5'3478
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
35. USA Patriot Act of 2001
The Applicant must comply with requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 u.s.c. §§ 175-1 75c.
36. Use of DHS Seal, Logo, and Flags
The Applicant must obtain permission from their DHS Financial Assistance Office, prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials.
37. Performance Goals
In addition to the Biannual Strategy Implementation Report submission requirements outlined in the Preparedness Grants Manual, the Applicant must demonstrate how the grant-funded project addresses the core capability gap associated with each project and identified in the Threat and Hazard Identification and Risk Analysis or Stakeholder Preparedness Review or sustains existing capabilities, as applicable. The capability gap reduction or capability sus+ainment must be addressed in the Project Description of the BSIRfor each project.
38. Applicability of DHS Standard Terms and Conditions to Tribes The DHS Standard Terms and Conditions are a restatement of general requirements imposed upon the Applicant and flow down to any of its subrecipients as a matter of law, regulation, or executive order. If the requirement does not apply to lndian tribes or there is a federal law or regulation exempting its application to Indian tribes, then the acceptance by Tribes of, or acquiescence to, DHS Standard Terms and Conditions does not change or alter its inapplicability to an Indian tribe. The execution of grant documents is not intended to change, alter, amend, or impose additional liability or responsibility upon the Tribe where it does not already exist.
39. Required Use of American Iron, Steel, Manufactured Products, and Construction Materials
The Applicant must comply with the "Build America, Buy America" Act (BABAA), enacted as part of the Infrastructure Investment and Jobs Act and Executive Order 14005. Applicants receiving a federal aword subject to BABAA requirements may not use federal financial assistance funds for infrastructure projects unless:
(Cl) All iron ond steel used in the project are produced in the United States - this means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States; Page l 3 of 15 Initials
479
EXHIBIT D
CglOES
ooyu-Alohas tippice
OF ENEReENCY SERVI €.ES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(b) All manufactured products used in the project are produced in the United States - this meons the manufactured product was manufactured in the United States; and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic con+em of the manufactured product has been established under applicable law or regulation; and
(c) All construction materials are manufactured in the United States - this means that all manufacturing processes for the construction material occurred in the United States.
The "Buy America" preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. It does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a "Buy America" preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastruc+ure project.
Per section 70914(c) of BABAA, FEMA may waive the application of a "Buy America" preference under an infrastructure program in certain cases.
On July 1, 2022, OMB approved FEMA's Generol Applicability Public Interest Waiver of the BABAA requirements to be effective for a period of six months, through January 1, 2023. Applicants will not be required to foffow the BABAA requirements for FEMA awards made, and any other funding FEMA obligates, during this waiver period. For any new awards FEMA makes after January 1, 2023, as well as new funding FEMA obligates to existing awards or through renewol awards where the new funding is obligated affer January 1, 2023, Applicants will be required to follow the BABAA requirements unless another waiver is requested and approved.
40. Advancing Effective, Accountable Policing and Criminal Justice Practice to Enhance Public Trust and Public Safety
The Applicant must comply with the requirements of section 12(c) of Executive Order l4074. The Applicant is also encouraged to adopt and enforce policies consistent with Executive Order 14074 to support safe and effective policing.
3,Y 480
EXHIBIT D
CalOES
(lOffilNOn'!i OP$!iel
OF EMERGENCY SERVICE5
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
IMPORT ANT
The purpose of these assurances is to obtain federal and stote financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc.
Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in these assurances. These assurances are binding on Applicant, its successors, transferees, assignees, etc. as well as any of its subrecipients.
Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds.
All appropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the Applicant may be ineligible for award of any future grants if Cal OES determines that the Applicant: (1) has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above.
All of the language contained within this document must be included in the award documents for Clll subawards at all tiers. Applicants are bound by DHS Standard Terms and Conditions 2023, Version 2, hereby incorporo+ed by reference, which can be found at: hHps://www.dhs.gov/publication/fy1 5-dhs- standard-terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of the Applicant.
Applicant:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title: Date:
53 481
EXHIBIT E
GAVIN NEWSOM
GOVERNOR
CalOES
@OVERNOR'S OPPI(,[
OF EMERGENCY SERVICE5
NANCY WARD
Dipec'roz
October 18, 2023
Fesia A. Davenport DELIVERED VIA E-MAIL: [email protected] Chief Executive Officer
Los Angeles County
500 West Temple Street, Room 7l3
Los Angeles, CA 90012
SUBJECT: NOTIFICATION OF SUBRECIPIENT SUBAWARD APPROVAL Fiscal Year (FY) 2023 Homeland Security Grant Program (HSGP) Subaward #2023-0042, Cal OES 1D#037-00000
Subaward Period of Performance: 09/01 /2023-05/31/2026
Dear Ms. Davenport:
We are pleased to announce the approval of your FY 2023 HSGP subaward in the amount of $9,481,457.
Once the completed application is received and approved, reimbursement of eligible subaward expenditures may be requested using the California Governor's Office of Emergency Services (Cal OES) Financial Management Forms Workbook.
Failure to provide documentation in a timely manner could result in a hold on funding, pursuant to Title 2, Code of Federal Regulations (CFR), Sections 200.338(a) and 200.207(b) (1 )-(2).
This subaward is subject to requirements in 2 CFR, Part 200, including the Notice of Funding Opportunity (NOFO), the Preparedness Grants Manual, the California Supplement to the NOFO, and all applicable federal, state, and local requirements. All activities funded with this subaward must be completed within the subaward period of performance.
Subrecipien+s must obtain additional written approval to incurring costs for activities such as aviation, watercraft, allowability request logs, noncompetitive procurement, and projects requiring Environmental Planning and Historic Preservation review.
3650 SCHRIEVERAVENUE, MATHER, CA 95655
www.CalOES.ca.qov
482
EXHIBIT E
Fesia A. Davenport
October 18, 2023
Your organization will be required to prepare and submit the Biannual Strategy Implementation Report to Cal OES via the FEMA Grants Reporting Tool (GRT) semiannually for the duration of the subaward period of performance or until Clll activities are completed and the subaward is formally closed. Failure to submit required reports could result in subaward reduction, suspension, or termination.
Throughout the subaward cycle, milestones set in the GRT will be used as indicators of project feasibility, performance, and grant management capacity.
This information may also be used in assessing proposals in future grant opportunities.
Your dated signature is required on this letter. Please sign and return the original to your Cal OES Program Representative within 20 calendar days upon receipt and keep a copy for your records. For further assistance, please contact your Cal OES Program Representative.
Sincerely,
D-=--r l)
NANCY WARD
Director
Fesia Davenport(Nov yijo.ps is 35 PST)
Email: [email protected]
Fesia Davenport
Fesia A. Davenport
Los Angeles County
Date
483
m
X
I
O:!
-l
m
484
EXHIBIT E
Clly of :lau+h Galii
TV 2a23 :llalii Hemiiland S*euilly Ttogtiim iSH}P) Pialiieli C al Oat 10 03)a
Granl F 2023-0012
Equlpmiiiil D*ieilpHan
(lhektd* (luanlily)
4 moblle AIPR iy+lemi 16T pa0ee vehlelsi.
!quipmenl law Enlaicemenl Itnveijaiice
Dlielplln* :ua,Illclll)alllbAlge*ffa D;pallll@lTaa:II: I hlnuvmolbe; 13 - {wonim
%-veiilloii
gNaliiiniil PnonSAtsti INPAI
485
EXHIBIT F
1 The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year 2023 Homeland Security Grant Program
All entities wishing to do business with the federal government must have a unique entity identifier (UEI). The UEI number is issued by the SAM system. Requesting a UEI using SAM.gov can be found at https://sain.gov/content/entity-registration.
Grants.gov registration information can be found at
littps://www.grants.gov/web/grants/register.html.
Planned UEI Updates in Grant Application Forms:
On April 4, 2022, the Data Universal Numbering System (DrJNS) Number was replaced by a new, non-proprietary identifier requestedin, and assigned by, the Systemfor Award Management (SAMgov). This new identifier is the Uniqrie Entity Identifier (UEI).
Additional Information can befovmd on Grants.gov:
littps://www.grants.gov/web/grants/forms/planned-uei-updates.html Table of Contents
Planned {JEI Updates in Grant Application Formsa
A. Program Description.
1. Issued By
2. Assistance Listings Number
3. Assistance Listings Title
4. Funding Opportunity Title
5. Funding Opportunity Number
6. Authorizing Authority for Program
7. Appropriation Authority for Program
8. Announcement Type
9. Program Category
10. Program Overview, Objectives, and Priorities
11. Performance Measures
B. Federal Award Information
1. AvailableFundingfortheNOFO: $1,120,000,000
2. Projected Number of Awards: 56.
3. Period of Performance: 36 months
4. Projected Period of Performance Start Date(s): 09/1/2023
5. ProjectedPeriodofPerformanceEndDate(s): 8/31/2026
6. Funding Instrument Type: Grant
C. Eligibility Information.
1. Eligible Applicants
2. Applicant Eligibility Criteria
FY 2023 HSGP NOFO Back to the Top
486
EXHIBIT F
2 3. Other Eligibility Criteria/Restrictions 17
a. National Incident Management System (NIMS) Implementation . . 17 b. Emergency Management Assistance Compact (EMAC) Membership..................... 17 c. Law Enforcement Terrorism Prevention Activities (LETPA) . . . .. 18
4. Cost Share or Match. . . .
. . 18
D. Application and Submission Information. . .. . . . 19
1. Key Dates and Times , 19
a. Application Start Date: 02/27/2023 . . . 19
b. Application Submission Deadline: 05/1 8/2023 at 5 p.m. ET . . 19 c. AnticipatedFundingSelectionDate: Nolaterthan07/21/2023 . . . 19 d. Anticipated Award Date: No later than 09/30/2023 . . . 19 e. Other Key Dates . 19
2. Agreeing to Terms and Conditions of the Award 20
3. Address to Request Application Package . 20
4. Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for Award Management (SAM) .... .. . 20
5. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application . 20
6. ElectronicDelivery 21
7. How to Register to Apply through Grants.gov . .. . 22
8. How to Submit an Initial Application to FEMA via Grants.gov . . . . .. 22
9. Submitting the Final Application in ND Grants 22
10. Timely Receipt Requirements and Proof of Timely Submission . . 23
11. Content and Form of Application Submission. . .. 23 a. Standard Required Application Forms and Information 23 b. Program-Specific Required Forms and Information . . . . . . 24
12. Other Submission Requirements .. . . . . . .. . 32
13. Intergoveri'imental Review . . 33
14. Funding Restrictions and Allowable Costs.. . .. . ... .... .. .. 33 a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services
b. Pre-Award Costs
c. Management and Administration (M&A) Costs
d. Indirect Facilities & Administrative (F&A) Costs
e. Funds Transfer Restrictions
f. Other Direct Costs
E. Application Review Information
1. Application Evaluation Criteria
a. Programmatic Criteria
b. Financial Integrity Criteria
c. Supplemental Financial Integrity Criteria and Review
2. Review and Selection Process
F. Federal Award Administration Information
1. Notice of Award
2. Pass-Through Requirements
3. Administrative and National Policy Requirements
FY 2023 HSGP NOFO Back to the Top
ff' 487
EXHIBIT F
a. DHS Standard Terms and Conditions 51
b. Ensuring the Protection of Civil Rights 52
c. Environmental Planning and Historic Preservation (EHP) Compliance................... 52 d. National Incident Management System (NIMS) Implementation . 54 e. Emergency Communications Investments. . .
