public L. No. 110–412 – the PRICE Act), dated October 30, 2019, for additional information on the waiver request process.

City Council HSGP Appendix | 2023 36 – 64 8/20/2024 Page A-3 Organizational activities under SHSP and UASI include:

Operational Overtime Costs. In support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events, operational overtime costs are allowable for increased protective security measures at critical infrastructure sites or other high-risk locations and to enhance public safety during mass gatherings and high-profile events. In that regard, HSGP recipients are urged to consider using grant funding to support soft target preparedness activities. SHSP or UASI funds may be used to support select operational expenses associated with increased security measures in the authorized categories cited in the table below, but this table is not exhaustive. FEMA retains the discretion to approve other types of requests that do not fit within one of the categories of the table.

Table 2 - Authorized Operational Overtime Categories
Category Description
Security measures in response to an increase in the threat level u n d e r t h e N T A S t o a n “ e l e v a t e
National Terrorism
Advisory System
(NTAS)
Information Bulletin No. 367, Impact of National Terrorism Advisory System on Homeland Security Grant Programs, remains applicable; therefore, advance authorization from FEMA is not required. Refer to National Terrorism Advisory System | Homeland Security (dhs.gov) for additional information on the NTAS. 1 2
Security measures for a designated NSSE. NSSEs are events of national or international significance deemed by DHS to be a potential target for terrorism or other criminal activity.

National Security
Special Event (NSSE)
Security measures required for SEAR Level 1 through Level 4 events as designated by DHS and included in the DHS National Special Events List, as defined below:
• SEAR 1: A significant event with national and/or
international importance that may require extensive federal interagency support.
• SEAR 2: A significant event with national and/or
international importance that may require some level of federal interagency support. Special Event
Assessment Rating
(SEAR) Level 1 through
Level 4 Events
3 •
•
SEAR 3: An event of national and/or international
importance that requires only limited federal support.

SEAR 4: An event with limited national importance that is managed at state and local level.

NOTE: In cases where a threat of terrorism can be associated with a SEAR Level 5 event, the event planners should coordinate with their state or territory Homeland Security Advisor to seek re-adjudication of the SEAR rating. Operational overtime for security measures associated with such events will be considered for approval by FEMA if re-adjudication results in a SEAR 1 through 4 rating.

Declarations of states of emergency by the Governor associated with a terrorism-related threat or incident. This excludes Presidentially declared major disasters or emergencies where federal funding support for the proposed grant-funded activity is made available through the FEMA Public Assistance program or other federal disaster grants.
4 States of Emergency
City Council HSGP Appendix | 2023 36 – 65 8/20/2024 Page A-4 Category Description
National Critical
Infrastructure
Prioritization Program
(NCIPP)
Protection of Level 1 and Level 2 facilities identified through DHS’ s NCIPP based on a terrorism-related threat to critical infrastructure. 5 6 Targeted security patrols in airports and major transit hubs based on a terrorism-related threat to transportation systems. Directed Transit Patrols Overtime costs may be authorized for personnel assigned to directly support any of the security activities relating to the categories above.

Examples include firefighters and emergency medical services personnel; public works employees who may be responsible for installing protective barriers and fencing; public safety personnel assigned to assist with event access and crowd control; emergency communications specialists; backfill and overtime for staffing state Other Related Personnel or major urban area fusion centers; state Active Duty National 7 Overtime Costs Guard deployments to protect critical infrastructure sites, including all resources that are part of the standard National Guard deployment package (note: consumable costs, such as fuel expenses, are not allowed except as part of the standard National Guard deployment package); contract security services for critical infrastructure sites; participation in Regional Resiliency Assessment Program activities, increased border security activities in coordination with USBP, etc.

Overtime costs are allowable for personnel to participate in information, investigative, and intelligence sharing activities related to homeland security/terrorism preparedness and specifically requested by a federal agency. Allowable costs are limited to overtime associated with federally requested participation in eligible activities, including anti-terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime Transportation Security Act of 2002), DHS Border Enforcement Security Task Forces, and Integrated Border Enforcement Teams. In addition, reimbursement for operational overtime law enforcement activities related to combating Operational Support to
a Federal Agency 8
transnational crime organizations in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism is an allowable expense under SHSP and UASI on a case-by-case basis. Grant funding can only be used in proportion to the federal man-hour estimate and only after funding for these activities from other federal sources (i.e., FBI JTTF payments to state and local agencies) has been exhausted.

All allowable operational overtime costs are also subject to the administration requirements outlined in the following subsection.

Administration of Operational Overtime Requests
• Except for an elevated NTAS alert, SHSP or UASI funds may only be spent for operational overtime costs upon prior written approval by FEMA. The SAA must submit operational overtime requests in writing to its assigned FEMA Preparedness Officer. FEMA will consider City Council HSGP Appendix | 2023 36 – 66 8/20/2024 Page A-5 requests for special event activities up to one year in advance. However such requests must be w i t h i n t h e PaOwP aandr mdu s’t nsot recsulut irn trheenenedtfor a request to extend the period of performance. SAAs should contact the Centralized Scheduling and Information Desk (CSID) for Preparedness Officer contact information. CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9a.m. – 5p.m. ET; All operational overtime requests must clearly explain how the request meets the criteria of one or more of the categories listed in the table above. Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explain how the overtime activity is responsive to the threat. Request letters sent to FEMA must be •
•
U N C L A S S I F I E D b u t m a y b e l . aI”fbexeplal ineingd the“thrFe aot wrill O f f i c i a require the sharing of classified information, the letter should state that fact. FEMA will then plan l for the sharing of classified information through official channels; Post-event operational overtime requests will only be considered on a case-by-case basis, where it is demonstrated that exigent circumstances prevented submission of a request in advance of the event or activity;
•
•
Under no circumstances may FEMA grant funding be used to pay for costs already supported by funding from another federal source;
States with UASI jurisdictions can use funds retained at the state level to reimburse eligible operational overtime expenses incurred by the state (per the above guidance limitations). Any UASI funds retained by the state must be used in direct support of the high-risk urban area. States must provide documentation to the Urban Area Working Group (UAWG) and FEMA upon request demonstrating how any UASI funds retained by a state would directly support the highrisk urban area; and • FEMA will consult and coordinate with appropriate DHS components as necessary to verify information used to support operational overtime requests.

Personnel Costs. Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may include but are not limited to training and exercise coordinators, program managers for activities directly associated with SHSP and UASI funded activities, intelligence analysts, and SWICs.

For further details, SAAs should refer to IB #421b,(Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008) or contact their FEMA Preparedness Officer. HSGP funds may not be used to support the hiring of any personnel to fulfill traditional public health and safety duties nor to supplant traditional public health and safety positions and responsibilities. The following definitions apply to personnel costs:
• Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable FEMA grant activities as specified in this guidance.

This may not include new personnel who are hired to fulfill any non-FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent (FTE) employees.
•
•
Overtime. These expenses are limited to the additional costs that result from personnel working over and above 40 hours of weekly work time as the direct result of their performance of FEMAapproved activities specified in this guidance. Overtime associated with any other activity is not eligible.

Backfill-Related Overtime.
overtime costs that result from personnel who are working overtime (as identified above) to perform the duties of other personnel who are temporarily assigned to FEMA-approved activities A l s o c a l l e d “ O v e r t i m e a s B a c k f i l l , City Council HSGP Appendix | 2023 36 – 67 8/20/2024 Page A-6 outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees.
• Supplanting. Grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.

Organization (OPSG)
Personnel Costs
OPSG funds may be used for domestic travel and per diem, including costs associated with the deployment/redeployment of personnel to border areas and for travel associated with law enforcement entities assisting other local jurisdictions in law enforcement activities. In addition, allowable costs include supporting up to six-month deployment of law enforcement personnel to critical Southwest Border locations for operational activities (travel costs must be in accordance with applicable travel regulations).

Operational Overtime Costs
OPSG funds should be used for operational overtime costs associated with law enforcement activities in support of border law enforcement agencies for enhanced border security. Overtime pay is for increased patrol time for certified public safety officers, along with limited support for other law enforcement direct support personnel (e.g., Communication Officers/Dispatchers, non-sworn patrol pilots, etc.). Overtime shall be reimbursed consistent with the non-federal e n t i t y ’ s o v e r t i m e p ostlateid c y a n d below:
•
•
•
•
Overtime is time worked that exceeds the required number of hou r s designated shift;
Overtime must be worked to increase patrol capacity and be in support of identified and approved United States Border Patrol (USBP) border security operations; The OPSG overtime hourly rate of pay will be no more than the approved overtime rate per local law and policy and must be in accordance with applicable state and federal regulations; d u r i n g a n e m p l o y
All overtime expenses under OPSG must be reasonable for the services rendered and conform to the non-f e d e r a l e nhetd wi rtitteyn ’poslicy, ewhsicht mausbt alppil ysto both federally funded and non-federally funded activities and comply with the other applicable requirements under 2 C.F.R. §§ 200.430-200.431; and
• The non-federal entity may not utilize OPSG funding to pay for an empl o y e e ’ s o v e r t i m e h pay that exceeds 16 hours worked in any 24-hour period.

Personnel Costs
Up to 50% of an OPSG award may be used to pay for all personnel costs (only to the extent that such expenses are for the allowable activities within the scope of the grant). At the request of a recipient or subrecipient, the FEMA Administrator (or designee) may waive the 50% personnel cap. Waiver decisions are at the discretion of the FEMA Administrator and will be considered on a case-by-case basis in accordance with IB 421b. 6 U.S.C. § 609(b)(2). A formal OPSG personnel waiver request should:
•
•
Be on official letterhead, include a written justification, and be signed by the local jurisdiction; Include a budget and method of calculation of personnel costs both in the percentage of the grant award and in total dollar amount, reflecting the change in scope or objective to the project; • Include an approved Operations Order from the USBP Sector office that supports the local j u r i s d i c t i o n ’ s; andw r i t t e n j u s t i f i c a t i o n City Council HSGP Appendix | 2023 36 – 68 8/20/2024 Page A-7 • Be coordinated with the USBP Sector, SAA, and the DHS/Customs and Border Protection (CBP) Office of the Border Patrol (OBP).

F u r t h e r ,
200.308(c)(1). If the cost changes are allowable under the grant, a Fragmentary Order (FRAGO) must be s u b m i t t e d t o H S I N t o o b t a i n F E MA ’ s p r i o r w r i t t e n § 200.308(c)(1). These modifications will be annotated in the annex section of the FRAGO. c h a n g e s i n s c o p e rowrittenoapbprjovealcputrsuianvt teo 2 Ca.Fl.R.s§o r e q u i
OPSG funds may be used to pay additional current part-time law enforcement personnel salaries to bring them to temporary full-time status. O P S G f u n d s m a y s rue qpuepstotoractivatea, depGloyo, ovr e r n o r ’ redeploy specialized National Guard Units/Package and/or elements of state law enforcement serving as f r i e n d l y f o r c e s t o i n c r e a s e o r a u g m e n t s p e c i a l i z e activities. Costs associated with backfill for personnel supporting operational activities are allowable.

As with all OPSG personnel costs, OPSG grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.

Intelligence Support
Per 6 U.S.C. § 609(a), OPSG funds may, as applicable and operationally beneficial, be used to pay salaries and benefits or overtime for personnel to serve as qualified Intelligence Analysts to enable and enhance information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by OPSG funding. Qualified OPSG-funded intelligence analysts can be assigned to an applicable law enforcement facility/intelligence function as long as information/intelligence sharing is maintained. To serve as an OPSG-funded intelligence analyst, personnel must meet at least one of the following criteria:
•
•
Complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or,
Previously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit.

OPSG-funded intelligence analysts must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be o n f i l e w i t h t h e S A A a n d m u s t b e m a d e a v a i l Preparedness Officer upon request.

Temporary or Term Appointments
• Subrecipients may utilize temporary or term appointments to augment the law enforcement presence on the borders. However, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable;
OPSG-funded temporary or term appointments may not exceed the approved period of performance:
•
o For OPSG purposes, temporary appointments are non-status appointments for less than one year; and
o For OPSG purposes, term appointments are non-status appointments for one year, extendable for one year as necessary.

City Council HSGP Appendix | 2023 36 – 69 8/20/2024 Page A-8 •
•
OPSG funding for temporary or term appointments may pay for salary only. Benefits are not allowable expenses for term or temporary employees;
OPSG remains a non-hiring program. Appropriate uses of temporary or term appointments include:
o
o
o
To carry out specific enforcement operations work for ongoing OPSG-funded patrols throughout the Sector Area of Operation;
To staff operations of limited duration, such as OPSG-enhanced enforcement patrols targeting specific locations or criminal activity; and
To fill OPSG positions in activities undergoing transition or personnel shortages and local backfill policies (medical/military deployments). •
•
OPSG term and temporary appointments must have all necessary certifications and training to enforce state and local laws. OPSG funds will not be used to train or certify term or temporary appointments except as otherwise stated in this Manual and the HSGP Notice of Funding Opportunity (NOFO); and
FEMA provides no guarantee of funding for temporary or term appointments. In addition to the terms of this Manual and the HSGP NOFO, subrecipients must follow their own applicable policies and procedures regarding temporary or term appointments.

Management and Administration
Management and administration (M&A) costs are allowed. Recipients may use a maximum of up to 5% of HSGP funds awarded for their M&A, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also retain a maximum of up to 5% of the funding passed through by the state solely for M&A purposes associated with the HSGP award. M&A activities are those directly relating to themanagement and administration of HSGP funds, such as financial management and monitoring. M&A expenses must be based on actual expenses or known contractual costs. M&A requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.

M&A costs are not operational costs. They are the necessary costs incurred in direct support of the grant or as a result of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, responding to official informational requests from state and federal oversight authorities, including completing the Civil Rights Evaluation Tool as required by DHS, and grant performance measurement or evaluation activities.

R e c i p i e n t s o r s u b r e c i p i e n t s m a y a p p l y o r c r e d i t M allocate funding toward the National Priority Areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its protection of soft targets/crowded places investment, the recipient may credit that funding toward its requirement to allocate at least 3% of its award to the protection of soft targets and crowded places National Priority Area.

A s t a t e ’ s H S G P f u n d s f o r M& A c a l c u l a t i o n p u r p o s e s awards. While the SAA may retain up to 5% of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum pass-through requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed t h r o u g h t o l o c a l o r t r i b a l j u r i Psawdairdcpritoritoownithsholdimn gu s t b e any M&A.

City Council HSGP Appendix | 2023 36 – 70 8/20/2024 Page A-9 In retaining these funds, states may retain a maximum of 2.5% of the OPSG allocation, which must be withheld from the pass-through to each subrecipient county or tribe in an equal percentage. The SAA may also retain additional funding from its SHSP award to manage and administer the OPSG award, but that additional amount is also capped at an amount equal to 2.5% of the OPSG award. Examples applying this principle:

SAA 1:

Total award: $6,000,000
SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000
M&A Maximum: $300,000 (5% of $6,000,000)
Maximum M&A for SHSP = $50,000
Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5%) may be retained from the OPSG allocation, and the other $62,500 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $50,000 available to manage the SHSP allocation.

Maximum M&A for UASI = $125,000
SAA 2:

Total award: $4,500,000
SHSP: $3,500,000 OPSG: $1,000,000
M&A Maximum: $225,000 (5% of $4,500,000)
Maximum M&A for SHSP = $175,000
Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5%) may be retained from the OPSG allocation, and the other $25,000 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $175,000 available to manage the SHSP allocation.

HSGP recipients are also reminded that any M&A charged t o funding must be directly allocable to administration of the UASI grant program and cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding. Similarly, any M&A charged to a a r e c i p i e n tU A’ SsI o r s u b r e c
r e c i p i e n t ’ s o r s u b r e c i p i e n t ’ s S H S P ostos drirectOlyP S G f u n d i n allocable to UASI funding.

Specific for OPSG, subrecipients and friendly forces may retain funding for M&A purposes; however, the total amount retained cannot exceed 5% of the subrecipient’ subaward. Friendly forces are local law enforcement entities that are subordinate subrecipients under OPSG. In other words, friendly forces are entities that receive a subaward from a subrecipient under the OPSG program. Friendly forces must comply with all requirements of subrecipients under 2 C.F.R. Part 200.

Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, and response equipment categories for HSGP are listed on the Authorized Equipment List (AEL). Some equipment items require prior approval from FEMA before obligation or purchase of the items. Please reference the grant notes for each equipment item to ensure prior approval is not required or to ensure prior approval is obtained if necessary.

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 stated, all equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, recipients will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment.

City Council HSGP Appendix | 2023 36 – 71 8/20/2024 Page A-10 Investments in emergency communications systems and equipment must meet applicable SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance) recommendations. Such investments must be coordinated with the SWIC and the State Interoperability Governing Body (SIGB) to ensure interoperability and long-term compatibility. For personal protective equipment (PPE), recipients are encouraged to give procurement preference to domestic manufacturers of PPE or PPE raw materials to the maximum practicable and allowed by law.