. . 54
4. Reporting . 55
5. MonitoringandOversight . . . 55
G. DHS Awarding Agency Contact Information . . 56
1. Contact and Resorirce Information 56
a. Program Office Contact. . . . . . .. . . . . . 56
b. Centralized Scheduling and Information Desk (CSID) .. 56 c. Grant Programs Directorate (GPD) Award Administration Division....................... 56 d. Equal Rights ...
. 56
e. Environmental Planning and Historic Preservation . 56
2. Systems Information .. .. .
. 56
a.Grants.gov .
. 56
b. Non-Disaster (ND) Grants . . . 57
c. Payment and Reporting System (PARS) .
. . 57
H. AdditionalInformation . 57
1. TerminationProvisions .. . . . . 57
a.Noncompliance . .
57 b. With the Consent of the Recipient 58
c. NotificationbytheRecipient . .
58 2. ProgramEvaluation. 58
3. Period of Performance Extensions 58
4. Financial Assistance Programs for Infrastructure . . 59 a. Build America, Buy America Act. . . . . 59
b. Waivers . . .
. . . . 59
c. Definitions .
. . 60
Back to the Top FY 2023 HSGP NOFO
488
EXHIBIT F
4 A. Program Description
1. Issued By
U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/Grant Programs Directorate (GPD)
2. Assistance Listings Number
97.067
3. Assistance Listings Title
Homeland Security Grant Program
4. Funding Opportunity Title
Fiscal Year 2023 Homeland Security Grant Program (HSGP) * State Homeland Security Program (SHSP)
* Urban Area Security Initiative (UASI)
* Operation Stonegarden (OPSG)
5. Funding Opportunity Number
DHS-23-GPD-067-00-01
6. Authorizing Authority for Program
Section 2002 of the Homeland Security Act of 2002 (Pub. L. No. 107-296, as amended) (6 U.S.C. § 603)
7. Appropriation Authority for Program
Consolidated Appropriations Act, 2023 (Pub. L. No. 117-328)
8. Announcement Type
Initial
9. Program Category
Preparedness: Community Security
10. Program Ovewiew, Objectives, and Priorities
a. Overview
The Fiscal Year (FY) 2023 Homeland Security Grant Program (HSGP) is one of three grant programs that corzstitute the DHS/FEMA focus on enhancing the ability of state, local, tribal, and territorial governments, as well as nonprofits, to prevent, protect against, and respond to terrorist attacks. These grant programs are pait of a comprehensive set of measures authorized by Congress and implemented by DHS to help strengthen the Nation's communities against potential terrorist attacks. Among the five basic homeland security missions noted in the DHS Strategic Plan for Fiscal Years 2020-2024, the HSGP supports the goal to Strengthen National Preparedness and Resilience.
FY 2023 HSGP NOFO Back to the Top
489
EXHIBIT F
5 In FY 2023, there are three components of the HSGP:
1) State Homeland Security Program (SHSP): SHSP assists state, local, tribal, and territorial (SLTT) efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism. 2) Urban Area Security Initiative (UASI): UASI assists high-tttreat, high-density Urban Area efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism. 3) Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and coordination among Caistoms and Border Protection (CBP), United States Border Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure the United States' borders along routes of ingress/egress to and from international borders, to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. SLTT law enforcement agencies utilize their inherent law enforcement authorities to support the border security mission and do not receive any additional authority by participating in OPSG.
The 2022-2026 FEMA Strategic Plan outlines three goals designed to position FEMA to address the increasing range and complexity of disasters, suppoit the diversity of communities we serve, and complement the nation's growing expectations of the emergency management community. The HSGP suppoits FEMA's effoits to achieve equitable outcomes for those we serve (Goal l) and to promote and sustain a prepared nation (Goal 3).
We invite our stakeholders and partners to also adopt these priorities and join ris in building a more prepared and resilient nation.
Finally, for FY 2023, DHS is focused on the criticality of information sharing and collaboration to building a national culture of preparedness and protecting against terrorism and other threats to our national security. The threats to our nation have evolved during the past two decades. We now face continuous cyber threats by sophisticated actors, threats to soft targets and crowded places, and threats from domestic violent extremists who currently pose the greatest terrorism threat to the nation'. Therefore, for FY 2023, DHS has identified six priority areas (see Section A.lO.c) related to the most serious threats to the nation, as well as required miyiitnum funding allocations.
b. Objective
The oljcctive of the FY 2023 HSGP is to fund SLTT efforts to prevent terrorism and prepare the Nation for threats and hazards that pose the greatest risk to the security of the United States.
'Sti'ategic Intelligence Assessment and Data on Domestic Terrorism, Federal Bureau of Investigation and Department of Homeland Security, May 2021.
FY 2023 HSGP NOFO Back to the Top
62490
EXHIBIT F
6 c. Priorities
SHSP and UASI Funding Priorities
Given the evolving national security threat landscape, DHS/FEMA has evaluated the national risk profile and set priorities that help inform appropriate allocation of scarce security dollars.
In assessing the national risk profile for FY 2023, six National Priority Areas pose the most concern. Iue to the riniqrie threats that the nation faces in 2023, DHS/FEMA has determined that recipients should allocate a total of 30% of their SHSP and UASI award funds across these six priority areas. As indicated below, five of the priorities have minimum spend reqriirements totaling 15% of SHSP and UASI awards. Recipients will have the flexibility to allocate the remaining 15% across the priorities. The following are the six priority areas for FY 2023, along with the minimum corresponding percentage of SHSP and UASI funds that each recipient will be required to allocate:
1) Enhancing the protection of soft targets/crowded places - 3% 2) Enhancing information and intelligence sharing and analysis - 3% 3) Combating domestic violent extremism - 3%
4) Enhancing cybersecurity - no minimum percent
5) Enhancing community preparedness and resilience - 3% 6) Enhancing election security - 3%
Additional information about these priority areas and how they relate to achieving antiterrorism capabilities is included in Section D. 1l.b.III of this NOFO. Failure by a recipient to propose investments and projects that align with the priority areas and spending requirements will result in a recipient having a portion of their SHSP and UASI funds (up to 30%) placed on hold until they provide projects that sufficiently align to the National Priority Areas, and total at least the minimum percentages per National Priority Area (as applicable) and overall 30% of total SHSP and UASI funds.
A state or high-risk urban area rmist allocate the remaining 70% of their fimding to addressing capability gaps (e.g., building/sustaining capability and/or closing capability gaps) identified through their Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) process.
Likewise, tliere are several enduring security needs that crosscut the homeland security enterprise to which recipients should consider allocating funding across core capability gaps and national priorities. The following are enduring needs that help recipients implement a comprehensive approach to securing communities:
l) Effective planning2;
2) Training and awareness campaigns;
3) Equipment and capital projects; and
4) Exercises.
2Including assessment of critical infrastruchire system vulnerabilities and plans to reduce consequences of disruptions, using the Infrastructure Resilience Planning Framework and Regional Resilieiicy Assessment Methodology produced by tl'ie Cybersecurity and Infrastructure Security Agency.
FY 2023 HSGP NOFO Back to the Top
(pg491
EXHIBIT F
7 The table below provides a breakdown of tl'ie FY 2023 SHSP and UASI priorities (the focus of OPSG remaii'is unique to border security), showing the core capabilities enhanced and lifelines supported, as well as examples of eligible project types for each area. A detailed description of allowable investments for each project type is included in the Preparedness Grants Manual. DHS/FEMA anticipates that in future years, national priorities will continue to be included and will be updated as the threats evolve and as capability gaps are closed.
Applicants are strongly encouraged to begin planning to sustain existing capabilities through funding mechanisms other than DHS preparedness grants. The example project types in the table below are allowable to prepare for disasters unrelated to acts of terrorism as long as they also help achieve target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism.
FY 2023 SHSP and UASI Funding Priorities
AILpriorities in this table concern Safety arid Security Lifelines.
FY 2023 HSGP NOFO Back to the Top
492
EXHIBIT F
8 Risk!!!!
sliaring and
analysis
I
!19'l!al' " i i i 6V,t)Jmffi. ! ,
ii Operational coordiiiation
* Risk management for protection
programs and activities
entities; 'a-nd other fed\ral law enforcement and -
intelligence entities
* Cooperation witli DHS officials and otlier entities
designated by DHS in intelligence, tl'ireat recognition, I assessment, analysis, and mitigation
ii Identification, assessment, and reporting of threats of violence
* Joint intelligence analysis training and planniiig witli DHS officials and other entities designated by DHS
Combating
Domestic
Violent
Extremism
* Interdiction and disruption
* Intelligence and information
sharing
* Planning
a Public information and waming
* Operational coordination
* Risk management for protection
programs and activities
* Open-source analysis of disinformation and
misinformation campaigns, targeted violence and threats to life, iiicluding tips/leads, and online/social mediabased tlireats * Sharing and leveraging intelligence and infomiation,
including open-source analysis
* Execution and management of tl'u'eat assessment
programs to identify, evaluate, and analyze indicators
and behaviors indicative of domestic violent extremists * Trainirig and awareness programs (e.g., through social media, suspicious activity reporting [SAR] indicators
and beliaviors) to lielp prevent radicalization
* Training and awareness programs (e.g., througli social media, SAR indicators and behaviors) to educate tl'ie
priblic on misinformation and disinformation campaigns
and resources to lielp them identify and report potential instances of domestic violent extremism
Enliancing
Community
Preparedness and
Resilience
a Plai'uiing
a Public Information and
Waming
* Community Resilience
* Risk Management for
Protection Programs and
Activities
* Mass Care Services
* Intelligence and Information
Sharing
a Risk and Disaster Resilience
Assessment
* Long Term Vulnerability
Reduction
* Establish, traiii, and maintain Community Emergency
Response Teams (CERT) and Teen CERT, witli a focus
on historically undeserved communities, including
procurement of appropriate tools, equipment and
h'aining aides
o Local delivery of CERT Train-the-Trainer and CERT
Program Manager to build local program training and
maintenance capacity
* Provide continuity training, such as FEMA's
Organizations Preparing for Emergency Needs training,
to faith-based orgaiiizations, local businesses, and
community-based organizations such as homeless
slielters, food pantries, nonprofit medical providers and senior care facilities to bolster their resilience to all hazards
@Partner with local scliool districts to deliver tlie Student Tools for Emergency Planning cuiriculum or other
educational prograrnrning to guide stiidents on how to
create emergency kits and family coiniriunications plans * Paitner with key stakeholders to assist with completing tlie Emergency Financial First Aid Kit or a sii'nilar tool to bolster the disaster centric financial resilience of individuals and households
* Execute You are the Help Until the Help Arrisies
workshops in concert with community-based
organizations to bolster individual preparedness
* Target yorith preparediiess using FEM_A programing
such as Prepare with Pedro resources and Ready2Help
FY 2023 HSGP NOFO Back to the Top
(tr 493
EXHIBIT F
9 ' - Ill@*lffllalll:l&l' a k I @l Iljljll!!!l!!Wll l!_k-a'!lRlj! %!llT.'Alli-mllAl& _ fflll'jJQL _'l'f*lUl : l! 11!Iff II l.Jlllj:IWI:01!Ijj!jl +l W%I@] II!lll ffij!J!C!a 31A:.&WJJW1J: s..;ri.i;wyxu;aaaiammwnrw. .
* Pron'iote community plai'iniiig, coordination, and
integration of children's needs during emergencies
through workshops like FEMA's Integrating the Needs
of Children
* Community Mapping: identify community resources and
characteristics in order to identify gaps in resources, identify liazards and vulnerabilities, and infonn action to promote resilience
* Provide training and awareness programs witli key
stakeholders (e.g., thi'origh social media, community and civic organizations) to educate tl'ie public on
misinformation and disinformation campaigns to
increase individual and community resilience.
* Support integrated and cross-jurisdictional preparedness plannirig that considers how the community develops
networks of information-sharing and collaboration
among community-based organizations and government
institutions to enable a quicker recovery from multiple threats, including terrorist actions.
Enhancing
Election Security
@ Cybersecurity
a Intelligence and information
sharing
ii Planning
* Long-term vulnerability
redriction
* Situational assessment
* Infrastructure systems
* Operational coordination
* Commrinity resilience
* Pliysical security planning suppoit
* Physical/site security measures - e.g., locks, shatter proof glass, alarms, access controls, etc.
* General election security navigator support
* Cyber navigator support
* Cybersecurity risk assessments, training, and planning * Projects that address vulnerabilities identified in
cybersecurity risk assessments
* Iterative backups, enciypted backups, network
segn'ientation, software to monitor/scan, and endpoint
protection
* Distributed Denial of Service protection
* Migrating online services to the ".gov" internet domain * Online harassment and targeting prevention sei'vices
* Public awareness/preparedness campaigns discussing
electionsecurit;yandint7itl measures.
N NiTi FTI! I iMNNai 1 €
;. i i in y i i
i '
Plaiining 'aPlann'ing
ii Risk management for protection
programs and activities
* Risk and disaster resilience
assessment
it Threats and hazards
identification
@ Operational coordination
it Commtmity resilience
* Development of.
o Security Risk Management Plans
o Threat Mitigation Plans
o Contimiity of Operations Plans
o Response Plans
* Efforts to strengtlien governaiice integration
between/among regiona) pailners
* Joint training and planning witli DHS officials and otlier entities designated by DHS
* Cybersecurity training and planning
* Revision of existing plans to strengthen community
resilience in underserved commrinities
Training and
Awareness
* Long-term vulnerability
reduction
* Public information and waming
* Operational coordination
* Situational assessment
* Active shooter training
* Intelligence analyst training
* SAR and terrorism indicators/behaviors training
* Security training for employees
* Public awareness/preparedness campaigns
FY 2023 HSGP NOFO Back to the Top
494
EXHIBIT F
10 Ilil - _ ' llllr; - "'- . lljlJllMlllllllljl
al= I a I I :. allaala a
* Community resilience * Joiiit training and plai'uiing with DHS officials and other entities desigiiated by DHS
ii Cybersecurity training and planning
ii Sliaring and leveraging intelligence and information it Targeted outreacli and preparedness training for
underserved communities in conjrinction with
community-based organizatioiis
Equipmeiit and
Capital Projects
it Long-teim vulnerability
reduction
* Infrastructure systems
ii Operational communications
it Interdiction and disruption
@ Screening, search and detection
* Access control and identity
verification
ii Physical protective measures
* Protection of high-risk, high-consequence areas or
systems that have been identified through risk
assessments
it Physical security enhancements
o Security cameras (CCTV)
o Security screening equipment for people and baggage
o Lighting
o Access Controls
a Fencing, gates, barriers, etc.
it Enliancing Weapons of Mass Destruction and/or
improvised explosive device prevention, detection, and
response capabilities
o ChemicalfBiological/Radiological/
Nuclear/Explosive detection, prevention, and
response equipment
Exercises * Long-term vulnerability
reduction
ii Operational coordination
* Operational communications
ii Cornrnunity resilience
* Response exercises, including exercise plai'u'iing witli community-based organizations
For FY 2023, each SHSP and UASI recipient is reqriired to submit an Investment Justification (IJ) for the five National Priority Areas with associated minimum spend requirements. Each of these five investments must also accorint for at least the relevant minimum percentage (totaling 15%) of the applicant's SHSP and UASI allocation. State Administrative Agencies (SAAs) may submit complete project-level information at the time of application, including the National Priority Area Us, but are not required to do so. As a reminder, all SHSP- and UASI-funded projects must have a demonstrated nexus to achieving target capabilities related to preventing, preparing for, protecting against, and responding to acts of terrorism. However, such projects may simultaneously support enhanced preparedness for disasters rinrelated to acts of terrorism.
DHS/FEMA also requires SHSP and UASI recipients (states, territories, and high-risk urban areas) to complete a THIRA/SPR and prioritize grant funding to support building capability and/or closing capability gaps or sustaining capabilities that address national priorities and/or suppoit enduring needs. Additional information on the THIRA/SPR process, including other National Preparedness System tools and resources, can be found at National Preparedness System i FEMA.gov. Detailed information on THIRA/SPR timelines and deadlines can be found in the Preparedness Grants Manual.
OPSG Funding Priorities
FY 2023 HSGP NOFO Back to the Top
495
EXHIBIT F
11 The table below provides a breakdown of the FY 2023 0PSG funding priority, which remains focused on and unique to border security.
FY 2023 0PSG Funding Priority
For FY 2023, each OPSG applicant is required to clearly aiticulate and identify how the Concept of Operations addresses the national priority identified above.
11. Performance Measures
Performance metrics for this program:
SHSP and UASI:
* Percentage of funding allocated by the recipient to core capabilities to build or sustain i'iational priorities identified in the section above
@ Percentage of funding and projects allocated by the recipient that align to capability gaps identified through the THIRA/SPR process
@ Percentage of projects identified by the recipient that address a capability gap in a core capability that has a target(s) rated as high
FEMA will calculate and analyze the above metrics through a review of state/territory and urban area SPR submissions and required programmatic reports.
OPSG:
* Number of contacts that occurred as a result of OPSG deployments o Number of arrests that resulted from OPSG contacts
o Value of drug seizures that resulted from OPSG contacts B. Federal Award Information
1. Available Funding for the NOFO: $1,120,000,000
FY 2023 HSGP NOFO Back to the Top
k 496
EXHIBIT F
12 * lii ii s -)- IJL fA_!l- Ill@ 11 l l"l" Iffil"Q ulljl'llllllllOll!1 fba " i n i ' !#-flW'7+'!l'X't'J
SHSP $415,000,000
UASI $615,000,000
OPSG $90,000,000
Total $1,120,000,000
SHSP Allocations
For FY 2023, DHS/FEMA will award SHSP fiu'ids based on DHS/FEMA's relative risk methodology and statutory minimums pursuant to the Homeland Security Act of 2002, as amended. THIRA/SPR results do not impact grant allocations or awards.
Each state and territory will receive a minimum allocation under the SHSP using thresholds establishedin the Homeland SecurityAct of 2002, asamended.All 50 States,the District of Columbia, and the Commonwealth of Pueito Rico will receive O.35% of the total funds allocated for grants under Sectioii 2003 and Section 2004 of the Homeland SecurityAct of 2002, as amended. Each of the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands) will receive a minimum allocation of O.08% of the total funds allocated for grants under Section 2003 and 2004 of the Home4and Security Act of 2002, asamended.
Each state must include a separate U for each of the five National Priority Areas with a minimrim spend requirement. All projects related to the minimum spend for the National Priority Area must be included in the IJ. For the National Priority Areas that have a minimrim spend percentage requirement, the funding level in each of those National Priority Area investments must equal or exceed the percentage for that respective National Priority Area, calculated as a percentage of the state's SHSP allocation in the table below. The funding levels across all six National Priority Areas must equal or exceed 30% of the total SHSP allocation.
FY 2023 SHSP ALLOC.=',TIONS
W
$1I is vas ix vx - 04 .1 I ,l i. - j I 1$ fl__QQllQfllQ ' i 47 .1 il
II Ifi Jar!ldal 1151 A'i U J !J l
1%i 1 If Ifi Jj-'Jddlll: if i j "a Ij Ig
mir'q !!I!Iuixixv i
I !!!I
i'!
' i k N
Alabama $4,847,500 ' Montana - 54,847,500
Alaska $4,847,500 Nebraska $4,847,500
American Samoa $1 ,108,000 Nevada $4,847,500
Arizona $4,847,500 New Hampshire $4,847,500
Arkansas $4,847,500 New Jersey $7,07 4,841
California $57,035,623 New Mexico $4,847,500
Colorado $4,847,500 New York $68,033,267
Connecticut $4,847,500 North Carolina $5,085,387
FY 2023 HSGP NOFO Back to the Top
497
EXHIBIT F
13 W, !lrm' wit,q< *:T'ffiiiii!A J(.ii!J41fflffl.S n
il
I
n'jr/!Tlr'! *
.J fi iolii IJ' l'lp
Rffll!mW!j!'! !
I
U!,
RI
il!llffilllllfflfflHfll'!!! tl!!M ' Delawar-e - $4,847,500 North Daketa 54,847,500 District of Columbia $5,085,387 Northern Mariana Islands $1,108,000 Florida $9,343,905 Ohio $6, 190,947
Georgia $5,288,656 Oklahoma $4,847,500
Guam $1,108,000 Oregon $4,847,500
Hawaii $4,847,500 Pennsylvania $8,136,252
Idaho $4,847,500 Pueito Rico $4,847,500
Illinois $13,894,910 Rhode Island $4,847,500
Indiana $4,847,500 South Carolina $4,847,500
Iowa $4,847,500 South Dakota $4,847,500
Kansas $4,847,500 Tennessee $4,847,500
Kentucky $4,847,500 Texas $18,210,451
Louisiana $4,847,500 U.S. Virgin Islands $1,108,000
Maine $4,847,500 Utah $4,847,500
Maryland $7,07 4,841 Vermont $4,847,500
Massachusetts $6,1 90,947 Virginia $8,136,252
Michigan $5,085,387 Washington $6, 190,947
Minnesota $4,847,500 West Virginia $4,847,500
Mississippi $4,847,500 Wisconsin $4,847,500
Missouri $4,847,500 Wyoming $4,847,500
*X t!4,i
i !!?!! :i ii:1 !