Grant funds may be used for the procurement of medical countermeasures. Procurement of medical countermeasures must be conducted in collaboration with state, city, or local health departments that administer federal funds from the Department of Health and Human Services for this purpose and with existing Metropolitan Medical Response System committees where available, to sustain their long-term planning for appropriate, rapid, and local medical countermeasures, including antibiotics and antidotes for nerve agents, cyanide, and other toxins. Procurement must have a sound threat-based justification with an aim to reduce the consequences of mass casualty incidents during the first crucial hours of a response.

Prior to procuring pharmaceuticals, recipients must have in place an inventory management plan to avoid large periodic variations in supplies due to coinciding purchase and expiration dates. Recipients are encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of p h a r m a c e u t i c a l s m u s t i n c l u d e a b u d g e t f oOrP fort h e d i s HSGP. The cost of disposal cannot be carried over to another FEMA grant or grant period.

EMS electronic patient care data systems should comply with the most current data standard of the National Emergency Medical Services Information System.

Recipients are reminded that school hardening is an eligible activity under SHSP and UASI. School hardening measures include but are not limited to:
•
•
•
•
Bullet resistant doors and glass;
Hinge-locking mechanisms;
Immediate notification to emergency 911 systems;
Mechanisms that provide real time actionable intelligence directly to law enforcement and first responders;
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Installation of distraction devices or other countermeasures administered by law enforcement; and Other measures determined to provide significant improvements to schools ’ p h y s i c a l s e c u r Additionally, SHSP and UASI funds may be used for equipment purchases related to state court cybersecurity, 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13).

Equipment (OPSG)
OPSG equipment is intended to be incidental to the enhanced border security operations being performed.

The grant is not intended to be used to outfit or supply general equipment to SLTT law enforcement agencies. Equipment must be relatable to and justified by the operational benefit it will provide. Each appropriate OPSG sector coordinator is required to keep an inventory of OPSG purchased equipment that includes at a minimum: 1) grant funding year; 2) purchase amount; 3) purchase date; 4) purchase quantity; 5) equipment ID; 6) source of funding for the property, including the Federal Award Identification Number; 7) who holds title to the property; 8) federal share percent of the property; 9) location of the property; 10) use and condition of the property; 11) disposal date; and 12) brief disposal justification information and sale price if sold. Each Operations Order/FRAGO will require that each friendly force submit the equipment inventory for each Operations Order/FRAGO submission. • Equipment Marking. Because equipment purchased with OPSG funding is intended to be used to support OPSG activities, it may be appropriately marked to ensure its ready identification and City Council HSGP Appendix | 2023 36 – 72 8/20/2024 Page A-11 primary use for that purpose. When practicable, any equipment purchased with OPSG funding should be prominently marked as follows: "Purchased with DHS funds for Operation Stonegarden Use."
•
•
Fuel Cost and Mileage Reimbursement. There is no cap for reimbursement of fuel or mileage costs in support of operational activities. Subrecipients and friendly forces may not claim reimbursements for both mileage and fuel/maintenance for the same equipment at the same time.

Vehicle and Equipment Acquisition, Including Leasing and Rentals. Allowable purchases under OPSG include patrol vehicles and other mission-specific equipment whose primary purpose is to increase operational capabilities on or near a border nexus in support of approved border security operations. A detailed justification must be submitted to the respective FEMA HQ Preparedness Officer prior to purchase.
• Medical Emergency Countermeasures. Allowable purchases under OPSG include narcotic antagonist pharmaceuticals, detection and identification equipment, safe storage and transportation, personnel protective equipment, and initial equipment training, as reflected in the AEL.

Requirements for Small Unmanned Aircraft System (SHSP, UASI, and OPSG) All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also i n c l u d e a d e s c r i p t i o n o f t h e p o l i c i e s a n d p r o c e d u r and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.

SUAS policies are not required at the time of application but must be received and approved by FEMA prior to obligating HSGP funds. All grant-funded procurements must be executed in a manner compliant with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use HSGP funds for sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the data the devices collect is transmitted to servers not under the control of the operator. It has been reported that some manufacturers of sUAS encrypt data and send that data to servers outside the United States. The U.S. Department o f H o m e l a n d S e c u r i t y ’ s P r i v a c y O f f i c e s u g g transmission and storage issues with vendors to reduce the possibility of data breaches.

Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations Act further requires recipients to certify they have reviewed the Industry Alert on Chinese Manufactured Unmanned Aircraft Systems, and completed a risk assessment that considers the proposed use of foreignmade sUAS to ascertain potential risks (e.g., privacy, data breaches, cybersecurity, etc.) related to foreignmade versus domestic sUAS.

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: Interagency Legal Advisory on UAS Detection and Mitigation Technologies | Homeland Security (dhs.gov). 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.

City Council HSGP Appendix | 2023 36 – 73 8/20/2024 Page A-12 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: Interagency Issues Advisory on Use of Technology to Detect and Mitigate Unmanned Aircraft Systems | Homeland Security (dhs.gov).

Training (SHSP and UASI)
Allowable training-related costs under HSGP include the establishment, support, conduct, and attendance of training specifically identified under the SHSP and UASI program and/or in conjunction with emergency preparedness training by other federal agencies (e.g., HHS and Department of Transportation [DOT]).

Training conducted using HSGP funds should address a performance gap identified through an Integrated Preparedness Plan (IPP) or other assessments (e.g., National Emergency Communications Plan [NECP] Goal Assessments) and contribute to building a capability that will be evaluated through a formal exercise.

Any training or training gaps, including training related to under-represented, diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations, should be identified in an IPP and addressed in the state or high-risk urban area training cycle. Emergency preparedness training related to those training gaps, including related to under-represented, diverse populations that may be more impacted by disasters, is allowable. 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.

Recipients are also encouraged to utilize F E MAN’a tsional Preparedness Course Catalog. Trainings include programs or courses developed for and delivered by institutions and organizations funded by FEMA. This includes the Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and FEMA’ s T r a i n i n g P a r t n e r P r o g r a m s , i n c l u d i n g t h e C o n Domestic Preparedness Consortium (NDPC), the Rural Domestic Preparedness Consortium (RDPC), and other partners.

T h e c a t a l o g f e a t u r e s a w i d e r a n g e o f c o u r s e t o p i c s scope as well as the increasing training needs of federal, state, local, territorial, and tribal audiences. The catalog can be accessed at NTED | National Preparedness Course Catalog Home (firstrespondertraining.gov).

Some training activities require Environmental and Historic Preservation (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 Environmental & Historic Preservation Guidance for FEMA Grant Applications | FEMA.gov.

Exercises (SHSP and UASI)
Exercises conducted with grant funding should be managed and conducted consistent with Homeland Security Exercise and Evaluation Program (HSEEP). HSEEP guidance for exercise design, development, conduct, evaluation, and improvement planning is located at Homeland Security Exercise and Evaluation Program | FEMA.gov.

City Council HSGP Appendix | 2023 36 – 74 8/20/2024 Page A-13 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 Environmental & Historic Preservation Guidance for FEMA Grant Applications | FEMA.gov.

Maintenance and Sustainment (SHSP, UASI, and OPSG)
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, and it may only cover equipment purchased with HSGP funds or for equipment dedicated for HSGP-related purposes. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

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. Except for maintenance plans or extended warranties purchased incidental to the original purchase of the equipment, the period covered by maintenance or warranty plan must not exceed the POP of the specific grant funds used to purchase the plan or warranty.

Grant funds are intended to support the Goal by funding projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, and respond to 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 FEMA’ IsB 379, Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding, initially for FY 2007-2011, allows for the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the Goal, and (4) shareable through the EMAC. 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.

Law Enforcement Terrorism Prevention Activities Allowable Costs (SHSP and UASI) When identifying and selecting projects to meet the Law Enforcement Terrorism Prevention Activities (LETPA) set-aside requirement, recipients are strongly encouraged to consult with the law enforcement community and to consider the capabilities and resource requirements of law enforcement agencies and their unique and central role in preventing and protecting against acts of terrorism. LETPAs can also support a National Priority Area (e.g., an investment can be counted as supporting both the Soft Targets/Crowded Places and LETPA minimum allocation requirements, if applicable). For FY 2023, the LETPA set-aside requirement is 35% of SHSP and UASI awards. In particular, recipients should consider investing in projects such as:
• Maturation and enhancement of designated state and major urban area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and intelligence analyst training and salaries (subject to certain conditions); City Council HSGP Appendix | 2023 36 – 75 8/20/2024 Page A-14 • Regional counterterrorism training programs for small, medium, and large jurisdictions to exchange information and discuss the current threat environment, lessons learned, and best practices to help prevent, protect against, and mitigate acts of terrorism; •
•
Support for coordination of regional full-scale training exercises (federal, state, and local law enforcement participation) focused on terrorism-related events; and Law enforcement Chemical, Biological, Radiological, Nuclear, and high yield Explosives detection and response capabilities, such as bomb detection/disposal capability deployment, sustainment, or enhancement, including canine teams, robotics platforms, and x-ray technology.

Additional examples of allowable LETPA projects include but are not limited to:
• Coordination between fusion centers and other intelligence, operational, analytic, or investigative efforts including, but not limited to JTTFs, Field Intelligence Groups (FIGs), HighIntensity Drug Trafficking Areas (HIDTA), Regional Information Sharing Systems (RISS) Centers, criminal intelligence units, real-time crime analysis centers and DHS intelligence, operational, analytic, and investigative entities;
• Implementation and maintenance of the Nationwide Suspicious Activity Reporting (SAR) Initiative (NSI), including training for front-line personnel on identifying and reporting suspicious activities, tips/leads, and online/social media-based threats, as well as the execution and management of threat assessment programs to identify, evaluate, and analyze indicators and behaviors indicative of terrorism, targeted violence, threats to life, and other criminal activity; Management and operation of activities that support the execution of the intelligence process and fusion centers, including but not limited to: Fusion Liaison Officer (FLO) programs, security programs to protect the facility, personnel, and information, and the protection of privacy, civil rights, and civil liberties;
Implementation of the “If You See Something, Say Something®” campaign 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. 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) to ensure all public awareness materials (e.g., videos, posters, tri-folds, etc.) are consistent with D H Ss ’ 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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• Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical infrastructure sites or at-risk nonprofit organizations;
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Building and sustaining preventive radiological and nuclear detection capabilities, including those developed through the Securing the Cities initiative; Integration and interoperability of systems and data, such as computer aided dispatch (CAD) and record management systems (RMS), to facilitate the collection, evaluation, and assessment of suspicious activity reports, tips/leads, and online/social media-based threats; and Development of countering violent extremism programs, projects, and initiatives, addressing prevention, intervention, and diversion efforts, including training on roles of law enforcement and how to effectively partner with law enforcement; developing and promoting training specifically for law enforcement executives and frontline officers on potential behaviors and indicators of violent extremism and how to appropriately analyze and report them; supporting community and law enforcement engagement strategies such as table top exercises, roundtable events, town hall meetings, and peer to peer activities; funding for existing and/or expansion of •
City Council HSGP Appendix | 2023 36 – 76 8/20/2024 Page A-15 law enforcement community relations efforts, support for the development of community engagement plans, and joint projects to increase the awareness of violent extremist threats and community mitigation solutions.

Law Enforcement Readiness (SHSP, UASI, and OPSG)
OPSG grant funds may be used to increase operational, material, and technological readiness of SLTT law enforcement agencies. The Delegation of Immigration Authority, Section 287(g) of the Immigration and Nationality Act (INA) program allows a state or local law enforcement entity to enter into a partnership with Immigration and Customs Enforcement (ICE), under a joint Memorandum of Agreement (MOA), to receive delegated authority for immigration enforcement within their jurisdictions.

SHSP, UASI, or OPSG grant funds may be requested and may be approved on a case-by-case basis for immigration enforcement training in support of the border security mission. Requests for training will be evaluated on a case-by-case basis and can only be used for certification in the section 287(g) program provided by DHS/ICE. SHSP, UASI, or OPSG subrecipients with agreements under section 287(g) of the INA (8 U.S.C. § 1357(g)) to receive delegated authority for immigration enforcement within their jurisdictions may also be reimbursed for section 287(g) related operational activities with approval from FEMA on a case-by-case basis. For OPSG, subrecipients must be authorized by USBP Headquarters and Sectors, and operational activities must be coordinated through a USBP Sector.

Regional Border Projects (OPSG)
Recipients are encouraged to prioritize the acquisition and development of regional projects on the borders to maximize interoperability and coordination capabilities among federal agencies and with state, local, and tribal law enforcement partners. Such regional projects include:
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Communications equipment;
Radio systems and repeaters;
Integration with regional intelligence and information sharing effort (i.e., fusion centers):
o Intelligence analysts.
• Situational Awareness equipment:
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License Plate Reader Networks;
Visual detection and surveillance systems;
Sensor Systems;
Radar Systems (for air and/or marine incursions); and
Aircraft systems (manned or unmanned).

Critical Emergency Supplies (SHSP and UASI)
Critical emergency supplies, such as shelf stable products, water, and medical equipment and supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state m u s t h a v e F E MA ’ s-yearavipa bplerinvoenvt oarylmanaogefmenat planf, wi h ivche should include a distribution strategy and related sustainment costs if planned grant expenditure is over $100,000.00.

If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed by the recipient and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA will establish guidelines and requirements for the purchase of these supplies under UASI and monitor development and status of the state’ s i n v e n t o r y m a n a g e m e n t p l a n .

City Council HSGP Appendix | 2023 36 – 77 8/20/2024 Page A-16 SAAs (through their state Emergency Management Office) are strongly encouraged to consult with their respective FEMA Regional Logistics Chief regarding disaster logistics-related issues. States are further encouraged to share their FEMA approved plan with local jurisdictions and tribes.

Construction and Renovation (SHSP and UASI)
Project construction using SHSP and UASI funds may not exceed the greater of $1 million or 15% of the grant award. For the purposes of the limitations on funding levels, communications towers are not considered construction. See guidance on communication towers below.

All construction and renovation projects require 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, Rev 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. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to [email protected].

Written approval must be provided by FEMA prior to the use of any HSGP funds for construction or renovation. When applying for construction funds, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C form with budget detail citing the project costs, and an SF-424D Form for standard assurances for the construction project.

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). 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 like 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 online at https://www.dol.gov/whd/govcontracts/dbra.htm.

Construction and Renovation (OPSG)
OPSG funds may not be used for any construction.

Communications Towers
All construction of communication towers requires EHP review. When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Communication Commission’ Ss ection 106 of the National Historic Preservation Act, Pub. L. No. 89- 665, as amended, review process has been completed and submit all documentation resulting from that review to FEMA with a GPD EHP Screening Form and supporting materials for 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 EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA City Council HSGP Appendix | 2023 36 – 78 8/20/2024 Page A-17 Directive 108-1, and FEMA Instruction 108-1-1, Instruction on Implementation of the Environmental Planning and Historic Preservation Responsibilities and Program Requirements, 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. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to [email protected].

Western Hemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the implementation activities associated with the Western Hemisphere Travel Initiative (WHTI), including the issuance of WHTI-compliant tribal identification cards.

Emergency Management Accreditation Program
States can encourage their local jurisdictions to pursue assessment and accreditation under the Emergency Management Accreditation Program (EMAP). E MA P a’ssesssment and accreditation of emergency management organizations against consensus-based, American National Standards Institute (ANSI)- certified standards allows for standardized benchmarking of critical functions necessary for an emergency management organization to meet the core capabilities identified in the Goal. Additional information on the EMAP Standard is available at http://www.emap.org.
28 C.F.R. Part 23 Guidance
FEMA requires that any information technology system funded or supported by these funds comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies if this regulation is determined to be applicable. Additionally, please see 28 C.F.R. Part 23 requirements that pertain to fusion centers at http://www.dhs.gov/homeland-security-grant-programs-hsgp.

Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with evidence collection, arrest processing, prosecution, and Traffic/DUI checkpoints, such as evidence documentation cameras, fingerprinting supplies, alcohol breathalyzers, portable work lights, traffic barricades, and similar law enforcement expenses. OPSG unallowable costs also include costs associated with staffing and general IT computing equipment and hardware, such as personal computers, faxes, copy machines, modems, etc. OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law enforcement operations or activities not directly related to providing enhanced coordination between local and federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer to IB 421b, or contact their FEMA HQ Preparedness Officer for guidance and clarification. Due to the nature of OPSG, exercise expenses are not allowable costs under OPSG.

Unallowable Costs (SHSP, UASI, and OPSG)
• Per FEMA policy, the purchase of weapons and weapons accessories, including ammunition, is not allowed with HSGP funds;
• Grant funds may not be used for the purchase of equipment not approved by FEMA. Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, 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;
• Unauthorized exercise-related costs include:

City Council HSGP Appendix | 2023 36 – 79 8/20/2024 Page A-18 o
o
Reimbursement for the maintenance or wear and tear costs of general use vehicles (e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g., fire trucks, ambulances); and
Equipment that is purchased for permanent installation and/or use, beyond the scope of the conclusion of the exercise (e.g., electronic messaging sign).

Indirect Costs
Indirect costs are allowable under this program. See the “Procedures for Establishing Indirect Cost Rates” Section in “ P -rS eu b m i s s i o n foIr mnofre oinfrorm aatiotn.i o n ” Resources for Planning, Training, and Exercising (SHSP, UASI, and OPSG) Planning Assistance
F E MA ’ s N a t i o n a l P r e p a r e d n e s s D i r e c t o r a t e ( N P D ) o f provide recipients and subrecipients with specialized expertise to improve and enhance the continuing development of state and local emergency management across the five mission areas of the Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision-makers in open discussion of options to improve plans and planning c o n s i d e r i n g t h e .iAlrthoujghuthrerei issnod diireccttc oist otonap’prosved njureisdeicdtiosns for FEMA
TA, jurisdictions are expected to invest staff resources and take ownership of the resulting products and tools.

TA deliveries combine current emergency management best practices with practical consideration of emerging trends, through discussion facilitated by FEMA contract specialists and with the support of FEMA Region operational specialists. Additionally, peer-to-peer representation may also be included from other jurisdictions that have recently addressed the same planning issue. The TA request form can be accessed at https://www.fema.gov/emergency-managers/nims/implementation-training.

Training Information
Per IB 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 Poin t o f C o n t a c t ( T P O C ) a n d f a l l s w i t h i n. Fort h e F E MA m additional information on review and approval requirements for training courses funded with preparedness grants, see FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards.

FEMA will conduct periodic reviews of all state, local, territory, tribal entities, and high-risk 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 ADDIE model (Analysis, Design, Development, Implementation, and Evaluation) and tools that can facilitate the process, SAAs and TPOCs are encouraged to review the National Training and Education Division Training Resource and Development Center website at FRT-TRDC Home (firstrespondertraining.gov).

Some training and 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 City Council HSGP Appendix | 2023 36 – 80 8/20/2024 Page A-19 requirements and EHP review can be found online at Environmental & Historic Preservation Guidance for FEMA Grant Applications | FEMA.gov.

DHS/FEMA Provided Training and Education
FEMA offers tuition-free training and education programs and courses through several providers including the CDP, EMI, a n d t h e N a t i o n a l T r a i n i n g a n d E d u c a t i o n D i v includes the Center for Homeland Defense and Security, NDPC, RDPC, and the CTG Program.

FEMA’s National Preparedness Course Catalog
This online searchable catalog features a wide range of course topics in multiple delivery modes to meet F E MA ’ s m i s s i o n s c o p e a s w e lfelderala, stsate, ltochal,eterritiornialc, anr detriabasl i n g t audiences. The catalog can be accessed at NTED | National Preparedness Course Catalog Home a (firstrespondertraining.gov).

Training Not Provided by DHS/FEMA
These trainings include courses that are either state-sponsored or federal-sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, and respond to acts of terrorism or catastrophic events.
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State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC.

Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent, protect against, mitigate, and respond to acts of terrorism or catastrophic events. In addition, states, territories, tribes, and high-risk urban areas are encouraged to incorporate the private sector in government- sponsored training and exercises.

Additional information on both FEMA provided training and other federal and state training can be found at National Training and Education Division (NTED) (firstrespondertraining.gov).

Training Information Reporting System (“Web-Forms”)
Web-Forms is an electronic data management system built to assist SAA TPOCs and federal agencies with submitting non-National Training and Education Division provided training courses for inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to ensure each training program’s viability and relevance to the Homeland Security mission.

Reporting training activities through Web-Forms is not required under present funding. However, the system remains available and can be accessed through the Web-Forms section of the FEMA National Preparedness Course Catalog to support recipients in their own tracking of training deliveries. Users need to request FRTS Admin rights from NTED in order to access the Web-Forms.

Exercise Information
Recipients that use HSGP funds to conduct an exercise(s) are encouraged to complete a progressive exercise series. Exercises conducted by states and high-risk urban areas may be used to fulfill similar exercise requirements required by other grant programs. Recipients are encouraged to invite representatives/planners involved with other federally mandated or private exercise activities. States and City Council HSGP Appendix | 2023 36 – 81 8/20/2024 Page A-20 high-risk urban areas are encouraged to share, at a minimum, the multi- year training and exercise schedule with those departments, agencies, and organizations included in the plan. • Validating Capabilities. Exercises examine and validate capabilities-based planning across the Prevention, Protection, Mitigation, and Response mission areas. The extensive engagement of the whole community, including but not limited to examining the needs and requirements for individuals with disabilities, individuals with limited English proficiency, and others with other access and functional needs, is essential to the development of an effective and comprehensive exercise program. Exercises are designed to be progressive – increasing in scope and complexity and drawing upon results and outcomes from prior exercises and real-world incidents – to challenge participating communities. Consistent with HSEEP guidance and tools, the National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Exercises should align with priorities and capabilities identified in a multi-year IPP.
• Special Event Planning. If a state or high-risk urban area will be hosting a special event (e.g., Super Bowl, G-8 Summit), the special event planning should be considered as a training or exercise activity for the multi-year IPP. States must include all confirmed or planned special events in the multi-year IPP. The state or high-risk urban area may plan to use SHSP or UASI funding to finance training and exercise activities in preparation for those events. States and high-risk urban areas should also consider exercises at major venues (e.g., arenas, convention centers) that focus on evacuations, communications, and command and control.

Regional Exercises. States should also anticipate participating in at least one regional exercise annually.

Role of Non-Governmental Entities in Exercises. Non-governmental participation in all levels of exercises is strongly encouraged. Leaders from non-governmental entities should be included in the planning, design, and evaluation of an exercise. SLTT jurisdictions are encouraged to develop exercises that test the integration and use of resources provided by non-governmental entities, defined as the private sector and private non-profit, faith-based, and community organizations. Participation in exercises should be coordinated with local Citizen Corps Whole Community Council(s) or their equivalents and other partner agencies. •
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Reporting on the Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements By December 31, 2022, states, territories, and high-risk urban areas are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with CPG 201, Third Edition.

Beginning in 2020, jurisdictions began the requirement to respond to a series of planning-related questions as part of the THIRA/SPR.

Jurisdictions are required to submit a THIRA every three years to establish a consistent baseline for assessment. While the THIRA is only required every three years, jurisdictions are required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to Comprehensive Preparedness Guide (CPG) 201, Third Edition.

Reporting
• States and territories will submit their THIRA and SPR through the Unified Reporting Tool (URT) on Prep Toolkit no later than December 31 of the applicable year (every three years for THIRA and each year for SPR).

City Council HSGP Appendix | 2023 36 – 82 8/20/2024 Page A-21 •
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High-risk urban areas that receive UASI funding will submit their THIRA/SPR through the URT on Prep Toolkit no later than December 31 for the years they have UASI open grants. If a UASI recipient has completed closeout for their UASI grant award period of performance, they do not have to submit a THIRA/SPR as the requirement is not applicable to closed grant awards. While UASIs that have completed closeout for the award period of performance are not required to complete a THIRA/SPR, it is encouraged.

Calendar year 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing recipients. Any new grant recipients during calendar year 2023, for which the THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline assessment year in 2023. States, territories, and high-risk urban areas should work collaboratively to create the most accurate THIRA and SPR possible. States, territories, and high-risk urban areas may share scenarios, targets, and assessed capabilities when appropriate.

Please contact [email protected] if you have questions.

Building and Sustaining Capabilities
States, territories, and high-risk urban areas must prioritize and align SHSP and UASI grant funding investments in building and sustaining capabilities in areas that align with the national priorities in the annual HSGP NOFO and capability gaps identified in their THIRA and SPR.

Reporting
In each H S G P r e cBiia npn uialeStnratteg’y asnd Implementation Report (BSIR), as part of programmatic monitoring, the recipient must describe how expenditures support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA and SPR. HSGP recipients must, on a project-byproject basis, check one of the following:
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Building a capability with HSGP funding; and
Sustaining a capability with HSGP funding.

National Incident Management System (NIMS) Implementation Recipients receiving HSGP funding are required 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. HSGP 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.

Reporting
• Recipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the HSGP NOFO.

Planning to Deliver Capabilities
Recipients shall develop and maintain, jurisdiction-wide, all threats and hazards EOPs consistent with Comprehensive Preparedness Guide 101, Version 2.0 (CPG 101 v2), Developing and Maintaining City Council HSGP Appendix | 2023 36 – 83 8/20/2024 Page A-22 Emergency Operations Plans (November 2010). Recipients must update their EOPs at least once every two years.

Reporting
• Recipients report EOP compliance with CPG 101 v2 by completing the secondary CPG-101 assessment as part of their THIRA/SPR submission in the URT.

Validating Capabilities
All recipients will develop and maintain a progressive exercise program consistent with HSEEP guidance in support of the 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-y e a r N E P c y c l e i s g u i d e d Strategic Priorities, established by the National Security Council, and informed by preparedness data from jurisdictions across the Nation.

To develop and maintain a progressive exercise program consistent with HSEEP and in support of the NEP, recipients should engage senior leaders and other whole community stakeholders to identify preparedness priorities. These priorities should be informed by various factors, including jurisdictionspecific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi-year IPP. Information related to Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at Homeland Security Exercise and Evaluation Program | FEMA.gov and Welcome - Preparedness Toolkit (fema.gov).

The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance, tools and resources, enhanced coordination, and the ability to directly influence and inform policy and preparedness programs. If you have any questions, or would like to request assistance through the NEP, please visit the NEP website at Exercises | FEMA.gov, or reach out to the National Exercise Program directly at [email protected].
• 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] before January 31 of each year:
o Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at Welcome - Preparedness Toolkit (fema.gov).
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Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to [email protected] a n d i n d i c a t e w h i c h f (iif asppclicaablle); y e a r ’ s Submission of AAR/IPs must take place within 90 days following completion of the single exercise or progressive series:
f u n d
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 that reflect drills; o If a recipient endures a significant real-world incident during the calendar year that delays or prevents conduct of a grant-funded exercise, they can submit the AAR from that event in place of the exercise AARs. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to [email protected]; and City Council HSGP Appendix | 2023 36 – 84 8/20/2024 Page A-23 o Recipients can access a sample AAR/IP template at:
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.

Fusion Centers
A critical component of the national response to the 9/11 terrorist attacks was the development of a national-level, decentralized, and coordinated terrorism-related information sharing environment (ISE).

State and local governments, supported by federal investments from DHS, the Department of Justice (DOJ), Department of Health and Human Services (HHS), and other federal agencies, established the National Network of Fusion Centers (National Network), which became the backbone of the national ISE.

This National Network, comprised of 80 state and major urban area fusion centers, collaborates and shares information with partners from all levels of government and the private sector, as well as other field-based information sharing partners, including HIDTAs, RISS Centers, JTTFs, major city/county intelligence units, and real-time crime analysis centers, among others.

National Network participation in NSI enables fusion centers to identify, receive and analyze suspicious activity reporting and other tips/leads from frontline public safety personnel, the private sector, and the public, and ensure the sharing of SARs with DHS and the FBI’ JsTTFs for further investigation. In addition to those activities identified in the National Prevention Framework, fusion centers are also required to collaborate with those intelligence, operational, analytic, investigative, and informationsharing focused entities to combat a wide array of threats – noted below – in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism, targeted violence, and other threats. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers as well as other federal intelligence, operational, analytic, and investigative entities. Applicants should describe their collaboration plan and proposed efforts in their required Fusion Center project as part of the Intelligence and Information Sharing National Priority.

T o d a y ’ s—inctluhdinrgeintaertnatsional and domestic terrorism, drugs, gangs, active shooters, targeted
violence, transnational organized crime, and cyber—require federal, state, and local governments to leverage this national capacity to effectively respond to the evolving nature of the various national and homeland security threats confronting our Nation. Ultimately, timely identification and analysis of key indicators from local, state, and federal partners will enable all stakeholders to address threats and develop and implement data-driven strategies to prevent, protect against, mitigate, and respond effectively, while ensuring the protection of privacy, civil rights, and civil liberties.

T o u n d e r s c o r e t h e i m p o r t a n c e o f t h e N a t i o n a l N e t w homeland security and counterterrorism architecture, FEMA preparedness grants will continue to prioritize support for designated fusion centers (http://www.dhs.gov/fusion-center-locations-and-contactinformation) and the maturation of the ISE. Fusion centers must prioritize the following capabilities to further enable and mature this national asset and strengthen the collective capacity to identify, collect, analyze, and share information, and to disseminate actionable and strategic intelligence to key stakeholders:
• Addressing Threats: Fusion centers provide a national level, decentralized, and coordinated ISE across all levels of government and disciplines that can be leveraged and applied to address threats to homeland security, national security, public safety, and/or public health, and especially those threats that may have little or no warning. Fusion centers should leverage and build upon their terrorism-focused analytic and information-sharing capabilities so they can be applied to address threats across the DHS mission space, including threats from both international terrorism City Council HSGP Appendix | 2023 36 – 85 8/20/2024 Page A-24 and domestic violent extremists, threats to life and targeted violence, transnational organized criminal activity, cyber threats, and natural hazards, among others that require close collaboration with DHS operational, investigative, and analytic entities such as CBP, ICE, United States Secret Service (USSS), CISA, the United States Coast Guard (USCG), and FEMA. • Analytic Capability: Fusion centers must maintain strong analytic capabilities at tactical, operational, and strategic levels to address a wide array of threats or hazards that could have implications for homeland security or national security. These capabilities directly support operational, investigative, and information sharing efforts across all levels of government. These capabilities include, but are not limited to:
o Building and sustaining a capable workforce of analysts who have the necessary experience and training; access to open source, unclassified and classified information, products, data, suspicious activity reporting; tips/leads and online/social media-based threats; as well as necessary services and technology to facilitate analytic capabilities and collaboration;
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Assessing, evaluating, and deconflicting acts of targeted violence, threats to life, and other criminal or suspicious activity, to include potential indicators and behaviors, for potential connection to or implications for international or domestic terrorism, or other threats within the DHS mission space;
Providing analytic support and responses to requests for information from federal, state, and local partners during no notice threats, attacks, or incidents, as well as other planned events such as NSSEs;
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o
Conducting threat assessments within their respective jurisdictions, including the identification of threats, intelligence gaps, and mitigation efforts; Establishing, formalizing, and maintaining bi-directional information sharing with federal and other state agencies in accordance with jurisdictional authorities; Leveraging available resources and capabilities to conduct target and event deconfliction in support of threat identification, officer safety, and information sharing.

Maintaining an ability to routinely support federal government efforts to watchlist terrorists and transnational organized crime actors; and Appropriately planning for, and assessing/forecasting, prioritizing, and executing against both known and emerging threat vectors, and ensuring the safety and security of all operations, while protecting privacy, civil rights, and civil liberties.

Fusion centers should also consider their operational capacity when aligning manpower and resources in support of this capability (e.g., the ability to maintain watch and analytic support functions over a 24/7 operational tempo).
• Technological Integration: Access to data, information, and products is essential for fusion centers and the federal government to effectively identify, collect, analyze, and share information.

Just as threats do not stop at jurisdictional borders, fusion centers must be able to effectively access and share appropriate information and data across jurisdictions, agencies, and disciplines.

Fusion centers must ensure and certify via the Fusion Center Assessment they have the necessary technological capacity to access, analyze, and share information, including criminal intelligence and online/social media threat information, both within their jurisdictions, as well as with other fusion centers across the country and with the Federal Government through a variety of systems, databases, tools, and technologies that allow for federated searching and data/information analysis that protects Personally Identifiable Information and includes appropriate security, privacy, civil rights, and civil liberties protections. This includes maintenance of the ability to collect, integrate, evaluate, and assess SAR, tips/leads, data resident in CAD and RMS, and online/social media-based threats from agencies across the jurisdiction.

Such approaches should also address the evaluation and use of emerging capabilities, including social network analysis, federated search technology across CAD, RMS, and other data systems, City Council HSGP Appendix | 2023 36 – 86 8/20/2024 Page A-25 complex data indexing, social media, open source, facial recognition, unmanned aircraft systems, geographic information systems (GIS), license plate reader technologies, and other artificial intelligence technologies.
• Interagency Collaboration: Fusion centers must maintain strong partnerships to enable intelligence, operational, investigative, and analytic collaboration and deconfliction of threat information with other partners located within their jurisdiction and across their region, including HIDTAs, RISS Centers, DHS intelligence, operational, investigative, and analytic entities, FBI Field Offices, JTTFs, and major city/county intelligence units.