I
i ) i
UASI Allocations
Eligible candidates for the FY 2023 UASI program are identified in the table below.
Eligibility has been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSA) in the United States, in accordance with the Homeland SecurityAct of 2002, as amended.Detailed information on MSAs is publicly available from the United States Census Bureau at Metropolitan and Micropolitan (census.gov). THIRA/SPR results do not impact grant allocations or awards.
The Metropolitan Areas Standardization and Protection (MAPS) Act of 2021 (P.L. 117-219) prohibits automatically updating core-based statistical' areas, which are used to delineate MSAs, for grantmaking. The MAPS Act requires that FEMA issue notice-and-comment rulemaking to make any changes. Should changes be necessary in FY 2024, FEMA will issue notice-and-comment rulemaking within the statutorily defined guidelines.
The following table identifies the UASI allocations for each high-risk urban area based on DHS/FEMA's relative risk methodology pursuantto the Homeland Security Act of 2002, as amended.
Back to the Top
70 FY 2023 HSGP NOFO
498
EXHIBIT F
14 In its application, each high-risk urban area, through the state, must include a separate U for each of the five National Priority Areas with minimtim spend requirements. All projects related to the minimum spend for the National Priority Area must be included in the IJ.
For the National Priority Areas that have a minimum spend percentage requirement, the funding level in each of those National Priority Area investments must equal or exceed the percentage for that respective National Priority Area, calculated as a percentage of the urban area's UASI allocation in the table below. The funding levels across all six National Priority Areas must equal or exceed 30% of the total UASI allocation.
FY 2023 '!!ASI AI,LOCATIONS
w
I lffi si..s aaix a
ai I* I s if ff 4
i
uil !ff*n
4,! a
i. if 71 K m(} i
i
]
il j W B .1 al <)
?,Th
I a fflffl s ss i g a * saa r ffl a b Jt
Arizona Phoenix Area $5,250,000
Califonnia
Anaheim/Santa Ana Area $5,250,000
Bay Area $36,493,265
Los AngelesA,ong Beach Area $66,17 4,270
Riverside Area $3,900,000
Sacramento Area $3,800,000
San Diego Area $16,445,560
Colorado Denver Area $3,900,000
District of Columbia National Capital Region $50,360,095 Florida
Jacksonville Area $1 ,500,000
Miami/Fort Lauderdale Area $14,528,750
Orlando Area $3,800,000
Tampa Area $3,800,000
Georgia Atlanta Area $7,700,000
Hawaii Honolulu Area $1 ,500,000
Illinois Chicago Area $66,17 4,270
Indiana Indianapolis Area $1 ,645,333
Louisiana New Orleans Area $1 ,645,333
Maryland Baltimore Area $3,800,000
Massachusetts Boston Area $16,646,500
Michigan Detroit Area $5,250,000
Minnesota Twin Cities Area $5,250,000
Missouri
Kansas City Area $1,645,333
St. Louis Area $3,800,000
Nevada Las Vegas Area $5,250,000
New Jersey Jersey City/Newark Area $18,631,275
New York New York City Area $173,950,017
Noith Carolina Charlotte Area $3,800,000
Cincinnati Area ' $1 ,645,333
Back to the Top
7/
FY 2023 HSGP NOFO
499
EXHIBIT F
15 OPSG Allocations
For FY 2023, DHS/FEMA will award OPSG funds based on risk and the aiiticipated effectiveness of the proposed use of grant funds upon completion of the application review process. The FY 2023 0PSG risk assessment is designed to identify the risk to border security and to assist with the distribution of funds for the grant program. Funding under OPSG is distributed based on the risk to the security of the border and the effectiveness of the proposed projects. Entities eligible for funding are the state, local, and tribal law enforcement agencies that are located along the border of the United States. DHS/FEMA will make final award determinations based upon a review of the anticipated effectiveness of the state's application as described in Section D, below. The THIRA/SPR process is not required for OPSG.
For the purposes of OPSG, the risk is defined as the potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence.
Based upon ongoing intelligence analysis and extensive security reviews, DHS/CBP continues to focus the bulk of OPSG funds based upon risk analyses. The risk model used to allocate OPSG funds considers the potential risk that certain threats pose to border security and estimates the relative risk faced by a given area. In evaluating risk, DHS/CBP considers intelligence, situational awareness, criminal trends, and statistical data specific to each of the border sectors, and the potential impacts that these threats pose to the security of the border area. For vulnerability and consequence, DHS/CBP considers the expected impact and consequences of successful border events occurring in specific areas.
Threat and vulnerability are evaluated based on specific operational data from DHS/CBP.
Threat components present in each of the sectors are cised to determine the overall threat score. These components are terrorism, criminal aliens, drug trafficking organizations, and alien smuggling organizations.
Back to the Top
7Z
FY 2023 HSGP NOFO
500
EXHIBIT F
16 Effectiveness of the proposed investments will be evaluated based on the recipient's investment strategy, budget, collaboration, and past performance.
2. Projected Number of Awards: 56
3. Period of Performance: 36 months
Extensions to the period of performance are allowed. For additional information on period of performance extensions, please refer to Section H of this NOFO and the Preparedness Grants Manual,
FEMA awards under most programs, including this program, only include one budget period, so it will be sameasthe period of performance. See2 C.F.R. § 200.1 for definitions of "budget period" and "period of performance."
4. Projected Period of Performance Start Date(s): 09/1/2023
5. Projected Period of Performance End Date(s): 8/31/2026
6. Funding Instrument Type: Grant
C. Eligibility Information
1. F,ligible Applicants
The SAA is the only entity eligible to submit HSGP applications to DHS/FEMA, including those applications submitted on behalf of UASI and OPSG applicants. All 56 states and tenitories, including any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. Tribal governments may not apply directly for HSGP funding; however, funding may be available to tribes throrigh the SAA.
2. Applicant Eligibility Criteria
Eligible high-risk rirban areas for the FY 2023 UASI program have been determined through an analysis of relative risk of terrorism faced by the 100 most populous MSAs in the United States. Subawards will be made by the SAAs to the designated high-risk urban areas.
For 2023, each SAA is strongly encouraged to re-evaluate its process for collecting and evaluating subaward applications. FEMA encourages each SAA to minimize the type and quantity of information that it collects as part of the subaward application process, in order to decrease the overall financial and time burden associated with applying for subawards under this grant program. Each SAA should review its subaward application, and reduce or eliminate the request for any information that is not needed for legal, financial, or oversight purposes.
In FY 2023, OPSG eligible subrecipients are local units of government at the county level or equivalent level of government and federally recognized tribal governments in states FY 2023 HSGP NOFO Back to the Top
501
EXHIBIT F
17 bordering Canada or Mexico and states and territories with international water borders. All applicants must have active ongoing USBP operations coordinated through a CBP sector office to be eligible for OPSG funding.
In FY 2023, OPSG subrecipients eligible to apply for and receive a subaward directly from the SAAs are divided into three Tiers. Tier l entities are local units of government at the county level or equivalent and federally recognized tribal governments that are on a physical border in states bordering Canada, states bordering Mexico, and states and territories with international water borders. Tier 2 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 1 county. Tier 3 eligible subrecipients are those not located on the physical border or internatioiial water but are contiguous to a Tier 2 eligible subrecipient. The tier structure is only applicable with regard to eligibility. OPSG funding allocations are based 011 the assessed border security risks as determined by the USBP.
An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: l) a currerit employee,persowel, official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application.
Further, the Authorized Organization Representative (AOR) must be a duly authorized current employee, personnel, official, staff, or leadership of the recipient and provide an email address unique to the recipient at the time of application and upon atxychange in assignmerit during the period of performatxce. Coixsultants or contractors of the recipient are not permitted to be theAOR of the recipient.
3. Other Eligibility Criteria/Restrictions
a. National Incidetxt Management System (NIMS) Implementatgotx Prior to allocation of any federal preparedness awards, recipients must ensure and maintain adoption and implementation of NIMS. The list of objectives used for progress and achievementreporting is on FEMA's website at NIMS Implementation and Training i FEMA.gov.
Please see the Preparedness Grants Manual for more information on NIMS. b. Emergency ManagememAssistance Compact (EM4C) Membership In support of the National Preparedness Goal (tlie Goal), SHSP recipients must belong to, be in, or act as a temporary member of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets suppoited in part or entirely with FY 2023 HSGP funding must be readily deployable and NIMS-typed, when possible, to suppoit emergency or disaster operations per existing EMAC agreements. In addition, funding may be rised for the sustainment of core capabilities that, while they may not be physically deployable, support national response capabilities, such as Geographic/Geospatial Information Systems, Back to the Top
72'
FY 2023 HSGP NOFO
502
EXHIBIT F
18 interoperable communications systems, capabilities as defined rinder the Mitigation Mission Area of the Goal, and fusion centers.
c. Law Enforcement Terrorism Prevention Activities (LETPA) Per section 2006 of the Homeland Security Act of 2002, as amended (6 U.S.C. § 607), DHS/FEMA is required to ensure that at least 25% of grant funding appropriated for grants awarded rinder HSGP's authorizing statute are used for LETPAs. For FY 2023, DHS/FEMA is requiring that at least 35% of grant funding appropriated under HSGP is used for LETPA. DHS/FEMA meets this requirement, in part, by requiring all recipients allocate at least 35% of the combined HSGP funds allocated under SHSP and UASI towards LETPAs, as defined in 6 U.S.C. § 607. The LETPA allocation can be from SHSP, UASI, or both. The 35% LETPA allocation may be met by fimding projects in any combination of the six National Priority Areas identified above and any other investments. The 35% LETPA allocation requirement is in addition to the 80% pass-through reqriirement to local units of government and tribes, referenced below. The Preparedness Grants Manual and Information Bulletin (IB) 473 include additional information on project selection considerations and allowable activities for LETPA investments. Also see Section D.l4.f "Allowable Costs Matrix."
The National Prevention Framework describes those activities that sliould be executed ripon tlie discovery of intelligence or information regarding an imminent threat to the homeland, to thwart an initial or follow-on teirorist attack and provides guidance to ensure the Nation is prepared to identify, prevent, avoid, or stop a threatened or actual act of terrorism. Activities oritlined in the National Prevention Framework are eligible for use as LETPA-focused funds.
Also, where capabilities are shared with the protection mission area, the National Protection Framework activities are also eligible. All other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator.
To ensure that DHS/FEMA's policy guidance on the use of LETPA funds reflects the evolving threat environment, is responsive to stakeholder feedback, is clear and easy to understand, and is applied consistently across grant recipients, DHS/FEMA will issue additional guidance through an Infornnation Bulletin for the FY 2023 HSGP. This guidance will provide applicants and recipients further clarification on how to account for LETPA activities. It will also provide clarification on what should be included in the investment justifications, best practices for submitting investment justifications for LETPA claimed activities, as well as information on how to distinguish LETPA activities from others. The Information Bulletin will be issued concurrently or soon after the release of this NOFO.