State and urban area fusion centers receiving SHSP or UASI grant funds will be evaluated based on compliance with the guidance and requirements for the National Network as set forth by DHS Intelligence and Analysis (I&A) through the annual Fusion Center Assessment. •
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Additional fusion center grant requirements are listed at http://www.dhs.gov/homeland-securitygrant-program-hsgp.

FEMA approved analyst courses that meet the grant requirement are listed at http://www.dhs.gov/fema-approved-intelligence-analyst-training-courses.

Through the Program Performance Report (PPR), fusion centers will report on the compliance with measurement requirements within the fusion centers through the annual Fusion Center Assessment managed by DHS I&A and reported to FEMA. In addition to the activities identified in the National Prevention Framework, fusion centers are also required to collaborate with those analytic, investigative, and information-sharing entities focused on preventing, detecting, deterring, and disrupting acts of terrorism and combating transnational criminal organizations. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers, as well as other federal intelligence, operational, analytic, and investigative entities. Applicants will be required to provide information regarding their information sharing partnerships, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing, via the Information and Intelligence National Priority Investment and supporting data via the annual Fusion Center Assessment.

Fusion Center Performance Measures
Reference
Number Performance Measures
2023.1 Percentage of federal Information Intelligence Reports (IIRs) originating from fusion center information that address a specific Intelligence Community need 2023.2 Percentage of federal IIRs originating from fusion center information that the Intelligence Community otherwise used in performing its mission (e.g., contained first-time reporting; corroborated existing information; addressed a critical intelligence gap; or helped to define an issue or target)
2023.3 Number of SARs vetted and submitted by fusion centers that result in the initiation or enhancement of an investigation by the FBI
2023.4
2023.5
Number of SAR vetted and submitted by fusion centers that involve an individual on the Watchlist Percentage of Requests for Information (RFIs) from the Terrorist Screening Center (TSC) for which fusion centers provided information for a TSC case file 2023.6 Percentage of I&A Watchlist nominations that were initiated or updated existing case files based on information provided by fusion centers
City Council HSGP Appendix | 2023 36 – 87 8/20/2024 Page A-26 Reference
Number
2023.7
Performance Measures
Number of distributable analytic products co-authored by one or more fusion centers and/or federal agencies
2023.8
2023.9
Percentage of fusion center distributable analytic products that address Homeland Security topics Percentage of fusion center distributable analytic products that address state/local customer information needs
2023.10
2023.11
2023.12
2023.13
2023.14
Percentage of key customers reporting that fusion center products are relevant Percentage of key customers reporting that fusion center services are relevant Percentage of key customers reporting that fusion center products are timely for mission needs Percentage of key customers reporting that fusion center services are timely for mission needs Percentage of key customers reporting that fusion center products influenced their decision making related to threat response activities within their AOR
2023.15
2023.16
2023.17
Percentage of key customers reporting that fusion center services influenced their decision making related to threat response activities within their AOR
Percentage of key customers reporting that fusion center products resulted in increased situational awareness of threats within their AOR
Percentage of key customers reporting that fusion center services resulted in increased situational awareness of threats within their AOR
2023.18
2023.19
Number of tips and leads vetted by the fusion center
Number of tips and leads vetted by the fusion center that were provided to other F/SLTT agencies for follow up action
2023.20
2023.21
2023.22
2023.23
2023.24
2023.25
Number of responses to RFIs from all sources
Number of situational awareness products developed and disseminated by fusion centers Number of case support and/or tactical products developed and disseminated by fusion centers Percentage of federally designated special events in which fusion centers played a direct role Percentage of federally declared disasters in which fusion centers played a direct role Number of public safety incidents in which fusion centers played a direct role Continuity Capability
Continuity should be integrated into each core capability and the coordinating structures that provide them. Continuity capabilities increase resilience and the probability that organizations can perform essential functions in the delivery of core capabilities that support the mission areas. FEMA is responsible for coordinating the implementation and development, execution, and assessment of continuity capabilities among executive departments and agencies. To support this role, FEMA develops and promulgates directives, policy, and guidance for federal and SLTT governments, non-governmental organizations, and private sector critical infrastructure owners and operators. Federal Continuity Directives (FCDs) establish continuity program and planning requirements for executive departments and agencies. This direction and guidance assist in developing capabilities for continuing the essential functions of federal and SLTT governmental entities, as well as public/private critical infrastructure owners, operators, and regulators enabling them.

City Council HSGP Appendix | 2023 36 – 88 8/20/2024 Page A-27 The Federal Continuity Directives and the Continuity Resource Toolkit provide guidance and resources for organizations. For additional information on continuity programs, guidance, and directives, visit https://www.fema.gov/emergency-managers/national-preparedness/continuity.

Governance
In keeping with the guiding principles of governance for all FEMA preparedness programs, recipients must coordinate activities across preparedness disciplines and levels of government, including state, territorial, local, and tribal governments. A cohesive planning framework should incorporate FEMA resources, as well as those from other federal and SLTT entities, the private sector, and faith-based community organizations. Specific attention should be paid to how available preparedness funding sources can effectively support a whole community approach to emergency preparedness and management and the enhancement of core capabilities. To ensure this, the SAA must establish or reestablish a unified Senior Advisory Committee. Additionally, high-risk urban areas are required to establish UAWGs representative of the counties, cities, towns, and tribes within the high-risk urban area, including, as appropriate, representatives of rural jurisdictions, high-population jurisdictions, and highthreat jurisdictions.

Senior Advisory Committee (SAC)
The SAC builds upon previously established advisory bodies under the SHSP, UASI Program, Transit Security Grant Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies that should be included on a SAC include UAWGs, SIGB, Area Maritime Security Committees (AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Whole Community Councils, Disability Inclusion Working Groups, and Ch i l d r e n ’ s W. oThre k i n g G r o u p membership of the SAC must reflect a state’ s u n i q u e r i isntekrestspofrt hoe ffivei mlisesion arenasd t h e as outlined in the Goal. Further, the SAC must include representatives that were involved in the production of the state’ Ts HIRA and SPR.

SAC Composition and Scope
SAC membership shall include at least one representative from relevant stakeholders including:
• Individuals from the counties, cities, towns, and Indian tribes within the state or high-risk urban area, including, as appropriate, representatives of rural, high-population, and high-threat jurisdictions of UASI-funded high-risk urban areas;
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Representatives that were involved in the production of the state’ s State and urban area Chief Information Officers (CIOs) and Chief Information Security Officers (CISOs);
T HanId SRPAR;
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SWIC and SIGB members;
Citizen Corps Whole Community Councils;
Local or tribal government officials;
Tribal organizations;
Emergency response providers, including representatives of the fire service, law enforcement, emergency medical services, and emergency managers;
Public health officials and other appropriate medical practitioners; Hospitals;
Individuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher education; State and regional interoperable communications coordinators, as appropriate; •
•
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City Council HSGP Appendix | 2023 36 – 89 8/20/2024 Page A-28 •
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State and major urban area fusion centers, as appropriate; and Nonprofit, faith-based, and other voluntary organizations, such as the American Red Cross.

Additionally, program representatives from the following entities should be members of the SAC (as applicable): State Primary Care Association, State Homeland Security Advisor (HSA) (if this role is not also the SAA), State Emergency Management Agency (EMA) Director, State Public Health Officer, State A w a r d e e f o r H H S ’ H o s p Si t atteaPulblic SPafretey Opffaicerr (ea ndd SnAeAsfosr JustPicer o g r a m Assistance Grants, if different), State Coordinator for the DoD 1033 Program (also known as the Law , Enforcement Support Office [LESO] Program), State Court Official, State Emergency Medical Services (EMS) Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen Corps Whole Community Council, the State Emergency Medical Services for Children (EMSC) Coordinator, State Education Department, State Human Services Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General.

SACs are encouraged to develop subcommittee structures, as necessary, to address the issue or regionspecific considerations. The SAC must include whole community intrastate and interstate partners as applicable and have balanced representation among entities with operational responsibilities for terrorism/disaster prevention, protection, mitigation, and response activities within the state, and include representation from the stakeholder groups and disciplines identified above.

The above membership requirement does not prohibit states, high-risk urban areas, regional transit and port entities, or other recipients of FEMA preparedness funding from retaining their existing structure under separate programs; however, at a minimum, those bodies must support and feed into the larger SAC. The composition, structure, and charter of the SAC should reflect this focus on building core capabilities, instead of simply joining previously existing advisory bodies under other grant programs. For designated high-risk urban areas, the SAA Point of Contacts (POCs) are responsible for identifying and coordinating with the POC for the UAWG, which should be a member of the SAC. T h e P O C ’ s c o n t a c information must be provided to FEMA with the grant application. SAAs must work with existing highrisk urban areas to ensure that information for current POCs is on file with FEMA.

Finally, FEMA recommends that organizations advocating on behalf of youth, older adults, individuals with disabilities, individuals with limited English proficiency and others with other access and functional needs, socio-economic factors and cultural diversity be invited to participate in the SAC. Applicants must submit the list of SAC members and the SAC charter at the time of application as an attachment in ND Grants. SAAs will use the URT to verify compliance with SAC charter requirements.

SAC Responsibilities
The responsibilities of a SAC include:
•
•
Integrating preparedness activities across disciplines, the private sector, nonprofit, faith-based, and community organizations, and SLTT governments, with the goal of maximizing coordination and reducing duplication of effort;
Creating a cohesive planning network that builds and implements preparedness initiatives using FEMA resources, as well as other federal, SLTT, private sector, and faith-based community resources;
•
•
Management of all available preparedness funding sources to ensure their effective use and to minimize duplication of effort;
Ensuring investments support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA/SPR;
City Council HSGP Appendix | 2023 36 – 90 8/20/2024 Page A-29 •
•
Assist in preparation and revision of the state, regional, or local homeland security plan or the threat and hazard identification and risk assessment, as the case may be; and Assist in determining effective funding priorities for SHSP grants.

SAC Charter
The governance of the SHSP and UASI programs through the SAC should be directed by a charter. All members of the SAC should sign and date the charter showing their agreement with its content and their representation on the Committee. R e v i s i o n s t o t h e g o v e r n i n g c h a r t e r m assigned FEMA HQ Preparedness Officer. The SAC charter must at a minimum address the following:
• A d e t a i l e d d e s c r i p t i o n o f t h e S A C ’ s c o m p o s i t i o including how the SAC is informed by the state’ s uarbanndarea’ s A description of the frequency at which the SAC will meet; How the committee will leverage existing governance bodies; A detailed description of how decisions on programmatic priorities funded by SHSP and UASI are made and how those decisions will be documented and shared with its members and other stakeholders, as appropriate; and
T H/SPIRR; A
•
•
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• A description of defined roles and responsibilities for financial decision making and meeting administrative requirements.

To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness information submitted in a state’ s B S ImRembewrsioft thhe SAC. SAAs are also encouraged to share their THIRA/SPR data with members of the SAC who are applying for other FEMA preparedness grants to enhance their understanding of statewide capability gaps. The charter should be made available upon request to promote transparency in decision-making related to SHSP and UASI activities.

To manage this effort and to further reinforce collaboration and coordination across the stakeholder community, a portion of the 20% holdback of a state or territory award may be utilized by the SAA to support the SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents, protocols, and procedures.

Urban Area Working Group (UAWG)
UASI program implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention, protection, mitigation, and response activities within the region. In some instances, high-risk urban area boundaries cross state borders. States must ensure that the identified high-risk urban areas take an inclusive regional approach to the development and implementation of the UASI program and involve the contiguous jurisdictions, mutual aid partners, port authorities, rail and transit authorities, state agencies, Statewide Interoperability Coordinators, Citizen Corps Whole Community Council(s), and campus law enforcement in their program activities.

UAWG Composition and Scope
Pursuant to section 2003(b) of the Homeland Security Act of 2002 (codified as amended at 6 U.S.C. § 604(b)), eligible high-risk urban areas were determined based on an analysis of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by the Office of Management and Budget (OMB). MSAs are used by FEMA to determine eligibility for participation in the program.

City Council HSGP Appendix | 2023 36 – 91 8/20/2024 Page A-30 Geographical areas queried do not equate to minimum mandated membership representation of an urban area, nor does this guarantee funding for geographical areas queried. UAWGs are not required to expand or contract existing urban area participation to conform to MSA composition. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programssurveys/metro-micro.html.

An SAA must confirm a specific POC with the designated high-risk urban area. The SAA POC is responsible for identifying and coordinating with the POC for the UAWG. This information must be provided to FEMA with the grant application. SAAs must work with existing high-risk urban areas to ensure that information for current POCs is on file with FEMA.

Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined high-risk urban area. It must also be inclusive of local Whole Community Citizen Corps Council and tribal representatives. The UAWG should also include at least one representative from each of the following significant stakeholders:
•
•
•
Local or tribal government officials
CIO and CISO
Emergency response providers, which shall include representatives of the fire service, law enforcement, emergency medical services, and emergency managers Public health officials and other appropriate medical practitioners, including Health Care Coalitions (HCCs)
Individuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher education State and regional interoperable communications coordinators, and state and major urban area fusion centers, as appropriate
•
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In addition to representatives from the local jurisdictions and tribes within the state or high-risk urban area, the UAWG should include officials responsible for the administration of Centers for Disease Control and Prevention’ sCDC() and t h e H H S A s s i s t a n t S e c r e t a r y f o r P r e (ASPR) cooperative agreements. Finally, it must be inclusive of members advocating on behalf of youth, older adults, individuals with disabilities, individuals with limited English proficiency and others with other access and functional needs, socio-economic factors, and cultural diversity.

High-risk urban areas will use the URT to verify UAWG structure and membership. The list of UAWG members must also be submitted at the time of application as an attachment in ND Grants. High-risk urban areas must notify the SAA and the FEMA Headquarters Preparedness Officer of any updates to the UAWG structure or membership after the application is submitted.

UAWG Responsibilities
UAWGs must ensure that applications for funding under the UASI program support building capability, closing capability gaps, or sustaining capabilities identified in the high-risk urban area’ Ts HIRA/SPR.

The UAWG should support state efforts to develop the SPR, particularly as it relates to UASI-funded activities. The UAWG, in coordination with the SAA POC, must develop a methodology for allocating funding available through the UASI program. The UAWG must reach consensus on all UASI funding allocations. If consensus cannot be reached within the 45-day period allotted for the state to obligate funds to subrecipients, the SAA must make the allocation determination. The SAA must provide written documentation verifying the consensus of the UAWG or the failure to achieve otherwise on the allocation of funds and submit it to FEMA immediately after the 45-day period allotted for the state to obligate City Council HSGP Appendix | 2023 36 – 92 8/20/2024 Page A-31 funds to subrecipients. Any UASI funds retained by the state must be used in direct support of the highrisk urban area. States must provide documentation to the UAWG, and FEMA upon request, demonstrating how any UASI funds retained by a state are directly supporting the high-risk urban area.

UAWG Charter
In keeping with sound project management practices, the UAWG must ensure that its approach to critical issues such as membership, governance structure, voting rights, grant management and administration responsibilities, and funding allocation methodologies are formalized in a working group charter, or another form of standard operating procedure related to the UASI program governance. The charter must also outline how decisions made in UAWG meetings will be documented and shared with UAWG members. The UAWG charter must be submitted at the time of application as an attachment in ND Grants and must be on file with FEMA prior to drawing down UASI funding. It also must be available to all UAWG members to promote transparency in decision making related to the UASI program.

Supplemental SHSP and UASI Guidance
Collaboration
Collaboration with Other Federal Preparedness Programs
FEMA strongly encourages states, high-risk urban areas, tribes, and territories to understand other federal preparedness programs in their jurisdictions and to work with them in a collaborative manner to leverage all available resources and avoid duplicative activities. For example, HHS has two robust preparedness programs—CDC’ Ps ublic Health Emergency Preparedness (PHEP) cooperative agreement and ASPR’s Hospital Preparedness Program (HPP) cooperative agreement—that focus on preparedness capabilities.

C D C ’ s 1 5 p u b l i c h e a l t h p r e4 hpeaalthrcaeredprnepaeresdnsess ccapabiplitaiesb i l i t i serve as operational components for many of the core capabilities, and collaboration with the PHEP e s directors and HPP coordinators can build capacity around shared interests and investments that fall in the scope of these HHS cooperative agreements and the HSGP.

States and high-risk urban areas should coordinate among the entire scope of federal partners, national initiatives, and grant programs to identify opportunities to leverage resources when implementing their preparedness programs. These may include but are not limited to: Medical Reserve Corps; Emergency Medical Services for Children grants; ASPR HPP; CDC PHEP; CDC Cities Readiness Initiative; Strategic National Stockpile Programs; EMS; DOJ grants; the Department of Defense 1033 Program (also known as the LESO Pr o g r a m ) ;
Regional Resilience Assessment Program (RRAP). However, coordination is not limited to grant funding.

It also includes leveraging assessments such a Transportation Security A g e n c y ’ s ( T S A ) a n d t h e R e s i l i e n c e D i r e c t o r a t e / O B a s e l i
Assessment for Security Enhancement (BASE), reporting from the Intelligence Community, risk information such as USCG’ Ms aritime Security Risk Analysis Model (MSRAM), and USBP Sector Analysis.

Each SHSP- and UASI-funded investment that addresses biological risk, patient care, or health systems preparedness should be implemented in a coordinated manner with other federal programs that support biological and public health incident preparedness such as those administered by HHS ASPR, CDC, and DOT’ Ns ational Highway Traffic Safety Administration (NHTSA).

Collaboration with Health Care Coalitions (HCCs)
HCCs are regional entities comprised of health care, public health, emergency management, and emergency medical services organizations that plan and respond together, leverage resources, and address City Council HSGP Appendix | 2023 36 – 93 8/20/2024 Page A-32 challenges in health care delivery brought on by public health and medical incidents. Given that many of the risks being mitigated include the potential for a range of mass casualties, including those across the chemical, biological, radiological, nuclear, explosive (CBRNE) spectrum, planning efforts should include the participation of HCCs and should take into account the elements and capabilities articulated in the 2017-2022 Health Care Preparedness and Response Capabilities (https://www.phe.gov/Preparedness/planning/hpp/reports/Documents/2017-2022-healthcare-prcapablities.pdf).

Collaboration with Nonprofit Organizations
SHSP and UASI recipients are encouraged to work with the nonprofit community to address terrorism and all-hazards prevention concerns, seek input on the needs of the nonprofit sector, and support the goals of their investments.

Collaboration with Tribes
FEMA strongly encourages states, high-risk urban areas, and territories to work with tribal nations in overall initiatives, such as whole community preparedness and emergency management planning.

Whole Community Preparedness
SHSP and UASI recipients should engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience. Recipients should consider the three goals of the 2022-2026 FEMA Strategic Plan in their program design and delivery, specifically Strategic Objective 1.3: Achieve equitable outcomes for those we serve, and Goal 3: Promote and sustain a ready FEMA and prepared nation. Recipients should integrate program design and delivery practices that ensure representation and services for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. Individual preparedness must be coordinated by an integrated body of government and nongovernmental representatives as well, including but not limited to, elected officials, the private sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations (including faith-based, community-based, and voluntary organizations), advocacy groups for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations.

FEMA has programming designed to increase the resilience of individual Americans and communities.

Please email [email protected] t o c o n t a c t
guidance and assistance. The following tools, trainings, and products may be ordered directly, free of c h a r g e , f r o m F EhMttpAs:/’/orsders.wg pao.grove/ichpdo/ICuPsD.easpx;amtany of them might be
o n e o f t h e A g e n c y ’ s s u b j
allowable costs, but recipients and subrecipients should ensure that these activities can also help build target capabilities for preventing, preparing for, protecting against, and responding to acts of terrorism.
• Community Emergency Response Team (CERT) programs, which educate volunteers about disaster preparedness for the hazards that may impact their area and train them in basic disaster response skills, such as fire safety, light search and rescue, team organization, and disaster medical operations. CERT offers a consistent, nationwide approach to volunteer training and organization that professional responders can rely on during disaster situations, allowing them to focus on more complex tasks.

City Council HSGP Appendix | 2023 36 – 94 8/20/2024 Page A-33 •
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Financial Resilience: FEMA partners with philanthropic and nonprofit organizations to increase the financial resilience of the public in advance of disasters, including acts of terrorism. Activities include helping the public to organize finances and increasing the understanding of what FEMA assistance can provide. Partnerships with local financial wellness organizations such as credit unions, financial counselors, community banks, and others that reach a variety of audiences are encouraged. The Emergency Financial First Aid Kit (EFFAK) provides individuals, families, and businesses the ability to organize critical financial, medical, and household information. It includes a checklist of important documents and forms to compile your relevant information.

Building Capacity with Community Based Organizations: Community-Based Organizations serve as a critical safety net for Americans disproportionately impacted by disasters, including acts of terrorism. Allowable activities include Whole Community exercises, trainings, and activities focused on staff preparedness; information sharing with clients and government; and continuity of essential functions in the event of an emergency. In 2019, FEMA launched the Organizations Preparing for Emergency Needs Training (OPEN). OPEN includes both a webbased, self-guided training, and a downloadable instructor kit that will guide participants on how to identify risks, locate resources, and take preparedness actions. When Community-Based Organizations, such as food pantries, daycares, and nonprofits, are unable to sustain operations during an emergency incident, individuals who rely on them are exponentially impacted. Because of their importance in keeping the community going, OPEN is designed to empower these organizations to better prepare for incidents. Community-Based Organizations include but are not limited to food banks, food pantries, homeless shelters, school readiness and after school centers, adult day care centers, job training centers, legal assistance centers, and cultural centers.

Preparedness Actions: FEMA curates validated guidance for decision-making (protective actions) for the public in order to increase survival rates and improve disaster recovery, including from acts of terrorism. Recipients may order, free of charge, hazard information sheets on 17 •
•
d i f f e r e n t t y p e s o f t h r e a t s a n d h a z a r d s , t h e “ 1 create an emergency communications plan for a family, and a breadth of depth of other material at https://orders.gpo.gov/icpd/ICPD.aspx.

Youth Preparedness Resources are available on www.ready.gov/kids. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youth-centric educational curricula, games, planning materials, and other relevant resources can be found at www.ready.gov/kids.

The following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs:
o Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor guide and student activity book is available at https://www.ready.gov/student-tools-emergency-planning-step; and o Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response.

Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a step-by-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert.

T h e f o l l o w i n g t o o l s a r e a v a i l a b l e t o o r d e r f r o City Council HSGP Appendix | 2023 36 – 95 8/20/2024 Page A-34 o
o
“ P r e p a r e
“ P r e p a r e
w i t h P e d r o ”
w i t h P e d r o :
i s a j o i n t p r o d u c t o f
D i s a s t e r P r e p a r e d n e s s
children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at https://www.ready.gov/prepare-pedro; and The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency.

Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives:
•
•
•
•
•
Stay Safe;
Stay Calm;
Get Help;
Give Info; and
Give Care.

Ready 2 Help is designed for children ages 8 and up. Additional information, including an ordering form, is available at https://www.ready.gov/ready-2-help.

Supplemental OPSG Program Guidance
OPSG supports enhanced cooperation and coordination among CBP, USBP, and federal and SLTT law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts t o s e c u r e t h e U n i t e d S t a t e s ’ b o r d e r s a l o n g r o u t e s include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. OPSG also further enhances the sharing of threat information and intelligence between federal, state, local, tribal, and territorial law enforcement agencies through the development and sustainment of a capable workforce of analysts that have the necessary experience and training, access to open source, unclassified and classified information, products, data, suspicious activity reporting, tips/leads, and online/social media-based threats, as well as necessary services and technology to facilitate analytic capabilities and collaboration.

SLTT law enforcement agencies will utilize their own law enforcement authorities to support the CBP and USBP border security mission and will not receive any additional authority as a result of participation in the grant. An OPSG award does not provide any additional authority to SLTT law enforcement agencies. More specifically, SLTT law enforcement agencies are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the Immigration and Nationality Act).

SLTT law enforcement agencies are expected utilize their own jurisdictional authority in support of enhanced border security unless some other agreement applies. SLTT law enforcement agencies are further expected to operate within the bounds of all applicable laws, to include federal laws, state statutes, and local laws, policies, and procedures.

OPSG is intended to support border states and territories of the United States in accomplishing the following objectives:
• Increase intelligence and operational capabilities to prevent, protect against, and respond to border security issues;
•
•
Increase coordination and collaboration among federal and SLTT law enforcement agencies; Continue the distinct capability enhancements required for border security and border protection; City Council HSGP Appendix | 2023 36 – 96 8/20/2024 Page A-35 •
•
Provide intelligence-based operations through USBP Sector Level experts to ensure safety and operational oversight of federal and SLTT law enforcement agencies participating in OPSG operational activities;
Support a request to any Governor to activate, deploy, or redeploy specialized National Guard Units/Packages and/or elements of state law enforcement to increase or augment specialized/technical law enforcement elements operational activities; Continue to increase operational, material, and technological readiness of SLTT law enforcement agencies;
Enhance the sharing of threat information and intelligence between federal and SLTT law enforcement agencies; and
Develop and sustain a capable workforce of analysts that have the necessary experience and training, as well as access to open source, unclassified, and/or classified information, products, data, suspicious activity reporting, tips/leads, and online/social media-based threats, and the necessary services and technology to facilitate these analytic activities. •
•
•
OPSG funds must be used to provide an enhanced law enforcement presence and to increase operational and intelligence capabilities of federal and SLTT law enforcement, promoting a layered, coordinated approach to law enforcement within border states and territories of the United States. • Federal and SLTT OPSG Integrated Planning Team (IPT). Federal and SLTT partners must establish and maintain a formalized OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating law e n f o r c e m e n t a g e n c i e s ’ O P S G p r o g r a m r e p r e s e n t a t •
•
No fewer than two IPT meetings must take place during every funding year:
o
o
Prior to submitting the Concept of Operations (application) Prior to submitting the Campaign Plan
OPSG funds may be used for travel and per diem in support of the IPTs and OPSG strategic planning events as long as the costs are otherwise compliant with other program and regulatory requirements.

Coordination Requirements
All operational plans should be crafted in cooperation and coordination among federal and SLTT partners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the USBP Sector Headquarters with geographic responsibility for the a p p l i c a n t ’ s l o c asutbmi itotinng aniOpneratido nes Ovr dee rl woithpani enmbgeddead bnuddget to the SAA. OPSG funds must be used to provide increased operational capabilities to SLTT partners in support of enhanced border security through:
•
•
•
Enhanced Law Enforcement Presence;
Enhanced Situational Awareness; and
Enhanced Intelligence Collection and Distribution.

After awards are announced, prospective recipients will re-scope the draft Operations Order and resubmit it as a final Operations Order with an embedded budget based on actual dollar amounts awarded. The appropriate Sector Headquarters will approve final Operations Orders and forward those orders to Headquarters, Office of Border Patrol, Washington, DC, before funding is released. Recipients may not begin operations, obligate, or expend any funds until FEMA and USBP Headquarters have approved the final Operations Order and the embedded budget and removed any existing special conditions and/or restrictions.

City Council HSGP Appendix | 2023 36 – 97 8/20/2024 Page A-36 Transportation Costs and Costs Related to the Provision of Acute Medical Care Vehicle, fuel, mileage, operational overtime, and other types of costs otherwise allowable under an OPSG a w a r d ’ s H S G P N O F O a r e a l l o w a b l e w h e r e t h e c o s t s a individuals interdicted while carrying out allowable OPSG-funded activities or operations from the point of interdiction to an applicable law enforcement facility.

When transporting individuals interdicted in the course of carrying out allowable OPSG-funded activities or operations from the point of interdiction, non-Federal entities may charge vehicle, fuel, mileage, o p e r a t i o n a l o v e r t i m e , a n d o t h e r t y p e s o f c o s t s o t associated with necessary transportation to provide acute medical care for individuals being transported from the point of interdiction. In such cases, non-Federal entities may also charge operational overtime for personnel that monitor a detained individual receiving acute medical care where the individual remains in the custody of the non-Federal law enforcement agency. Costs incurred beyond the acute phase of medical care (e.g., upon admission to the hospital, or after transfer from an acute care facility to the hospital) and costs incurred once the custodial responsibility of the individual is transferred to CBP are not allowable under OPSG.

Costs described above are allowable regardless of what entity or agency initially makes the interdiction.

Personnel costs incurred by non-Federal law enforcement agencies eligible under OPSG (including deputies, corrections officers, or detention officers) for costs described above are allowable.

OPSG Operations Order Template and Instructions
Operations Order Template Instructions
To access the OPSG Operations Order Template:
•
•
•
Find the Homeland Security Grant Program posting via the search function on Grants.gov; Select the Related Documents tab on the posting; and
Click on the OPSG Operations Order Template and fill out all sections of the template.

Executive Summary Overview
Operations Order Executive Summary
Operations Order Executive Summary must:
•
•
Identify the organization name, point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction (typically this will be a program lead or manager overseeing operations and individuals assigned to that agency); and Describe how federal and SLTT law enforcement agencies will work together to establish and enhance coordination and collaboration on border security issues.

Budget Requirements Overview
Operations Order Detailed Annual Budget must:
•
•
Explain how costs and expenses were estimated; and
Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included.

Submission Requirements
Operations Orders must meet the following submission requirements:

City Council HSGP Appendix | 2023 36 – 98 8/20/2024 Page A-37 •
•
Must be submitted as an Adobe PDF document;
All documents submitted must use the unique identifier created by the OPSG data management system from the original associated operation order; and • Applicable OPSG sector representatives must coordinate with the SAA and OPSG participants to submit an accurate inventory of all specified OPSG purchased property with each Operations Order/FRAGO.

Due to the competitive nature of this program, separate attachments will neither be accepted nor reviewed.

OPSG Operational Guidance
This section provides operational guidance to OPSG applicants on the development of a concept of operations and campaign planning, the tactical operation period, and reporting procedures. This guidance also delineates specific roles and responsibilities, expectations for operations, and performance measures.

Successful execution of these objectives will promote situational awareness among participating agencies and ensure a rapid, fluid response to emerging border-security conditions.

OPSG uses an integrated approach to address transnational criminal activity. Federal and SLTT partners are required to establish and maintain an OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating local law e n f o r c e m e n t a g e n c i e s t’ives.OE aPc hSo pGeratiponraloordge rr waillmaddrressesppecrifiec s e threats, gaps, and vulnerabilities identified by the USBP. All requests in the operational plan will be n t a reviewed and approved by the corresponding sector's Chief Patrol Agent or his/her designee for border security value. USBP will provide routine monitoring and technical expertise to each participating agency. The content of each operational plan, to include the requested items will be reviewed for bordersecurity value and approved by the corresponding se c t o r ’ s C h i e f P a t r o l A g e n t o r All operational plans should be crafted in cooperation and coordination with federal and SLTT partners to meet the needs of the USBP Sector. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the CBP/USBP Sector Headquarters w i t h g e o g r a p h i c r e s p o n s i b i l i t y f o r t h e a p p l i c a n t ’ Order with an embedded budget to the SAA. Operations are to be crafted so that resources are allocated to one or more of the supportable categories:
1) Law Enforcement Presence;
2) Situational Awareness; and/or
3) Intelligence Collection, Analysis, and Distribution.

City Council HSGP Appendix | 2023 36 – 99 8/20/2024 Page A-38 Law Enforcement Presence includes activities and costs associated to having an SLTT partner provide a law enforcement patrol presence in an area designated by the USBP Sector in support of border security efforts. Situational Awareness includes technology to provide current and immediately relevant information about currently active border security threats. Intelligence Collection and Distribution includes both technology and manpower related to the gathering and analysis of intelligence with a nexus to border security.

The terms of an OPSG award do not extend to an SLTT partner any authority to enforce additional laws, statues, or regulations beyond their own authorities; SLTT partners are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the INA). Participation in the grant does not grant participants the power to operate outside of their own jurisdictional boundaries.

Concept of Operations and Campaign Planning
Post-Allocation Announcement/Pre-Award
The overarching operational cycle involves three stages: 1) application; and 2) concept of operations to formulate a Campaign Plan, which are all developed by the IPT. All Operations Orders: Concept of Operations (CONOPS), Operation Orders (OO) or Campaign Plans and FRAGOs shall be submitted through the CBP Stonegarden Data Management System. All OPSG grant Application packages shall be submitted to the SAA for entry into Grants.gov.

Application: Please refer to the current fiscal year’ Hs SGP NOFO and relevant information in this Manual.

Campaign Plan: After awards are announced, participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized-budgetary intent to their IPT.

T h e c a m p a i g n p l a n s h o u l d a r-tetrmi bcorudelr seac utritey obtjechtivees anpd a r t i c i goals designed to mitigate border-security risk. p a
Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that OPSG usage is commensurate to the unique risk of each border region. This may require several short-term operations that combine to form an ongoing operational cycle, ensuring that USBP commanders and SLTT agency partners reserve the flexibility to respond to the ever-changing elements of border security.

The operations plan also will articulate the budgetary intent of how funds are to be used throughout the performance period. The operations plan will project planned expenditures in the following categories:
overtime, equipment, travel, maintenance, fuel, and administrative funds. The subrecipient can initiate the procurement of equipment as well as state how much the county intends to use for M&A while keeping funds for overtime or residual equipment funds available for use as needed. If the subrecipient intends to spend more than 50% of its award on overtime over the course of the performance period, a PRICE Act waiver request must be submitted in accordance with the policy initially outlined in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding. The operations plan will meet both the SAA expectations to obligate the funds within 45 days of the award a n n o u n c e m e n t a n d t h e d e m a n .dSesctor oapfprovtedhcaempagignr pal annstm’ussto p e r a be submitted to USBP Headquarters no later than four months after the official awards announcement has been made.