In support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events, operational overtime costs are allowable for increased protective security measures at critical infrastructure sites or other high-risk locations and to enhance public safety during mass gatherings and high-profile events. For more information about operational overtime costs, see Section D. 14.f of this NOFO and the Preparedness Grants Manual.
4. Cost Share or Match
Back to the Top
7j=
FY 2023 HSGP NOFO
503
EXHIBIT F
19 There is no cost share or match requirement for the FY 2023 HSGP.
D. Application and Submission Information
1. Key Dates and Times
a. Applicatiorz StartDate: 02/27/2023
b. Applicatiori Submissiotx Deadline: 05/18/2023 at 5 p.m. ET All applications must be received by the established deadline.
The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see the subsection titled "Timely Receipt Requirements and Proof of Timely Submission" in Section D of this NOFO.
FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may inchide technical problems outside of the applicant's control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.
Applicants experiencing technical problems outside of their control must notify FEMA as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the award. "Timely notification" means prior to the application deadline and within 48 hours after the applicant became aware of the issue.
A list of FEMA contacts can be found in Section G of this NOFO, "DHS Awarding Agency Contact Information." For additional assistance using the ND Grants Systen'i, please contact the ND Grants Service Desk at (800) 865-4076 or [email protected]. The ND Grants Service Desk is available Monday through Friday, 9:00 AM - 6:00 PM Eastern Time (ET).
For programmatic or grants management questions, please contact your Preparedness Officer or Grants Management Specialist. If applicants do not know who to contact, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at [email protected]'is.gov, Monday through Friday, 9:00 AM - 5:OOPM ET. c. Anticipated Ftmding Selection Date: No later than 07/21/2023 d. AnticipatedAwardDate: No later than 09/30/2023
e. Other Key Dates
Event Suggested Deadline for Completion
Initial registration in SAM.gov
includes UEI issuance
Four weeks before actual submission deadline
Back to the Top
7@
FY 2023 HSGP NOFO
504
EXHIBIT F
20 Event Suggested Deadline for Completion
Obtaining a valid Employer
Identification Number (EIN)
Four weeks before actual submission deadline
Creating an account witli login.gov Four weeks before actual submission deadline Registering in SAM or updating SAM
registration
Four weeks before actual submission deadline
Registering in Grants.gov Four weeks before actual submission deadline Registering in ND Grants Four weeks before actual submission deadline Starting application in Grants.gov One week before actual submission deadline Submitting application in Grants.gov Three days before actual submission deadline Submitting the final application in
ND Grants
By the submission deadline
2, Agreeing to Terms and Conditions of the Award
By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award.
3. Address to Request Application Package
See the Preparedness Grants Manual for requesting and submitting an application.
Initial applications are processed through the Grants.oov portal. Final applications are completed and submitted through FEMA's Non-Disaster Grants (ND Grants) System.
Application forms and instructions are available at Grants.gov. To access these materials, go to littp://www.grants.gov.
4. Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for Award Management (SAM)
Each applicant, unless they have a valid exception under 2 CFR 25.110, must:
1) Be registered in SAM.gov before application submission; 2) Provide a valid Unique Entity Identifier (UEI) in its application; and 3) Continue to always maintain an active System for Award Management (SAM) registration with current information during the Federal Award process if selected for award.
5. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
Applying for an award rnider this program is a multi-step process and requires time to complete. Applicants are encouraged to register early as the registration process can take four weeks or more to complete. Therefore, registration shorild be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines.
Please review the table above for estimated deadlines to complete each of the steps listed.
Failure of an applicant to comply with any of the required steps before the deadline for submitting an application may disqualify that application from funding.
To apply for an award rinder this program, all applicants must:
FY 2023 HSGP NOFO Back to the Top
77 505
EXHIBIT F
21 a. Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov and Employer Identification Number (EIN) from the Internal Revenue Service; b. In the application, provide an UEI number;
c. Have an account with ;
d. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;
e. Create a Grants.gov account;
f. Add a profile to a Grants.gov account;
g. Establish an Authorized Organizational Representative (AOR) in Grants.gov; h. Register in ND Grants
i. Submit an initial application in Graiits.gov;
j. Submit the final application in ND Grants, including electronically signing applicable forms; and
k. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. As part of this, applicants must also provide information on an applicant's immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.
Specific instuctions on how to apply for, update, or verify an UEI number or SAM registration or establish an AOR are included below in the steps for applying throrigh Grants.gov.
Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable SAM requirements. Therefore, an applicant's SAM registration must be active not only at the time of application, but also during the application review period and when FEMA is ready to make a federal award. Further, as noted above, an applicant's or recipient's SAM registration must remain active for the duration of an active federal award. If an applicant's SAM registration is expired at the time of application, expires during application review, or expires any otlier time before award, FEMA may deteimine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.
Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevents it from obtaining an UEI nun'iber and completing SAM registration prior to receiving a federal award, tlie applicant must notify FEMA as soon as possible by contacting [email protected] the detailsof the circumstancesthat prevent completion of these requirements. If FEMA determines that there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain an UEI number, if applicable, and complete SAM registration within 30 days of the federal award date.
6. Electronic Delivery
Back to the Top
7f'
FY 2023 HSGP NOFO
506
EXHIBIT F
22 DHS is participating in the Grants.gov initiative to provide the grant commrinity with a single site to find and apply for grant funding opporhinities. DHS encourages or requires applicants to submit their applications online througli Grants.gov, depending on the funding opportunity.
For this funding opportunity, FEMA requires applicants to submit initial applications through Grants.gov and a final application through ND Grants.
7. How to Register to Apply through Grants.gov
For infoimation on how to register to apply through Grants.gov, please see the Preparedness Grants Manual.
8. How to Submit an Initial Application to FEMA via Grants.gov Standard Form 424 (SF-424) is the initial application for this NOFO.
Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each Notice of Funding Opportunity, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least seven days before the application deadline.
In Grants.gov, applicants must submit the following forms:
* SF-424, Application for Federal Assistance; and
* Grants.gov Lobbying Form, Certification Regarding Lobbying.
For further information on how to submit an initial application via Grants.gov, please see the Preparedness Grants Manual.
9. Submitting the Final Application in ND Grants
After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.
Applicants needing assistance registering for the ND Grants system should contact [email protected] or(800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please see Non-Disaster Grants Management System FEMA.gov.
In ND Grants, applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10 of this NOFO, "Content and Form of Application Submission." The Standard Forms (SF) are auto generated in ND Grants, but applicants may access these forms in advance through the Forms tab under Back to the Top
7f
FY 2023 HSGP NOFO
507
EXHIBIT F
23 the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.
For additional application submission requirements, including program-specific requirements, please refer to the subsection titled "Content and Form of Application Submission" under Section D of this NOFO.
10. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants %ency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants System. Please allow 24 hours for your ND Grants application tracking number to migrate.
All applications must be received in ND Grants by 5:00 PM ET on the application deadline.
Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.
11. Content and Form of Application Submission
a. StandardRequiredApplication Forms andlnfoimation
The following forms or information are required to be submitted in either Grants.gov or ND Grants. The Standard Forms (SF) are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at SF-424 Family i Grants.gov.
I. GRANTS.GOV
* SF-424, Application for Federal Assistance, initial application submitted through Grants.gov
* Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov
n. 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-Construchon), submitted via the forms generated by ND Grants
Back to the Top FY 2023 HSGP NOFO
508
EXHIBIT F
24 o For construction under an award, submit SF-424D, Standard Assurances (Construction), sribmitted via tlie forms generated by ND Grants, in addition to or instead of SF-424B
@ SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants
* Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreemerit or proposal, please see Section D.13 of this NOFO, "Funding Restrictions and Allowable Costs," for fuither information regarding allowability of indirect costs and wl'iether alternatives to an indirect cost rate agreement or proposal might be available, or contact tlie relevant FEMA staff identified in Section G of tliis NOFO, "DHS Awarding Agency Contact Information" for further instructions. b. Program-Spe4cRequiredFormsandlnformation
s. IJ DEVELOPMENT: SHSP AND UASI
As part of the FY 2023 HSGP application process for SHSP and UASI funds, applicants mtist develop formal Us that address the proposed investments. Failure to fulfill all of the terms contained in this section will be considered by DHS/FEMA in its evaluation of the effectiveness of the Us submitted to meet tlie minirtuim percent spend reqriirement for tlie National Priority Areas. Failure to sufficiently align projects to the National Priority Areas and meet the minimum percent spend requirement will result in funds being placed on hold rintil those issues are addressed.
FY 2023 SHSP and UASI applications must include one (1) U and at least one (1) respective project for each of the five National Priority Areas with a minimum spend requirement (So'ft Targets/Crowded Places, Intelligence and Infotmation Sharing, Countering Domestic Violent Extremism, Election Security, and Community Preparedness and Resilience) identified in this NOFO. Each of these Us must also meet or exceed the minimum percent spend requirement based on the applicant's SHSP and UASI allocation stated in this NOFO. All projects associated with the minimum spend of a National Priority Area must be submitted in the same IJ. SAAs may submit complete projectlevel information at the time of application but are not required to do so at the time of application. However, any SHSP or UASI application that does not include an U for each National Priority Area that meets the minimum spend requirement will have that funding placed on hold (up to the National Priority Area minimum percent and up to 30% of the total SHSP or UASI allocations) until those Us and project-level details that sufficiently address the National Priority Areas are received and approved by DHS/FEMA.
Back to the Top
n
FY 2023 HSGP NOFO
509
EXHIBIT F
25 Each U must demonstrate how proposed investments:
* Support terrorism preparedness; and
* Suppoit building capability and/or closing capability gaps or sustaining capabilities identified in the community's THIRA/SPR process.
Each U must explain how the proposed investments will support the applicant's efforts to:
* Prevent a threatened or an actual act ofterrorism;
* Prepare for all hazards and threats, while explaining the nexus to terrorism preparedness;
* Protect citizens, residents, visitors, and assets against the greatest threats and hazards, relating to acts of terrorism; and/or
* Respond quickly and eqriitably to save Iives, protect property and the environment, and meet basic human needs in the afterinath of an act of terrorism or other catastrophic incidents.
If not included in the application, SHSP and UASI recipients must submit complete project-level information for each SHSP and UASI U as part of the Biannual Strategy Implementation Report (BSIR) due by January 30, 2024. This includes Us for the National Priority Areas.
DHS/FEMA will evaluate the effectiveness of the projects submitted in support of the National Priority Areas, either at the time of application or as part of the December 2023 BSIR due January 30, 2024. DHS/FEMA will not reduce FY 2023 HSGP awards based on the effectiveness review but will work with recipients to ensure compliance with the National Priority Area requirements based on the results of the effectiveness review.
Recipients and subrecipients will not be peixitted to expend funding under the National Priority Areas until the effectiveness of the proposed projects l'ias been reviewed and confirmed by FEMA.
n. DEVELOPMENT OF INVESTMENTS AND PROJECTS: SHSP AND UASI * Applicants must propose at least 5 and may include up to 12 investments. * Within each investment, applicants must propose at least one project to describe the activities they plan to implement with SHSP and UASI funds. There is no limit to the number of projects that may be submitted.
* Required National Priority Area Us must include the name of the priority in the investment name for easy identification.
* All requested funding must be associated with specific projects. For each project, several pieces of information must be provided to submit the project for consideration in the application, including:
o Project name;
o
o
o
o
Project description;
Subrecipient name, if applicable;
Recipient type (e.g., state or local);
Project location (zip code of the primary location of the project); FY 2023 HSGP NOFO Back to the Top
510
EXHIBIT F
o Primary core capability the project supports;
o Whether the project activities are shareable and deployable; and o Which National Priority Area (if any) the project supports. * Projects should describe how the proposed iiivestment suppoits building capability and/or closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. * FEMA encourages states to use any DHS provided assessments, such as those performed by DHS's Protective Security Advisors and Cybersecurity Advisors, when developing their Us.
III. NATIONAL PRIORITY AREA II'SIVESTMENTS: SHSP AND UASI States are encouraged to review the Strategic Framework for Countering Terrorism and Tareeted Violence when developing investments.
@ Soft Targets/Crowded Places (3%)
Soft targets and crowded places are increasingly appealing to terrorists and other yiolent extremist actors because of their relative accessibility and the large number of potential targets. This challenge is complicated by the prevalent use of simple tactics and less sophisticated attacks. Segments of our society are inherently open to the general priblic, and by nature of their purpose do not incorporate strict security measures. Given the increased emphasis by terrorists and other violent extremist actors to leverage less sophisticated methods to inflict harm in public areas, it is vital that the public and private sectors collaborate to enhance security of locations such as transportation centers, parks, restaurants, shopping centers, special event venues, polling places, and similar facilities.
The malicious rise of unmai'u'ied aircraft systems poses a threat to the safety and security of the American people, communities, and institutions. Technologies to detect or mitigate unmanned aircraft systems are an allowable use under the HSGP in accordance with the Domestic Counter-Unmanned Aircraft Systems (UAS) National Action Plan. Recipients should ensure that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, they seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws which may apply to the use of such technologies.
Given the increased risk to soft targets and crowded places, at least one investment must be in support of the state's and high-risk urban area's efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for soft targets/crowded places and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments.
States are also encouraged to engage DHS' Protective Security Advisors' security assessments of soft targets to ensure that recommendations from those assessments are taken into consideration when allocating grant funding.
Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency and the National Institute of Standards and Technology.
FY 2023 HSGP NOFO Back to the Top
,:fz511
EXHIBIT F
* Information and Intelligence Sharing (3%)
Effective homeland security operations rely on access to, analysis of, and the timely sliaring of open source, unclassified, and classified information, suspicious activity repoits, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism, threats to life, targeted violence, and other threats within the DHS mission space. Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure partners, stakeholders, and senior leaders receive actionable intelligence and information necessary to inform their decisions and operations. A critical and statutorily charged mission of DHS is to deliver intelligence and information to federal, state, local, tribal, and territorial governments and private sector partners. Cooperation and information sharing among state, local, tribal, territorial, and federal partners across all areas of the homeland security enterprise, including counteiterrorism, while upholding privacy, civil rights, and civil libeities protections, is critical to homeland security operations and the prevention of, preparation for, protection against, and response to acts of terrorism, and other threats to life and criminal acts of targeted violence. Counterterrorism includes both international and domestic terrorism, cybersecurity, border security, transnational organized crime, immigration enforcement, economic security, and other areas.
Given the importance of information sharing and collaboration to effective homeland security solutions, at least one investment must be in support of the state's and high-risk urban area's efforts to enhance information sharing and cooperation with DHS and other federal agencies. As noted above, tliis requirement must include at least one dedicated fusion centerpro3cct.Additional instructions on development of the fusion centerproject can be found below. Applicants must justify persuasively how they will contribute to the information sharing and collaboration purposes of the investment and a culture of national preparedness. Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for information sharing and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments.
Additional resources and information regarding collaboration and information sharing are available through the Department's Office of Intelligence and Analysis. * Domestic Violent Extremism (3%)
As stated in the Homeland Threat Assessment October 2020, domestic violent extremists, including ideologically motivated lone offenders and small groups, present the most persistent and lethal terrorist threat to the Homeland. These violent extremists capitalize on social and political tensions, which have resulted in an elevated threat environment.
They utilize social media platforms and other technologies to spread violent extremist ideologies that encourage violence and influence action within the United States. The COVID-19 pandemic has fuither created an environment that may lead to accelerated mobilization to targeted violence and/or radicalization to domestic terrorism, including leveraging lawful protests to incite violence, intimidate targets, and promote their violent extremist ideologies.
Back to the Top
fl
FY 2023 HSGP NOFO
512
EXHIBIT F
Given the rise of domestic violent extremism in recent years, at least one investment mrist be in support of the state's and high-risk urban area's effoits to combat the rise, influence, and spread of domestic violent extremism. Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for domestic violent extremism and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments.
Additional reSOtlrCeS and information regarding domestic violent extremism are available throrigh Center for Prevention Programs and Paitnerships i Homeland Security (dlis.gov). * Cybersecurity (no minimum percent)
Today's world is more interconnected than ever before, but with increased connectivity comes increased risk of our adversaries, including terrorists, exploiting cyber vulnerabilities and weaknesses to disrupt our way of life. While not reqriired, applicants are encouraged to submit an investment related to their ongoing or near-term high priority cybersecurity projects. The investment will be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments. Cybersecurity investments must support the security and functioning of critical infrastructure and core capabilities as they relateto preventing, preparing for, protecting against, or responding to acts of terrorism. Recipients and subrecipients of FY 2023 HSGP grant awards will be required to complete the 2023 Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The Chief Information Officer (CIO), Chief Information Security Officer (CISO), or equivalent for each recipient should complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment. The NCSR is available at no cost to the riser and takes approximately 2-3 horirs to complete. The 2023 NCSR is estimated to be open from October 2023 through February 2024.
The NCSR is an annual requirement for recipients and subrecipients of HSGP fiinds and is taken once for each fiscal year award. Additionally, FEMA recognizes that some subawards will not be issued rmtil after the NCSR has closed. In such cases, such subrecipients will be required to complete the first available NCSR offered after the subaward has been issued by the pass-through entity. Althorigh not required by SLTTs that did not receive HSGP funds, all SLTT agencies with preparedness responsibilities are highly encouraged to participate and complete the NCSR to evaluate their cybersecurity posture. For detailed information and background on the NCSR, please see IB 439,
Additional resources and information regarding cybersecurity and cybersecurity performance goals are available through the Cybersecurity and Ii'ifrastructure Security Agency, Cross-Sector Cybersecurity Performance Goals i CISA, and the National Institute of Standards and Technology.
* Community Preparedness and Resilience (3%)
Community organizations are the backbones of American civic life, both during "blue skies" and in the aftermath of terrorist attacks. Community organizations, such as FY 2023 HSGP NOFO Back to the Top
513
EXHIBIT F
homeless shelters, food banks, public libraries, faith-based institutions, and nonprofit medical providers must have the capabilities to withstand acts of terrorism and provide essential services, especially to members of underserved communities, in the aftermath of an attack. In addition, individual citizens and volunteer responders, such as Community Emergency Response Teams, are often the first on the scene after a terrorist attack. The ability of these vohmteers to provide assistance to their fellow citizens prior to the arrival of professional first responders is paramount to a community's resilience. FEMA's National Household Survey recorded a 4% decline in the number of Americans that have taken at least three preparedness actions to bolster individual and household resilience. In addition, the COWD-19 pandemic has placed a significant burden on community-based organizations such as homeless shelters, food banks, public libraries, faith-based institutions, and nonprofit medical providers to continue to provide key services during and a'fter disasters, including acts of terrorism. This National Priority Area will bolster community preparedness and resilience by investing in local, community-driven capabilities.
Additionally, equity in emergency management requires proactively prioritizing actions that reinforce cultural competency, accessibility, and inclusion, as well as reflect the historical context of specific grorips of people. To that end, states, territories, and highrisk urban areas are strongly encouraged to explore how SHSP- and UASI-funded activities can address the needs of underserved, at-risk communities to help ensure consistent and systematic, fair, just, and impartial treatment of all individuals before, during, and after a disaster.
The focus on equity and investing in strategies that meet the needs of underserved communities will strengthen the whole of community system of emergency management.
Substantial and ongoing prioritization of, and investment in, underserved communities is essential for the entire system to be effective and efficient. Engaging the whole community requires all members of the community to be part of the emergency management team, including representatives of underserved communities, diverse community members, social and community service groups and institutions, faith-based and disability advocacy groups, academia, professional associations, the private and nonprofit sectors, and governrnent agencies that may not traditionally have been directly involved in emergency management. The whole community includes children; older adults; individuals with disabilities and others with access and functional needs; those from religious, racial, and ethnically diverse backgrounds; people with limited English proficiency; and owners of animals including household pets and service animals.
These factors underpin the requirement that at least one investment must be in support of the state's and urban area's efforts to address community preparedness and resilience.
Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for community preparedness and resilience and will also be subject to DHS/FEMA's evahiation of the effectiveness of the proposed investments.
Additional resources and infoimation regarding community preparedness and resilience are available throrigh IndividuaIs and Communities i FEMA.gov.
Back to the Top FY 2023 HSGP NOFO
514
EXHIBIT F
30 * Election Security (3%)
In January 2017, DHS designated the infrastructure used to administer the Nation's elections as critical infrastructure. This designation recognizes that the United States' election infrastructure is of such vital importance to the American way of life that its incapacitation or destruction would have a devastating effect ort the country. Securing election infrastructure, ensuring its continued operation in the face of threats and harassment, advancing the safety of election officials, and ensuring an election free from foreign interference are national security priorities. Threats to election systems are constantly evolving, so defending these systems requires constant vigilance, innovation, and adaptation. As such, at least one investment must be in support of the state's and high-risk urban area's efforts to enhance physical election security and/or cyber election security. Additionally, the proposed investment must meet or exceed the FY 2023 national priority percentage for election security and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments.
The SAA thus/ include the State's Chief Election Official for all projects and matters related to the election security National Priority Area. Any activities proposed that could be used to suppress voter registration or turnout will not be approved.
Additional resources and information regarding election security are available through the Cybersecurity and Infrastructure Security Azency.
tv. DEVELOPMENTOFFUSIONCENTERPROJECTS:SHSPANDUASI
Each applicant must identify a fusion center project that will:
* Indicate alignment to a designated Fusion Center; and * Provide both a brief narrative description and funding itemization for the proposed project activities that directly support the designated fusion center.