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 F E MA ’ s p r i o r w r i t t e n a p p r o v a l , i n a c c o r d a n c e w i t h City Council HSGP Appendix | 2023 36 – 100 8/20/2024 Page A-39 In the event that changes must be made to the original operational plan, such as additional funding requests or other changes to the original scope or objectives, a FRAGO must be submitted in HSIN to o b t a i n F E MA ’ s p r i o r w r iintactcoredannce wa i tph 2p Cr.Fo.Rv. §a20l0.30o8(cf)(1).s u c h c h a These modifications will be annotated in the annex section of the FRAGO. n Operational Execution
In the event that changes or additional funding requests to the original operational order must be made, a FRAGO will be created. These modifications will be annotated in the annex section of the FRAGO.

Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and intelligence-driven planning is critical to conducting targeted enforcement operations consistent with the objectives of the OPSG. By participating in the OPSG, the state, local, tribal, and territorial agencies agree to conduct operations designed to reduce border-security risk.

Operations are composed of six critical elements: 1) a pre-planning meeting with the IPT; 2) specified beginning and ending dates; 3) the integration of intelligence and border security; 4) use of targeted enforcement techniques; 5) clearly stated objectives; and 6) an after-action meeting. These operations require deliberate on-going planning to ensure command, staff, and unit activities synchronize to current and future operations. The cyclical nature of the process will ensure OPSG activities align with the fluctuating border-security threats and vulnerabilities. The IPT should leverage information provided by the fusion center, Border Intelligence Centers, or other local intelligence center, when possible, and establish a common operational vision.

The USBP S e c t o r ’ s C h i e f P a t r o l A g e n t , o r h i s / h e r d e s i g intelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security value, driving the focus of operations. Once intelligence-driven targets are identified, the IPT will decide on operational objectives that reflect the intended impact of operations. The objectives should outline how the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal organizations.

Each operational period will begin on a predetermined date and end on a predetermined date, but the dates may be subject to change commensurate with emerging security conditions. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved by the corresponding USBP Sector and in concurrence with its SAA and USBP Headquarters.

The USBP Sectors will upload copies of operations order in the corresponding folder in the CBP Stonegarden Data Management System.

Reporting Procedures
Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how the state, loca l a n d t r i b a l a g e n c i e s ’ o p e r a t i o n s h a v e i m p a threat or vulnerability and the overall reduction of risk. Reporting will focus on monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations. To ensure consistent reporting each state, local, and tribal agency will identify a single point of contact to represent their agency as a member of the IPT and to coordinate the submission of reports or execute other aspects of the grant.

The Daily Activity Report (DAR), which can be found by selecting the link for the current fiscal year HSGP NOFO on F E MAp’resparedness grants page (https://www.fema.gov/homeland-security-grantprogram) to be used to submit the ongoing results and outputs from OPSG operations conducted. The information and statistics included in the DAR will be delineated by agency (friendly forces). The DAR m u s t b e s u b m i t t e d t o t h e U S B P s e c t o r o r hotursh e p a r t i City Council HSGP Appendix | 2023 36 – 101 8/20/2024 Page A-40 of the conclusion of each OPSG shift. Subrecipients and Sectors are responsible to ensure that DARs are submitted in the proper format and in a timely manner. DARs will be submitted using the CBP Stonegarden Data Management System. Friendly Forces receiving funding through a subrecipient will submit DARs within 48 hours. Border Patrol Sectors and OPSG subrecipients will implement internal protocols to ensure operational data from subrecipients and friendly force DARs are properly collected following the established guidelines.

In addition to the ongoing reporting of outputs, subrecipient participants will be required to submit AARs to USBP sectors within 10 days of closing the operational POP for that funding year. The AAR should carefully articulate outcomes and outputs as well as how the results of the operation compare with the objectives identified during the pre-planning meeting. Failure to submit the AAR in a timely manner may prevent the approval of future operations requests. All AARs and other OPSG reporting requirements will be submitted through the CBP Stonegarden Data Management System. Sectors are responsible for submitting AARs into Border Patrol Enforcement Tracking System (BPETS) as applicable.

Operational Roles and Responsibilities
To achieve unity of effort, it is essential that each participant know the roles and responsibilities within the IPT. T h e U S B P s eP actrot l oAgre n’t, osr hisC/hehr idesei gfnee, will:
•
•
Coordinate and chair the area IPT’ s m e ; e t i n g s
Coordinate with all interested and eligible SLTT a g e n c i e s the open period of the OPSG application process by:
i n t h e s e c t o r ’ s a r
o Assisting applicants in completing the operations planning portion of the application, which is like the Operations Order used by the USBP;
o Forwarding the approved operation portion of the application to CBP/USBP Headquarters as well as to the SAA to complete the application process set by FEMA; and
o Detailing what operational support the USBP Sector anticipates for specific periods and matching the capabilities of partners to fill those gaps. • Following the announcement of grant awards, coordinate and chair a meeting with SLTT agencies that received OPSG awards to develop an individualized campaign plan. This includes:
o Working with SLTT agencies, along with other federal law enforcement agencies to determine the dates, focus, and needs of each operational period, ensuring that each operation has a nexus to border security;
o Receiving the first periodic operations order from the SLTT agencies and ensuring that the operation is conducted as outlined in the Campaign Planning section; Monitoring and supporting the Operational Cycle throughout the performance period Ensuring the DAR and the AAR are submitted by state, local, and tribal agencies in the proper format and within the established timeframes;
o
o
o
o
Providing instruction, when possible, to state, local, and tribal agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area; Providing a single point of contact to participants as a subject-matter expert in OPSG that can coordinate, collect, and report operational activities within the established reporting procedures;
o
o
Providing verification that operations are conducted;
Documenting and conducting random, on-site operational verification of OPSG patrols by subrecipients and friendly forces;
o Verifying that subrecipients are performing OPSG enforcement duties in accordance with the applicable grant, statute, and regulatory guidance and instructions; and City Council HSGP Appendix | 2023 36 – 102 8/20/2024 Page A-41 o Ensuring that grant funds are appropriately expended to meet sector border enforcement operational requirements and assist in enhancing subrecipient/friendly force capabilities to provide for enhanced enforcement presence, operational integration, and intelligence sharing in border communities.

The state, local or tribal agency lead, or their designee, will:
• Coordinate with the SAA on all grant management matters including but not limited to the development and review of operations orders, expenditure of funds, allowable costs, reporting requirements;
•
•
•
Upon receiving a grant award, coordinate and meet as a member of the IPT to develop an individualized campaign plan that covers the length of the grant performance period; Work within the IPT to develop an initial Operational Cycle and determine the duration of the first operational period based on the tactical needs specific to the area; Submit all operations orders for review and submit the operations order to the Border Patrol and ensure the operation meets the six criteria established in the Operations Section:
o
o
o
Conduct operations on an as-needed basis throughout the length of the grant performance period;
Integrate law enforcement partners from contiguous counties and towns into their tactical operations to expand the layer of security beyond existing areas; Ensure all required reports, including reports from friendly forces, are submitted to the Border Patrol and the SAA, when applicable, in the proper format and within established timeframes;
o
o
o
Ensure applicable OPSG-derived data is shared with the designated fusion center in the state or high-risk urban areas;
Ensure applicable intelligence is shared with the designated fusion center in the state and/or high-risk urban areas;
Request instruction and information from the SAA, when applicable, and/or USBP and other federal law enforcement agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area;
o
o
Provide the SAA and USBP a single point of contact that maintains subject-matter expertise in OPSG who can coordinate, collect, and report operational activities within the established reporting procedures; and
Assist as required with the coordination, management, and operational aspects of the grant.

The SAA will:
•
•
Actively engage in the IPT meetings;
Work in direct coordination and communication with the local or tribal agency lead on all grant management matters;
•
•
•
•
Review all operations orders created by the local or tribal agency; Acts as the fiduciary agent for the program and provide expertise in state policy and regulations; Enter into a subaward agreement to disburse the allocated funding awarded through FEMA; Generate biannual reports to F E MA c a p t u r i n g t h e s sandu ebxpre neditcuries pofi e n t s ’ funds;
o
•
•
D e t e r m i n e
established 36-month period;
Conduct audits of the program to ensure that the subrecipients are following program guidance; and
i f t h e g r a n t ’ s p e r f o r m a n fcedeerallyp e r i o d r e City Council HSGP Appendix | 2023 36 – 103 8/20/2024 Page A-42 • Assist as required with the coordination, management, and operational aspects of the grant.

Definitions (OPSG only)
Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal organizations in furtherance of their criminal activity.

Border-security related crime: Any action or enterprise that constitutes an offense which is punishable by law:
• That results in a favorable environment for criminal enterprise network, transnational criminal, or terrorist organizations; the smuggling/trafficking of humans, contraband, narcotics, or weapons of mass destruction across or in proximity to the U.S. border or; •
•
That has a direct nexus to illicit cross-border activity; and For which prosecution would serve established border security goals as outlined by the CBP for a whole of community approach.

Campaign Plan: The first Operational Order based on the CONOP aimed at accomplishing a strategic or operational objective within a given time and space.

Concept of Operations (CONOP): A written statement that clearly and concisely expresses what the State, local, or tribal commander intends to accomplish and how it will be done using available resources (and funding). It is also the operational equivalent of the OPSG grant application.

Fragmentary Order (FRAGO): A fragmentary order is a modification of the approved campaign plan, reflecting changes to the scope or objective pursuant to 2 C.F.R. § 200.308(c)(1). After an operation order h a s
approval. S u b s e q u e n t
with the requirements of 2 C.F.R. §§ 200.308, 200.407.
b e e n a p p r o v e d , a n y c h a n g e s
a r e p e r m i s s aippbrovlale, co, nsisstenut b j e c t
t o a c a m p a i g n p l a n
F R A G O s t o
Friendly Forces: Local law enforcement entities with whom OPSG subrecipients provide funding to support border security operations.

Integrated Planning Team (IPT): Group that coordinates on all aspects of OPSG application, planning, and de-briefings.

Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities intended to synchronize current and future operations (driven by current intelligence and short-term goals that support the campaign).

Operational Discipline: The organized manner in which an organization plans, coordinates, and executes the OPSG mission with common objectives toward a particular outcome.

Operation/Operational Order (OO): A formal description of the action to be taken to accomplish or satisfy a CONOP, Campaign Plan, or FRAGO. The OO includes a detailed description of actions to be taken and required logistical needs to execute an operation.

Opioid Receptor Antagonists: Any medically approved drug or medical substance that can be utilized by first responder personnel in an emergency situation that is designed to counteract the effects of an opioid overdose.

City Council HSGP Appendix | 2023 36 – 104 8/20/2024 Page A-43 Performance Measure: A numerical expression that quantitatively conveys how well the organization is doing against an associated performance goal, objective, or standard.

Risk: Potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence.

Targeted Enforcement: The leveraging of all available assets against a specific action, area, individual, or organization and using those deemed most appropriate to mitigate risk.

Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by transnational criminal organizations to advance their criminal activity.

Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources, the overall context, a specific event or series of events, or observation of suspicious activity.

Tier: Tier refers to the geographical location of a municipality, county, or tribe with respect to the United States national border, i.e., Tier 1 is a county located on the border; a Tier 2 county is a county contiguous to a Tier 1 county; and a. Tier 3 is a county not located on the physical border but is a contiguous to a Tier 2 county.

Unity of Effort: Coordination and cooperation among all organizational elements, even though they may not be part of the same command structure, to achieve success.

Vulnerability: The protective measures in place are less than the protective measures needed to mitigate risk.

HSGP Supplemental Material
FEMA collaborates with various subject-matter experts and acknowledges the value and expertise these Federal partner agencies provide to help shape the development and implementation of the HSGP. This continued partnership and collaboration helps provide recipients with the greatest number of resources required to effectively manage and implement funds as well as promotes transparency. Therefore, FEMA is providing hyperlinks to information on various subjects and policies that are relevant to the mission and intent of the FEMA and its preparedness grant programs.

Chemical, Biological, Radiological, and Nuclear (CBRN) Detection The Countering Weapons of Mass Destruction (CWMD) Office is a support component within DHS established in December 2017 to counter attempts by terrorists or other threat actors to carry out an attack against the United States or its interests using a weapon of mass destruction. The CWMD Office provides guidance to improve national coordination on CBRN issues and works with federal and SLTT agencies to ensure operators have better access to current data and subject matter expertise they need. The National Preparedness Assessments Division at FEMA offers implementation support on the THIRA/SPR for SLTT partners and the CWMD Office offers technical assistance to provide guidance to SLTT partners seeking to address CBRN threats and to build or sustain CBRN detection and response capabilities. For more information or assistance, please contact [email protected].

National Information Exchange Model (NIEM)
NIEM is a common vocabulary that enables efficient information exchange across diverse public and private organizations. NIEM can save time and money by providing consistent, reusable data terms and definitions and repeatable processes. To support information sharing, all recipients of grants for projects City Council HSGP Appendix | 2023 36 – 105 8/20/2024 Page A-44 implementing information exchange capabilities are required to use NIEM and to adhere to the NIEM compliance rules. Go to https://niem.gov/ for guidance on how to utilize FEMA award funding for information sharing, exchange, and interoperability activities.

The NIEM Emergency Management domain supports emergency-related services (including preparing first responders and responding to disasters), information sharing, and activities such as homeland security and resource and communications management. The NIEM Emergency Management domain has an inclusive governance structure that includes federal, state, local, industry, and, where necessary, international partnerships. The NIEM Emergency Management domain is committed to community support via technical assistance and NIEM training. For more information on the NIEM Emergency Management domain, to request training or technical assistance or to just get involved, go to https://niem.gov/EM.

Infrastructure Resilience Planning Framework (IRPF)
State, local, tribal, and territorial (SLTT) governments are faced with complex long-term decisions, limited sources of revenue, and changing populations. CISA developed the IRPF as a resource for SLTT planners. The IRPF provides a process and a series of tools and resources for incorporating critical infrastructure resilience considerations into planning activities. The IRPF can be used to support capital improvement plans, hazard mitigation plans, or other planning documents, as well as funding requests.

For more information, see Infrastructure Resilience Planning Framework (IRPF) (cisa.gov).

Integrated Public Alert and Warning System (IPAWS)
The current IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on eligible public alert and warning activities and equipment standards for prospective SLTT recipients. The intent of this document is to promote consistency in policy across federal grant programs and to ensure compatibility among federally funded projects. For more information on the IPAWS, go to https://www.fema.gov/informational-materials.

Homeland Security Information Network (HSIN)
HSIN is a user-driven, web-based, information sharing platform that connects all homeland security professionals including the DHS and its federal, state, local, tribal, territorial, international, and private sector partners across all homeland security mission areas. HSIN is used to support daily operations, events, exercises, natural disasters, and incidents. To support user mission needs, HSIN provides three sets of services for secure information sharing. The first service provides a shared place for communities to securely collaborate on homeland security issues and includes core functions such as a web conferencing and instant messaging tools with white boarding, video, and chat services for real-time communication and situational awareness. The second set provides secure dissemination and sharing capabilities for homeland security alerts, reports, and products. The third set allows users to access and query a variety of shared data and services from all homeland security mission areas and trusted federal partners. Preparedness grant funds may be used to support planning, training and development costs associated with developing and managing, mission critical, HSIN communities of interest and sites. Learn more about HSIN at HSIN HSGP Guidance | Homeland Security (dhs.gov).

SLTT Cybersecurity Engagement Program
CISA is responsible for enhancing the security, resilience, and reliability of the Natio n ’ s c y b e r a n d communications infrastructure. CISA works to prevent or minimize disruptions to critical information infrastructure to protect the public, the economy, and government services. CISA leads efforts to protect the Federal “ . g o v ” d o imanag oi v enrnmoentf netwcoriksva nid lto collaborate with the private sector— t h e “ . c o —mto” incrdeaosemtheasei cunrity of critical networks.

City Council HSGP Appendix | 2023 36 – 106 8/20/2024 Page A-45 The DHS SLTT Cybersecurity Engagement Program within CISA was established to help non-federal public stakeholders and associations manage cyber risk. The program provides appointed and elected SLTT government officials with cybersecurity risk briefings, information on available resources, and partnership opportunities to help protect their citizens online. Through these and related activities, the program coordinates DHS’ s c y b e r s e c u r i t y e f f o r t s w i t h i t s S L T T cyber interests. More information on all of the CISA resources available to support SLTT governments is available at Resources | CISA.

Framework for Improving Critical Infrastructure Cybersecurity 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 “ F r a m e w o r k ” ) d e v e l o p e d b y t h e N a t i o n a l I n s t i t u t e 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.