The descriptive narrative and the financial itemization should align improvement or sustainment requests with fusion center activities as they relate to the Fusion Center Performance Measures forind in the Preparedness Grants Manual.
Sample Fusion Center Ftmding Itemization
A sample project description and funding itemization are below. For the itemized projects, clearly identify the anticipated fusion center performance improvement or sustaintnent as a result of the proposed funding.
TheX Fusion enhancemeMproject will fimd:
* Salaries, benefits,and training for X number of Fusion Center intelligence analysts * Travel costsassociatedwith fusion center analyst training * Thisproject will directly sustain the Center's current capabilities andperformance and directly aligns with performance measures2023.XXX
* Weanticipate seeing an improvement in the quality and quantity of analytic production arid responsesto requestsfor information as a direct result qf the fimding of this project
FY 2023 HSGP NOFO Back to the Top
,!i7515
EXHIBIT F
31 The funding itemization for a fusion center project should include the amount and percent of each relevant solution area. As an example:
v. COMPLETINGIJSINTHEGRANTREPORTINGTOOL(GRT):SHSPANDUASI In the Related Documents section of the posting, applicants can find the IJ template and instructions for collecting the required information for investments and projects.
Additionally, applicants should utilize the Project Worksheet located in posting to assemble the information required for each project, which will facilitate the input of that information into the GRT.
Applicants must ensure the appropriate National Priority Area "Investment Type" (Overview Tab - InvestmentInformation Section) is selectedfor the corresponding National Priority Area.
VI. DEVELOPMENT OF CONCEPT OF OPERATIONS FOR OPSG
As part of the FY 2023 0PSG application process, each eligible local unit of government at the county or federally recognized tribal government level must develop a strategic plan called a Concept of Operations (CONOP)/Application, which is a formal proposal of action to address a specific situation and forms the basis for Operations Orders, in coordination with state and federal law enforcement agencies, to include, but not limited to CBP/USBP.
CONOPs that are developed at the county level should be inclusive of city, county, tribal, and other local law enforcement agencies that are eligible to participate in OPSG operational activities, and the CONOP/Application should describe participating agencies in the Executive Summary.
CONOP/Application details should include the names of the agencies, points of contact, and individual funding requests. All CONOPs/Applications must be developed in collaboration with the local USBP sector office, the SAA, and the local unit of government. Requests for fiinding in CONOPs/Applications must be based on risks and the operational enforcement suppoit requirements of its corresponding USBP Sector, as well as the national priorities identified below. USBP Sector offices will forward the CONOPs to USBP Headquarters for vetting and coordination. Applicants will forward corresponding OPSG Applications to the SAA for submission to FEMA. USBP Headquarters will reconcile all submitted CONOPs with the OPSG Applications. FEMA will review and evaluate all CONOPs and OPSG Applications and funding will be allocated based on the review and selection criteria identified in this NOFO.
FY 2023 HSGP NOFO Back to the Top
:Or 516
EXHIBIT F
32 OPSG Applicants will be required to clearly articulate and identify how the CONOPs will address the national priority identified below:
* Information and Intelligence Sharing and Cooperation
Effective border security operations rely on access to, analysis of, and the timely sharing of open source, rmclassified, and classified information, suspicioris activity reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism, threats to life, targeted violence, and other threats within the DHS mission space.
Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure paitners, stakeholders, and senior leaders receive actionable intelligence and information necessary to infoim their decisions and operations. One critical, statutorily required mission of DHS is to deliver intelligence and information to federal, state, local, and tribal governments and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including both international and domestic terrorism, cybersecurity, transnational organized crime, economic security, border security, immigration enforcement, and other areas, while ripholding privacy, civil rights and civil liberties protections, is critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism, and other threats to life and criminal acts of targeted violence.
Given the importance of information sharing and collaboration to effective homeland security solutions, the CONOP must support the recipient's efforts to enhance information sharing and cooperation with DHS and other federal agencies. Applicants must justify persuasively how they will contribute to the information sharing and collaboration purposes of the OPSG program and a culture of national preparedness.
Additional resources and information regarding collaboration and information sharing are available through the Department's Office of Intelligence and Analysis. vn. DETAILED Budget
Applicants must provide budget summary worksheets for all funds requested at the time of application. The budget summary worksheets must be complete, reasonable, and costeffective in relation to the proposed project and should provide the basis of computation of all project-related costs (including management and administrative costs) and any appropriate narrative. FEMA must be able to tliororighly evaluate the projects being submitted based on the information provided. FEMA must be able to determine how much funding is being passed tmough to subrecipients for each sub-program (UASI, SHSP, OPSG). Consequently, applicants must provide an appropriate level of detail within the budget summary worksheets to clarify what will be purchased and spent. Sample budget summary worksheets are available 011 the posting for the HSGP in the Related Documents tab and may be used as a guide to asSist applicants in the preparation of budgets and budget narratives.
12. Other Submission Requirements
Fusion Center Investments
FY 2023 HSGP NOFO Back to the Top
517
EXHIBIT F
Of the proposed SHSP- and UASI-funded investments, one single project must be in support of a designated fusion center. Recipients must coordinate with the fusion center when developing a fusion center project prior to submission. See additional information on how to develop the fusion center projects below and in the Preparedness Grai'its Manual.
Emergency Communications Investments
All emergency communications investments must describe how such activities align with needs identified in their Statewide Communication Interoperability Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governing Body (SIGB) when developing an emergency comrminications investment prior to submission to ensure the project suppoits the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. Effective project alignment will require advance coordination with the SWIC and consultation with governing bodies such as the SIGB or Statewide Interoperability Executive Committee, as they serve as the primary steering group for the statewide interoperability strategy. Additionally, recipients should consult subject matter experts serving on governance bodies, such as broadband experts, chief information officers, representatives from utilities, or legal and financial expeits, when developing proposals. The investment name must include the words "emergency communications" to easily identify any emergency communications investments.
13. Intergovernmental Review
An intergovernrnental review may be required. Applicants must contact their state's Single Point of Contact (SPOC) to comply with the state's process under Executive Order 12372 (See Executive Orders i National Arcliives and Intergovernmental Review (SPOC List) (wliiteliouse.gov)).
14. Funding Restrictions and Allowable Costs
All costs charged to awards covered by this NOFO must comply with the Uniform Administrative Reqriirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, the terms and conditions of the award, or the Preparedness Grants Manual. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards under this program is the same as the period of performance).
Federal funds made available through this award may be used for the purpose set forth in this NOFO, the Preparedness Grai'its Manual, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other govetnment entity. See the Preparedness Grants Manual for more information on funding restrictions and allowable costs. a. Prohibitiom on Experiding FEMA Award Funds for Covered Telecommutxicahons Equipment or Services
Back to the Top FY 2023 HSGP NOFO
518
EXHIBIT F
34 Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the Jolin 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. Pait 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 fiinds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons.
Guidance is available at Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, FEMA Policy #405-143-1, or superseding document.
Additional guidance is available at Contract Provisions Guide: Navigating Appendix II to Part 200 - Contract Provisions for Non-Federal Entity Contracts Under Federal Awards (fema.gov).
Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:
* Procure or obtain any equipment, system, or service that uses covered telecommunications eqriipment or services as a substantial or essential component of any system, or as critical technology of any system;
* Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommrmications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or * Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.
I. REPLACEMF,NT Eqvip<sr AND SERVICES
FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of the NOFO and the Preparedness Grants Manual. n. DEFINITIONS
Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications eqriipment or services means:
i. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities); ii. For the purpose of priblic 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);
FY 2023 HSGP NOFO Back to the Top
519
EXHIBIT F
35 iii. Telecommunications or video surveillance services provided by such entities or using such equipment; or
iv. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, tlie People's Republic of China.
Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of "covered telecommunications equipment or services." See 2 C.F.R. § 200.471. b. Pre-Award Costs
Pre-award costs are allowable only with the prior written approval of DHS/FEMA and as included in the award agreement. To request pre-award costs, a written request must be included with the application, signed by the AOR of the entity. The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval.
c, Managemem andAdministrahotx (M&A) Costs
M&A costs are allowed. Recipients may use a maximum of up to 5% of HSGP funds awarded for their M&A, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also use a maximum of up to 5% of the funding passed through by the state solely for M&A purposes associated with the HSGP award. M&A activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. M&A expenses must be based on actrial expenses or known contractual costs. M&A requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.
M&A costs are not operational costs. They are the necessary costs incurred in direct support of the grant or as a result of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, responding to official informational requests from state and federal oversight authorities, including completing the Civil Rights Evaluation Tool as required by DHS, and grant performance measurement or evaluation activities. Please see the Preparedi'iess Grants Manual for additional information on direct costs.
Recipients or subrecipients may apply or credit M&A funding toward the recipient's requirement to allocate funding toward the National Priority Areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its so'ft targets/crowded places investment, the recipient may credit that funding toward its reqriirement to allocate at least 3% of its award to the enhancing the protection of soft targets and crowded places National Priority Area.
Back to the Top
92 FY 2023 HSGP NOFO
520
EXHIBIT F
36 A state's HSGP funds for M&A calculation purposes includes the total of its SHSP, UASI, and OPSG awards. While the SAA may retain up to 5% of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum pass-through requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed through to local or tribal jurisdictions must be based on the state's total HSGP award prior to withholding any M&A.
In retaining these funds, states may retain a maximum of 2.5% of the OPSG allocation, which must be withheld from the pass-through to each subrecipient corinty 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 eqrial to 2.5% of the OPSG award. Examples applying this priiiciple:
SAA l :
Total award: $6,000,000
SHSP: $1,000,000 0PSG: $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 0PSG: $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 rised to manage and administer OPSG that is charged to SHSP may be above and beyond the $175,000 available to manage the SHSP allocation.
HSGP recipients are also reminded that any M&A charged to a recipient's or subrecipient's UASI funding must be directly allocable to administration of the UASI grant program and cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding.
Similarly, any M&A charged to a recipient's or subrecipient's SHSP or OPSG funding cannot be rised to cover M&A costs directly allocable to UASI funding.
Back to the Top
f3
FY 2023 HSGP NOFO
521
EXHIBIT F
37 d. Indirect Facilities & Administrative (F&A) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R.
Part 200 to liave a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the FEMA Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach orit to the FEMA Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreemem or proposal as discussed above or based upon on the de minimis rate or cost allocation plan, as applicable.
e. Ftmds Transfer Restrictiom
The recipient is prohibited from transferring funds between programs (includes SHSP, UASI, and OPSG). Recipients can submit an investment/project where funds come from multiple funding sources (e.g., SHSP and UASI), however, recipients are not allowed to divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS/FEMA.
f. Other Direct Costs
I. PLANNING
Planning costs are allowed under this program. Please see tlie Preparedness Grants Manual for more information.
II. ORGANIZATION
Organization costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
m. EQ{JIPMENT
Equipment costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
* General Purpose Equipment
HSGP allows expenditures on general purpose equipment if it aligns to and suppoits one or more core capabilities identified in the Goal and has a nexus to terrorism preparedness.