CISA’ Cs ritical 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 Critical Infrastructure Cyber Community C³ Voluntary Program | CISA.

D H S ’ s
protecting U.S.-based public and private entities and combines key elements of capabilities under the “ D e t e c t ” a n d “ P r o t e c t ” f u n c t i o n s outtc oomes odf ethel i v e r E n h a n critey dServiCcesy (EbCeS)rp rsogeramc uis an example of a resource that assists in
a n i m
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 b l o c k c e r t a i n t y p e s o f m a l i c i o u s t r a f f i c f r o m e n t subscribing to ECS must contract directly with a CSP in order to receive services. Please visit Enhanced Cybersecurity Services (ECS) | CISA for a current list of ECS CSP points of contact.

Regional Resiliency Assessment Program (RRAP)
The RRAP is a cooperative assessment of specific critical infrastructure within a designated geographic area and a regional analysis of the surrounding infrastructure that address a range of infrastructure resilience issues that could have regionally and nationally significant consequences. These voluntary, non-regulatory RRAP projects are led by the Infrastructure Security Division and are selected each year by DHS with input and guidance from federal, state, and local partners. For additional information on the RRAP, visit Regional Resiliency Assessment Program | CISA.

Law Enforcement Support Office (LESO), or 1033 Program
The LESO facilitates a law enforcement support program, which originated from the National Defense Authorization Act of Fiscal Year 1997. This law allows the transfer of excess Department of Defense property that might otherwise be destroyed by law enforcement agencies across the United States and its territories.

City Council HSGP Appendix | 2023 36 – 107 8/20/2024 Page A-46 No equipment is purchased for distribution. All items were excess that had been turned in by military units or had been held as part of reserve stocks until no longer needed. Requisitions cover the gamut of i t e m s u s e d b y ―Acmloethirngia ncd aoff’ices suppmliies,ltoiolst, aan dr reyscue equipment, small arms, and more. There is no fee for the equipment itself, however, the law enforcement agencies are vehicles, responsible for the shipping costs.

For additional information on the LESO, please visit:
http://www.dla.mil/DispositionServices/Offers/Reutilization/LawEnforcement.aspx.

Supplemental Emergency Communications Guidance
Lessons learned from recent major disasters, unplanned events, and full-scale exercises have identified a need for greater coordination of emergency communications among senior elected officials, emergency management agencies, and first responders at all levels of government. Federal responders arriving on the scene of a domestic incident are not always able to communicate with SLTT response agencies, as well as key government officials. State and local first responders sometimes experience similar problems, particularly when the incident requires a multi-agency, regional response effort or when primary communications capabilities fail. This lack of operability and interoperability between federal and SLTT agencies―further complicated by problems with communications survivability and resilience―has hindered the ability to share critical information, which can compromise the unity-of-effort required for an effective incident response.

Departments and agencies at all levels of government have identified a need for improvement in a number of high-priority areas, including Governance, Planning, Training and Exercises, Operational Coordination, and Technology. In addition, communications resilience and continuity should be viewed as a critical component within each of these areas. These priorities are explained in detail in Section 2 of the SAFECOM Guidance. By addressing these priorities, which are reflective of proven best practices, emergency communications can be significantly improved at all levels of government. The end goal is to ensure operable, interoperable, and resilient communications that maintain a continuous flow of critical information, under all conditions, among multi-jurisdictional and multi-disciplinary emergency responders, command posts, agencies, critical infrastructure sectors, and government officials for the duration of an emergency response operation, and in accordance with NIMS and the National Emergency Communications Plan, which describes goals and objectives for improving emergency communications nationwide.

To help meet this goal, the SAFECOM Guidance outlines requirements for grant applications, including alignment to national, regional, and state communications plans (e.g., NECP, Statewide Communication Interoperability Plan (SCIP), Tactical Interoperability Communications Plan (TICP), FEMA Regional Emergency Communications Plan (RECP)), project coordination, and technical standards for emergency communications technologies. SCIPs define the current and future direction for interoperable and emergency communications within a state or territory, while TICPs are designed to allow urban areas, counties, regions, states/territories, tribes, or federal departments/agencies to document interoperable communications governance structures, technology assets, and usage policies and procedures. In addition, F E MA ’ s f o r m a l p l a n n i n g p r o c e s s tedh satatse andp/orr o d u c e d 1 0 R E tribal/territorial annexes that identify emergency communications capability shortfalls and potential resource requirements. Grant recipients are encouraged to leverage these planning resources as a source of input and reference for all emergency communications grant applications and investment justifications.

In addition, FEMA formally recognizes several statewide emergency communications governance bodies (e.g., SWIC, SIGB, Statewide Interoperability Executive Committee (SIEC), FirstNet State Single Point of Contact (SPOC)), and strongly encourages grant recipients to closely coordinate with these entities City Council HSGP Appendix | 2023 36 – 108 8/20/2024 Page A-47 when developing an emergency communications investment to ensure projects support the state or t e r r i t o r y ’ s s t rcoamtmuen igcatyionstcaopabilitiems wp itrh tohevg oeal oft achhiee viingr fully operable,
interoperable, and resilient communications. In addition, grant applicants should work with public and private entities, and across jurisdictions and disciplines, to demonstrate engagement with the Whole Community in accordance with Presidential Policy Directive-8 (PPD-8).

For regional, cross-border initiatives, FEMA requires applicants to coordinate projects with national level emergency communications coordination bodies, such as the National Council of Statewide Interoperability Coordinators (NCSWIC) and the Regional Emergency Communications Coordination Working Groups (RECCWGs). The NCSWIC promotes and coordinates state-level activities designed to ensure the highest level of public safety communications across the nation. RECCWGs are congressionally mandated planning and coordination bodies located in each FEMA Region and provide a collaborative forum to assess and address the survivability, sustainability, operability, and interoperability of emergency communications systems at all levels of government. Grant-funded investments that are coordinated with these bodies will help ensure that federally funded emergency communications investments are interoperable and support national policies.

Resilient Communications Guidance
Nothing better demonstrates a modern nation than its ability to effectively communicate. The risk imposed by the reliance on communication systems by government and the private sector can be reduced by understanding dependencies, analyzing effects, and taking action. Entities planning to use HSGP funding for communications investments are encouraged to work with state emergency management agencies, SWICs, SIGBs, and appropriate stakeholders at the regional, state, local, territorial, and tribal levels to:
•
•
Establish robust, resilient, reliable, and interoperable communications capabilities. Account for the mission impact of communication system disruptions in your planning; Ensure mission-related communications (voice, video, data, and network security requirements) are adequately planned for and understood. It is important to maintain current documentation of your communication systems architecture and perform regular audits. Your ability to continue operations is dependent on the availability of and access to communications systems with sufficient resiliency, redundancy, and accessibility to perform essential functions and provide critical services during a disruption;
• Ensure critical communication systems connectivity among key government leadership, internal elements, other supporting organizations, and the public under all conditions. As such, organizations should ensure current copies of vital records, including electronic files and software, are backed-up and maintained off-site;
•
•
Ensure all communications systems/networks are traced from end to end to identify all Single Points of Failure (SPF). In doing so, grantees should work with communication service providers to add redundancy at key critical infrastructure facilities as needed; Ensure key communication systems resiliency through:
o
o
o
o
o
Ensuring availability of backup systems;
Ensuring diversity of network element components and routing; Ensuring geographic separation of primary and alternate transmission media; Ensuring availability of back-up power sources;
Ensuring availability and access to systems that are not dependent on commercial infrastructure;
o
o
Maintain spares for designated critical communication systems; and Work with commercial suppliers to remediate communication Single Points of Failure. • All communications system owners are encouraged to address the following issues:

City Council HSGP Appendix | 2023 36 – 109 8/20/2024 Page A-48 o
o
Integrate communications needs into continuity planning efforts by incorporating mitigation options to ensure uninterrupted communications support; Establish a cybersecurity plan that includes continuity of a communications component such as Radio Frequency (RF)-based communications that do not rely on public infrastructure;
o
o
o
o
Maintain communications capabilities to ensure their readiness when needed; Frequently train and exercise personnel required to operate communications capabilities Test and exercise communications capabilities; and
Consider Electromagnetic Pulse (EMP) protective measures for communications systems where practical.

DHS/FEMA Communications Support Services
CISA and FEMA offer a variety of technical assistance and other support services to assist state and local entities in their efforts to comply with the above requirements, including the SAFECOM Guidance, with the goal of ensuring interoperable and resilient emergency communications. A summary of DHS/FEMA support services is provided below. Grant recipients are encouraged to refer to the respective websites for additional information.

CISA Support:

CISA assists agencies through a myriad of services, including direct TA and training provided at no cost to the jurisdiction. The TA offerings include (but are not limited to):
•
•
Coordinated statewide governance (e.g., State Mapping Tool, Interoperable Communications Reference Guides);
Comprehensive emergency communications planning (e.g., SCIPs, TICPs, and Field Operations Guides);
•
•
•
•
•
•
Next Generation 911 planning and implementation;
Data operability and interoperability;
Alerts and warnings;
Broadband deployment;
Cybersecurity education and awareness; and
Communications Unit (COMU) planning and procedures.

Information on these services is available at https://www.cisa.gov/safecom/ictapscip-resources and https://www.cisa.gov/interoperable-communications-technical-assistance-program.

FEMA Disaster Emergency Communications Division (DEC) Support:

The DEC, within FEMA H e a d q u a r t e r s ’ R heass dpeveolonpesd SetateDCoimrmuen iccatioonsr a t e , Annexes for all 56 states and territories. DEC provides technical assistance, coordinated through the FEMA Region’ Rs egional Emergency Communications Coordinator (RECC) in scheduling with the states and territories for major updates to the Annexes. Major updates are scheduled on a 3 to 5-year cycle. FEMA DEC supports the major update with a team of communications and emergency management specialists that facilitate a process of interaction with state representatives. This process is coordinated through the SWIC or state designated representative. All documentation is the responsibility of the FEMA support team and validated through state interaction.

Minor yearly updates to the State Annexes are accomplished through the RECCWG process. FEMA DEC support staff, working in coordination with the region-specific RECC, incorporate pertinent update information provided by state and local representatives. Additionally, operational information identified through exercises and incident response activities is a source of update data. The FEMA RECC, with the City Council HSGP Appendix | 2023 36 – 110 8/20/2024 Page A-49 support of the DEC team, is responsible for maintaining the State Annexes ― changes and modifications to the Annexes are validated with the state through RECC coordination with the SWIC or designated state representative.

FEMA National Preparedness Directorate (NPD) Support:

NPD provides training, exercises, and technical assistance to SLTT stakeholders that support operational and emergency communications. Descriptions and resources specific to operational communication are a v a i l a b l e o n h tFtpEs://Mw wAw’.fsema.gwove/ cbores-ciaptabeility-d( evelopment-sheets) within the Response Mission Area and include the following information to support jurisdictions:
•
•
Description of the operational communications core capability; Training for building and sustaining operational communication with specific course titles:
o Trainings can also be found at https://www.firstrespondertraining.gov/. •
•
•
Example capability targets to complete a THIRA:
o Help in developing targets can be found at www.preptoolkit.fema.gov/urt or requested at [email protected].

Resource types that support operational communications:
o Additional resource types and position qualifications can be found at https://www.fema.gov/preparedness-checklists-toolkits.

Tools to validate capabilities through exercises:
o Technical assistance and support from subject matter experts can be requested through www.fema.gov/national-exercise-program.

FEMA Office of National Continuity Programs (ONCP) Support:

N C P ’ s s u p p o r t s e r v i c e s f o c u s o n h o l i s t i c c o n t i n u i important component. Currently, continuity communications training and technical assistance is limited to the FEMA National Radio System (FNARS) and IPAWS and is delivered either on an ad hoc basis at the request of the state entity, through a FEMA Region, or via a requirement for terms of use. Entities interested in ONCP support services should contact [email protected] or consult ON C P ’ s Continuity Resources Toolkit webpage at https://www.fema.gov/emergency-managers/nationalpreparedness/continuity/toolkit.

City Council HSGP Appendix | 2023 36 – 111 8/20/2024 Page A-50 Program Appendix B:

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

Alignment of THSGP to the National Preparedness System
The THSGP plays an important role in the implementation of the National Preparedness Goal by supporting the building, sustainment, and delivery of the core capabilities. The core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal.

Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. THSGP allowable costs support efforts to build and sustain core capabilities across the prevention, protection, mitigation, and response mission areas described in the Goal.

Particular emphasis in THSGP will be placed on capabilities that address the greatest risks to the security and resilience of tribal communities and the United States and that provide a clear nexus to preventing acts of terrorism. Funding will support deployable assets that can be utilized through automatic assistance and mutual aid agreements. THSGP 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; and/or
To support building, sustaining, and delivering these core capabilities, recipients will use the components of the National Preparedness System, which include Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at: http://www.fema.gov/national-preparedness-system.

FEMA requires recipients to prioritize grant funding to demonstrate how investments support identified national priorities and building capability, closing capability gaps, or sustaining capabilities as defined by CPG 201: THIRA/SPR Guide—3rd Edition. In addition to capability gaps they have identified at their level, recipients should consider areas where community capability gaps have consistently been the largest, which are outlined in the most recent National Preparedness Report. They include cybersecurity, economic recovery, housing, infrastructure systems, natural and cultural resources, and supply chain integrity and security. Addressing these areas for improvement will enhance preparedness nationwide.

Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities.

City Council THSGP Appendix | 2023 36 – 112 8/20/2024 Page B-1 Reporting on the Implementation of the National Preparedness System By December 31, 2023, any new THSGP recipients during calendar year 2023 are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with the Comprehensive Preparedness Guide (CPG) 201, Third Edition.

THSGP recipients must complete every step of the THIRA/SPR for the following eight core capabilities:

Cybersecurity; Infrastructure Systems; Mass Care Services; Mass Search and Rescue Operations; Onscene Security, Protection, and Law Enforcement; Operational Communications; Operational Coordination; and Public Information and Warning. For the remaining 24 core capabilities, THSGP recipients are only required to indicate planning, organization, equipment, training, and exercise gaps in functional areas related to those capabilities. THSGP recipients may optionally complete additional portions of the THIRA/SPR for these 24 core capabilities.

THSGP recipients are required to respond to a series of planning-related questions as part of the THIRA/SPR. THSGP recipients are required to submit a THIRA every three years to establish a consistent baseline for assessment. While the THIRA is only required every three years, THSGP recipients are required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to the Comprehensive Preparedness Guide (CPG) 201, Third Edition. Recipients must align THSGP grant investments in building and sustaining capabilities with closing capability gaps and/or sustaining capabilities they identified in their THIRA and SPR.

Reporting Requirements
• THSGP recipients must submit their THIRA/SPR through the Unified Reporting Tool (URT) on Prep Toolkit no later than December 31 for the years they have open THSGP grant awards. If a recipient has completed closeout for their THSGP grant award period of performance, they do not have to submit any more THIRA/SPR updates as the requirement does not apply to closed awards. While UASIs are not required to complete a THIRA/SPR, it is encouraged. •
•
Calendar year 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing recipients. Any new grant recipients during calendar year 2023, for which the THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline assessment year in 2023. Please contact [email protected] if you have questions.

In each THSGP r e c i pBiianen unaltSt’rastegy and Implementation Report (BSIR), as part of programmatic monitoring, recipients will be required to describe how investments support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA/SPR. THSGP recipients will, on a project-by-project basis, check one of the following:
o
o
Building a capability with THSGP funding; or
Sustaining a capability with THSGP funding.

National Incident Management System (NIMS) Implementation Recipients receiving THSGP funding are required to implement the National Incident Management System (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 Goal.

THSGP recipients must utilize standardized resource management concepts such as typing, credentialing, and inventorying resources that facilitates the effective identification, dispatch, deployment, tracking and recovery of their resources.

City Council THSGP Appendix | 2023 36 – 113 8/20/2024 Page B-2 The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarifies the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunities (NOFOs). As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at NIMS Implementation and Training | FEMA.gov.

Reporting Requirements
Recipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the THSGP NOFO.

Planning to Deliver Capabilities
Recipients shall develop and maintain a jurisdiction-wide, all threats and hazards Emergency Operations Plans (EOPs) consistent with CPG 101 Version 2.0 (CPG 101 v2). Recipients must submit an EOP once during the period of performance.

Reporting Requirements
Recipients report EOP compliance with Developing and Maintaining Emergency Operations Plans by completing the secondary CPG 101 v2 assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the THSGP NOFO.

Validating Capabilities
All recipients will 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-y e a r N E P c y c l e i s g u i d e d Strategic Priorities, established by the National Security Council, and informed by preparedness data from jurisdictions across the Nation.

To develop and maintain a progressive exercise program consistent with HSEEP and in support of the NEP, recipients should engage senior leaders and other whole community stakeholders to identify preparedness priorities. These priorities should be informed by various factors, including jurisdictionspecific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi-year Integrated Preparedness Plan (IPP). Information related to IPPs and Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at Homeland Security Exercise and Evaluation Program | FEMA.gov and Welcome - Preparedness Toolkit (fema.gov).

Reporting Requirements
City Council THSGP Appendix | 2023 36 – 114 8/20/2024 Page B-3 • 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] before January 31 of each year:
o Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.gov/.
•
•
Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to [email protected] a n d i n d i c a t e w h i c h f (iif asppclicaablle); y e a r ’ s Submission of AAR/IPs must occur within 90 days after completion of the single exercise or progressive series:
f u n d
o
o
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 that reflect drills; If a recipient endures a significant real-world incident during the calendar year that delays or prevents conduct of a grant-funded exercise, they can submit the AAR from that event in place of the exercise AAR. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to [email protected]; and Recipients can access a sample AAR/IP template at
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.

THSGP 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 THSGP grant award, recipients must comply with the following general requirements:

THSGP Priorities
See the annual THSGP NOFO.

Allowable Costs
Management and Administration (M&A)
M&A activities are those defined as directly relating to the management and administration of THSGP funds, such as financial management and monitoring. Recipients may use up to 5% of the amount of the award for M&A, and where applicable, subrecipients may use up to 5% for M&A of the amount they receive. Reasonable costs of grant management training are also allowable.

Indirect Costs
Indirect costs are allowable under this program. S e e t h e “ P r o c e d u r e s f o r E s t a b l S e c t i o n-S uibnm i “s Ps ri eo n I n f o r m a t i o n ” f o r m o r e i n f o r m a t i o Allowable Direct Costs
The following pages outline global allowable costs guidance specifically applicable to THSGP.

Allowable activities made in support of the national priorities, as well as other capability-enhancing projects must fall into the categories of planning, organization, equipment, training, or exercises (POETE). Additional detail about each of these allowable expense categories, as well as sections on additional activities including explicitly unallowable costs is provided. In general, recipients should City Council THSGP Appendix | 2023 36 – 115 8/20/2024 Page B-4 consult their FEMA Preparedness Officer prior to implementing any investment to ensure that it clearly meets the allowable expense criteria established by the guidance.

Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness and return on investment aligned to the relevant POETE element, and FEMA encourages grant recipients to provide the results of that analysis to FEMA.

Planning
Planning efforts can include prioritizing needs; conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related CISA resources; updating preparedness strategies; and allocating resources across stakeholder groups (e.g., law enforcement, fire, emergency medical services, health care systems, public health, behavioral health, public works, rural water associations, agriculture, information technology, emergency communications, and the general public, including people with disabilities) and levels of government. Planning provides a methodical way to engage the whole community in thinking through the life cycle of potential crises, determining required capabilities, and establishing a framework for roles and responsibilities. Planning must include participation from all stakeholders in the community who are able to contribute critical perspectives and may have a role in executing the plan. Planning should be flexible enough to address incidents of varying types and magnitudes.

Planning activities should focus on the prevention, protection, mitigation, and response mission areas outlined in the Goal. All jurisdictions are encouraged to work with Citizen Corps Whole Community Councils, nongovernmental entities, and the general public in planning activities. Whole community planning should integrate program design and delivery practices that ensure representation and services for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations.

Recipients must use the CPG 101 v2, Third Edition in order to develop robust and effective plans.

For additional planning and resource information, please see:
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•
•
•
•
•
•
FEMA CPG 101 v.2 - http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf CISA Infrastructure Resilience Planning Toolkit - http://www.cisa.gov/idr-program FEMA Citizen Corps - http://www.ready.gov/citizen-corps FEMA CERT - http://www.fema.gov/community-emergency-response-teams Ready.gov - www.ready.gov/kids
Emergency Planning with Children - http://www.fema.gov/media-library/assets/documents/94775 National Disaster Recovery Framework - https://www.fema.gov/sites/default/files/2020- 06/national_disaster_recovery_framework_2nd.pdf
Additionally, THSGP funds may be used for planning activities related to 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13).

Continuity Capability
FEMA is responsible for developing, managing, and promulgating national continuity planning, guidance, training, and exercise programs for the whole community. To support this role, FEMA provides direction and guidance to assist in developing capabilities for continuing federal and state, local, tribal, and territorial (SLTT) government jurisdictions and private sector organizations' essential functions across a broad spectrum of emergencies.

City Council THSGP Appendix | 2023 36 – 116 8/20/2024 Page B-5 Presidential Policy Directive 40: National Continuity Policy, Federal Continuity Directive (FCD) 1, FCD 2, and Continuity Guidance Circular (CGC) outline continuity requirements for agencies and organizations and provide guidance, methodology, and checklists. For additional information on continuity programs, guidance, and directives, visit the Continuity Resource Toolkit at https://www.fema.gov/emergency-managers/national-preparedness/continuity/toolkit.

Organization
Recipients may use grant funds for organization activities:
• Organizational activities may include, paying salaries and benefits for personnel, including individuals employed to serve as qualified intelligence analysts. 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.
• Other organization activities may include implementing standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident.

Additionally, mi g r a t i n g o n l i n e s e r v i c e s t o t h e “ . g o v ” i n t e Equipment
The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories and equipment standards for THSGP are listed on the web-based version of the Authorized Equipment List (AEL). Unless otherwise stated, equipment must meet all mandatory regulatory and DHS-adopted standards to be eligible for purchase using these funds. In addition, recipients and subrecipients, as applicable, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards and may not be used for the purchase of the following unallowable equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Recipients should analyze the costs and 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, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, issued May 10, 2022. In addition, recipients that are using THSGP 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 Funding Resources | CISA.

Additionally, THSGP funds may be used for equipment purchases related to 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13).

Requirements for Small Unmanned Aircraft System
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also i n c l u d e a d e s c r i p t i o n o f t h e p o l i c i e s a n d p r o c e d u r City Council THSGP Appendix | 2023 36 – 117 8/20/2024 Page B-6 and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.

SUAS policies are not required at the time of application but must be received and approved by FEMA prior to obligating THSGP funds. All grant-funded procurements must be executed in a manner compliant with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use THSGP funds for sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the data the devices collect is transmitted to servers not under the control of the operator. It has been reported that some manufacturers of sUAS encrypt data and send that data to servers outside the United States. The U . S . D e p a r t m e n t o f H o m e l a nstsdthe rSeceipicenut frulliy etxpylo’re sdata P r i v a c y
O f
transmission and storage issues with vendors to reduce the possibility of data breaches.

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 topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-usetechnology-detect-and-mitigate-unmanned-aircraft.

Training and Exercises
Tribes are strongly encouraged to use THSGP funds to develop or maintain a homeland security training program. Allowable training-related costs under the THSGP include the establishment, support, conduct, and attendance of training specifically identified under the THSGP or in conjunction with emergency preparedness training by other federal agencies (e.g., the Department of Health and Human Services or the Department of Transportation). Training conducted using THSGP funds should address a performance gap identified through an assessment or contribute to building a capability that will be evaluated through a formal exercise. Exercises should be used to provide the opportunity to demonstrate and validate skills learned in training, as well as to identify training gaps. Any training or training gaps evaluated though a formal exercise, including those for vulnerable populations including children, the elderly, pregnant women, and individuals with disabilities or other access and functional needs should be identified in an AAR/IP.

City Council THSGP Appendix | 2023 36 – 118 8/20/2024 Page B-7 All training and exercises conducted with THSGP funds should support the development and testing of the j u r i s d i c t i oOnper’atsions PElamn (eEOr Pg), econnsicsteynt with the priorities in the National Preparedness System. 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, available with additional training information at First Responder Training System and First Responder Training Systemhttps://www.firstrespondertraining.gov/frts/trdc/state/development.

FEMA supports and encourages the coordination of all emergency preparedness training towards the achievement of the Goal. To this end, FEMA supports the establishment of a Tribal Training Point of Contact (TTPOC). The role of the TTPOC is to coordi n a t e t h e t r i b e s ’ t r a i n i n g n F E MA a n d feFdeEralMtrAain’insg partners and holds the same authority and roles that state training points of contact serve within SAAs nationwide. FEMA will coordinate with Tribal Training Officers (TTOs) as it relates to FEMA training when notified by recipients.

Per FEMA Grant Programs Directorate IB 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 nonDHS/FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high-risk urban ar e a T P O C a n d f a l l s w i t h i n t h e F E.MFoAr m i s s i o additional information on review and approval requirements for training courses funded with preparedness grants, please refer to Review and Approval Requirements for Training Courses Funded Through Preparedness Grants Policy (fema.gov)https://www.fema.gov/sites/default/files/2020- 09/fema_gpd-review-approval-requirements-training-policy_09-10-13.pdf.

DHS/FEMA Provided Training and Education
FEMA offers tuition-free training and education programs and courses through several providers including the Center for Domestic Preparedness, the Emergency Management Institute, and the National T r a i n i n g a n d E dTruaincinag Ptaritneor PnrogrDami (TvPiP).sTiPPoinnclu’d ess the Center for Homeland Defense and Security, National Domestic Preparedness Consortium, Rural Domestic Preparedness Consortium, and training partners through the Continuing Training Grants program.

FEMA’s National Preparedness Course Catalog
This online searchable catalog features a wide range of course topics in multiple delivery modes to meet F E MA ’ s m i s s i o n s c o p e a s w e l l eraal, sstate,tlochale, terriitonriacl, arnde a s i n g t r tribal audiences. The catalog can be accessed at NTED | National Preparedness Course Catalog Home (firstrespondertraining.gov).

Training Not Provided by DHS/FEMA
These trainings include courses that are either state sponsored or federal sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, and respond to acts of terrorism or catastrophic events.
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State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC.

Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent, protect against, mitigate, and respond to acts of terrorism or City Council THSGP Appendix | 2023 36 – 119 8/20/2024 Page B-8 catastrophic events. In addition, states, territories, tribes, and high-risk urban areas are encouraged to incorporate the private sector in government-sponsored training and exercises.

Additional information on both FEMA provided training and other federal and state training can be found at First Responder Training System.

Training Information Reporting System (“Web-Forms”)
Web-Forms is an electronic data management system built to assist SAAs, designated TPOCs, and federal agencies with submitting non-National Training and Education Division provided training courses for inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to ensure each training program’s viability and relevance to the Homeland Security mission. Reporting training activities through Web-Forms is not required under FY 2023 THSGP. However, the system remains available and can be accessed through the Web-Forms section of the FEMA National Preparedness Course Catalog to support recipients in their own tracking of training deliveries.

Exercises
For additional information on conducting exercises under THSGP, please refer to the earlier section in this appendix t i t l e d “ V a l i d oan pt agie nB-g3. C a p a b i l i t i e s ” Personnel Activities
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable THSGP planning, training, exercise, and equipment activities.

Not more than 50% of total THSGP funds may be used for personnel activities as directed by the Homeland Security Act of 2002, as amended by the Personnel Reimbursement for Intelligence Cooperation and Enhancement (PRICE) of Homeland Security Act (Pub. L. No. 110-412) (6 U.S.C. §609(b)(2)(A)). This 50% cap may be waived, however, per 6 U.S.C. § 609(b)(2)(B). For further details, THSGP recipients should refer to IB 421b, or contact their FEMA HQ Preparedness Officer. THSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities.

Construction and Renovation
Construction projects are only permitted where they will assist the recipient to achieve target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism, including through the alteration or remodeling of existing buildings for the purpose of making them secure against acts of terrorism. THSGP funding may not be used for construction and renovation projects without prior written approval from FEMA. All recipients of THSGP funds must request and receive approval from FEMA before any THSGP funds are used for any construction or renovation. Additionally, recipients are required to submit an SF-424C Form containing budget detail citing the construction 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 THSGP funds may not exceed the greater amount of $1 million or 15% of the THSGP 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 City Council THSGP Appendix | 2023 36 – 120 8/20/2024 Page B-9 for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an 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. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to [email protected].

THSGP 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 Davis-Bacon and Related Acts | U.S. Department of Labor (dol.gov).

Communications Towers
For the purposes of the limitations on funding levels only, communications towers are not considered construction. 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.

When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal C o m m u n i c a t i o n
and submit all documentation resulting from that review, with a FEMA Grant Programs Directorate EHP Screening Form, to FEMA a s p a r t o f t h e p r o j. Reecci ptien’tssand sEubHrePcipieRntse v i e w s b
C o m m i s s i o n ’ s S e c t i o n 1 0 6
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 Tribal 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 an 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 r e c i p i e n t ’ s of the award. Completed EHP review materials for 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 both be found on FEMA.gov. EHP review materials should be sent to [email protected].
r e
Multiple Purpose or Dual-Use of Funds
Many activities that support the achievement of target capabilities related to terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. See 6 U.S.C. § 609I. However, all THSGP-funded projects must assist recipients and subrecipients in achieving target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism.

Whole Community Preparedness
In addition to the Citizen Corps Whole Community Councils and Community Emergency Response Team (CERT) programs mentioned above, youth preparedness activities are another allowable cost. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youthCity Council THSGP Appendix | 2023 36 – 121 8/20/2024 Page B-10 centric educational curricula, games, planning materials, and other relevant resources can be found at https://www.ready.gov/kids. F u r t h e r m o r e , F E MA n’ itsy PreIpanreddneissvDividsioun a l a n d C (ICPD) and regional based Community Preparedness Officers (CPOs) are available to provide grant recipients with guidance and assistance. Please email [email protected] to contact one of the A g e n c y ’ s s u b j e c t m a t t e r e x p e r t s .

The following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs:
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Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor guide and student activity book is available at https://www.ready.gov/student-tools-emergencyplanning-step; and Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a stepby-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert.

T h e f o l l o w i n g t o o l s a r e a v a i l a b l e t o o r d e r f r o m F • “Prepare with Pedro” is a joint product of FEMA and the American Red Cross. The “Prepare with Pedro: Disaster Preparedness Activity Book” is designed to teach young children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at https://www.ready.gov/prepare-pedro; and
• The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency. Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives:
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o
o
o
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Stay Safe;
Stay Calm;
Get Help;
Give Info; and
Give Care.

Ready 2 Help was designed for children ages 8 and up. Additional information, including an ordering form, is available at https://www.ready.gov/ready-2-help.

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 City Council THSGP Appendix | 2023 36 – 122 8/20/2024 Page B-11 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, and respond to 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 been purchased with either federal grant money or any other source of funding other than FEMA preparedness grant program dollars.

Critical Emergency Supplies
I n
and basic medical supplies are an allowable expense under THSGP. Prior to allocating grant funds for stockpiling purposes, each Tribe must h a v e F E MA ’ s a -py eparrvioablve ianvlentoroy f f u r t h e r a n c e o f D H S ’ s m i s s i o n-st,able fcoord iprotd uictcs, wa alter, e m e r g e a f i v e
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 T r i b e ’ s i n v e n t o r y m a n a g e m. Leinnkatges bpetwl eaennspeciaficnpdrojecdts i s t r i b u t i undertaken with THSGP funds and strategic goals and objectives will be highlighted through regular o 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.

City Council THSGP Appendix | 2023 36 – 123 8/20/2024 Page B-12 Framework for Improving Critical Infrastructure Cybersecurity 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 “ F r a m e w o r k ” ) d e v e l o p e d b y t h e N a t i o n a l I n s t i t u t e 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.

C I S A ’ s C r i t i c a l I n f r a s t r u c t u r e C y b e r C o m m u n i t y C ³ 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 http://www.cisa.gov/ccubedvp.

D H S ’ s
protecting U.S.-based public and private entities and combines key elements of capabilities under the “ D e t e c t ” a n d “ P r o t e c t ” f u n c t i o n s t o d e l i v e r E n h a n c e d C y b e r s e c u r i t y e oSf aerersovuricecthaet asssist(s inE C S )
p r o g r
a n i m
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 t r a f f i c f r o m e n t e r i n g a c o m p a n y ’ s n e subscribing to ECS must contract directly with a CSP in order to receive services. Please visit Enhanced Cybersecurity Services (ECS) | CISA for a current list of ECS CSP points of contact.

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—r e q u i r e F E MA ’ s p r i o r w r i t t e n a p p r o v a l , 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.

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 w r i t t e n r e q u e s t o n t h e r e c i p i e n t ’ , isncludl ineg t t e r h e a 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
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City Council THSGP Appendix | 2023 36 – 124 8/20/2024 Page B-13 • The request must also address whether the proposed changes will impact c o m p l e t e t h e p r o j e c t w i t h i n t h e
t h e r e c i p i e n t ’ s
a w a r d ’ s p e r i o d
Recipients may not proceed with implementing any scope or objective changes until they receive prior written approval from FEMA through ND Grants.

Santa Ana City CouncilAugust 20, 2024

Santa Ana City Council
August 20, 2024