General purpose equipment, like all equipment funded under the HSGP, must be sharable through the EMAC3 and allowable rmder 6 u.s.c. § 609, and any other applicable provision of the Homeland SecurityAct of 2002, asamended.Examples of such general-purpose 3Except for American Samoa and the Commonwealth of the Noithern Mariana Islands, which are not required to belong to EfVfAC at this time.
FY 2023 HSGP NOFO Back to the Top
[7522
EXHIBIT F
38 eqriipment may include:
o Law enforcement/general use vehicles (OPSG only);
o Emergency medical services equipment and vehicles;
o Fire service equipment and vehicles, to include hose, pump accessories, and foam concentrate for specialized chemical/biological/radiological/nuclear/explosive (CBRNE) response;
o Interoperability of data systems, such as computer aided dispatch (CAD) and record management systems (RMS); and
o Office equipment for staf'f" engaged in homeland security program activity. * Controlled F,quipment
For decades, the federal government lias provided equipment to state, local, and tribal law enforcement agencies (LEAs) throrigh federal grants. Some federal grant programs have assisted LEAs as they carry out their critical missions to keep the American people safe. The equipment acquired by LEAs through these programs includes administrative equipment, such as office furiiiture and computers. Some federal grant programs also may include military and military-styled equipment, firearms, and tactical vehicles provided by the federal government, including property covered rinder 22 C.F.R. Part 121 and 15 C.F.R. Part 774 (collectively, "controlled equipment").
However, not all equipment that is considered controlled equipment is allowable under the HSGP. As noted in Section B of FEMA Policy 207-22-0002. Prohibited or Controlled Equipment Under FEMA Awards, certain equipment is prohibited and is not allowable under HSGP. Grant funds under this program may not be used for the purchase of equipment not approved by DHS/FEMA. For example, the purchase of tracked armored vehicles, camouflage uniforms, weapons, and weapons accessories, including ammunition, is generally not allowed with HSGP funds.s
For some controlled equipment that is allowable under the HSGP, additional documentation, justifications, reviews, and approvals are required, including but not limited to proof of policies and procedures to safeguard individuals' privacy, civil rights, and civil liberties.
Contact your Preparedness Officer if you have qriestions concerning HSGP reqriirements for controlled equipment requests.
Grant funds under this program must comply with the aforementioned FEMA Policy 207- 22-0002. Proliibited or Controlled Equipment Under FEMA Awards. As per this FEMA Policy, excepted or controlled equipment must remain in the possession of the original FEMA grant recipient and may not be transferred. The use of controlled equipment under a "This applies to all homeland security personnel and is not limited to M&A staff, and costs are to be captured outside the cap on M&A costs.
5FEMA issued Policy 207-22-0002 in response to Executive Order (EO) 14074, Advancing Effective, Accountable Policing and Criminal Justice Practices to Ei'ihance Public Trust aiid Public Safety, which President Joseph R. Biden issued on May 25, 2022. EO 14074 directs the DHS to prohibit the use of grant funding to purchase certain types of military equipment by state, local, tribal, and territorial law enforcement agencies and to comply with and implement the recommendations stemming from , which established prohibited equipment and controlled equipment lists.
Back to the Top
'7r
FY 2023 HSGP NOFO
523
EXHIBIT F
39 Memorandum of Understanding or other regional sharing agreement (see Section D.6 of this FEMA Policy) does rtot constitute a transfer of controlled equipment.
DHS/FEMA will continue to collaborate with federal agency partners to ensure that there is a consistent and reasonable approach to the restrictions placed on controlled equipment expenditures while continuing to support these investments when there is a justifiable need.
Further, DHS/FEMA will continue to maintain an awareness of the evolving policy developments related to controlled equipment expenditures and keep grant recipients up to date on future developments.
rv. TRAINING
Training costs are allowed under this program. Please see the Preparedi'iess Grants Manual for more information. Recipients are encouraged to consider tuition-free corirses offered by FEMA first, before investing in training. For n'iore information and a catalog of courses please refer to the National Preparedness Course Catalog at NTED. v. EXERCISES
Exercise costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
VI, PERSONNEL
Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, organization, training, exercise, and equipment activities. Under OPSG, overtime costs are allowable only in so far as they meet the intent of the program.
All recipients and subrecipients of HSGP funds, iiicluding SHSP, UASI, and OPSG allocations, may not use more than 50% of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50% personnel cap, pleaseseeFEMA , Clarification on the Personnel Reimbursementfor IMelligence Cooperation and Enhancementof Homeland Security Act of 2008 (Public Law 110-412) - the PRICE Act. Please see the Preparedness Grants Manual for more information. vn. OPERATIONAL OVERTIME
Operational overtime costs are allowed tuider this program. Prior to use of funds for operational overtime, recipients must receive approval from DHS/FEMA. Operational overtime costs are also subject to the 50% persoru'iel cap. For more information on the 50% personnel cap, please see FEMA IB 421b. For more information about operational overtime costs for SHSP, UASI, and OPSG, please see the Preparedness Grants Manual.
Operational Overtime Costs for SHSP and UASI
As stated in the Preparedness Grants Manual, in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events, operational overtime costs are allowable for increased protective security measures at critical infrastructure sites or other high-risk locations and to enhance public safety during mass gatherings and high-profile events. SHSP or UASI funds may be used to support select operational expenses associated with increased security measures in the authorized categories in the authorized categories outlined in the Preparedness Grams Manual. FEMA retains the FY 2023 HSGP NOFO Back to the Top
524
EXHIBIT F
40 discretion to approve other types of requests that do not fit within one of these categories.
Except for an elevated National Terrorism Advisory (NTAS) alert, SHSP or UASI funds may only be spent for operational oveitime costs upon prior written approval by FEMA.
Post-event operational overtime requests will only be considered on a case-by-case basis, where it is demonstrated that exigent circumstances prevented submission of a reqriest in advance of the event or activity.
Operational Overtime Costs for OPSG
As stated in the Preparedness Grai'its Manual, OPSG funds should be used for operational overtime costs associated with law enforcement activities in support of border law enforcement agencies for enhanced border security. Overtime shall be reimbursed consistent with the non-federal entity's overtime policy and the requirements as stated in the Preparedness Grants Manual.
vm. TRAVEL
Domestic travel costs are allowed under this program, as provided for in this NOFO and in the Preparedness Grants Manual. International travel is not an allowable cost under this program unless approved in advance by DHS/FEMA.
ix. CONSTRUCTION AND RENOVATION
Construction and renovation costs to achieve capability targets related to preventing, preparing for, protecting against, or responding to acts of terrorism are allowed under this program. For construction and renovation costs to be allowed, they must be specifically approved by DHS/FEMA in writing prior to the use of any program funds. Limits on the total amount of grant funding that may be used for construction or renovation may apply.
Additionally, recipients are required to submit SF-424C and SF-424D.
All proposed construction and renovation activities must rindergo an Environmental Plaruiing and Historic Preservation (EHP) review, including approval of the review from FEMA, prior to undertaking any action related to the project. Failure of a grant recipient to meet these requirements may jeopardize Federal funding. Please see the Preparedness Grants Manual for more information.
x. MAINTENANCE AND SUSTAINMENT
Maintenance- and sustainment-related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees, are allowable. Please see the Preparedness Grants Manual for more infgrmation.
xt. CRITICAL EMERGF,NCY SUPPLIES
Critical emergency supplies are allowed under this program. Please see the Preparedness Grants Manual for more information.
xn. SECURE IDENTIFICATION
Secure Identification costs are allowed under this program. Please see the Preparedness Grants Manual for more information.
FY 2023 HSGP NOFO Back to the Top
f7 525
EXHIBIT F
Allowable Cost Matrix
The following matrix provides allowable cost activities that fall under each of the cost categories noted above. Recipients and subrecipients must follow all applicable requirements in 2 C.F.R.
Part 200 Uni.formAdministrative Requirements,Cost Principles, and Audit RequiremeMsfor FederalAwards. HSGP funds may be used to cover the costs for evaluating the impact of these grants on the state or urban area's core capabilities and capability gaps. This list is not exhaustive, tlierefore, if there are any questions regarding allowable costs, please contact the appropriate HQ FEMA Preparedness Officer. For additional information on allowable costs, see the Preparedness Grants Manual.
@ I R y ff Ql ff* J k JJ - 4Jf* aail i f
Jlf/l'J('@V('J!?lliRT'ilkVll('!' IfNDffi@Q!N?Ql'lThTh'l Allowable Planning Costs
Developing liazard/threat-specific annexes jiff!!'tfiffiM N Developing and implementingliomeland security supportprograms and adopting ongoing DHS/FEMA nationa)initiatives
Developing related terrorism and otlier catastrophic event prevention activities 1B7#,if,5,('7qq N
'ili,%!!i'8A-.o!&i' N
Developing and enhaiicing plans and protocols :-!'ffi'a!)It:aiil. N Developing or conducting assessments !1>!51!A'lXffi!CA'l N Hiring offull- or part-time staff or contract/corisultants to aSsist with planiiing, engagement, and volunteer management activities I!"'Th":"i'%fl)'\1 € N
Materials required to conduct plai'uiing, engagement, and volunteer management activities \':'.v<.'M:!M!' N
Travel/per diem related to plai'ining, engagement, and volunteer management activities Overtime and backfill costs (in accordance with operational Cost Guidance) ,a!t!jj!, M,".,,%l%., Issuance of Western Hemispliere Travel Initiative-compliant Tribal identification cards 91Th(llii N N Activities to achieve planning inclusive ofpeople with disabilities and others with accezz and functional needs and limited English proficiency.
tl'-erUtfflffl
lffi1,,T I'ThMI !!l!aJTl_ 'r!'r'ltt'"ii'
N
Coordination with Citizen Corps Couticils for public information/education and development of volunteer prograins €."!'l!'d"!!!liffi l%T Coordination and material sripport to Citizei'i Corps Councils and local firehouses for the establishment, training and maintenance of CERTs !';(=,!i'PF",@v-l;u! N Update govemance structures and processes and plans for emergency communications il"-'A!i!<itk'J'i'!' IN Develop'ment, and review and revision of continuity of operations plans UIW(i!7=fli't! N Development, and review and revision of tlie TFmR_A/SPR and continuity of operations plans !"l'tt"l:"'!Ikt.,B"t)"J' i
N
Developing or conducting equity assessments to address planning and preparedness disparities for l'iistorically undersened communities lltV.ai! N Allowable Organizational Activities
Note: Personnel hiring, overtime, and backfill expenses are permitted undertis grantonlyto the extentthat sticli expenses are for the allowable activities within the scope ofthe grant.
Program management
Tk-kl
N
N
N
iN
Development of whole community partnerships
Structures and mechanisms for information sharing between the priblic and private sector
Implementing models, programs, and work_force enhancement initiatives Back to the Top
h'
FY 2023 HSGP NOFO
526
EXHIBIT F
42 iix
F4!lril PQf"a'4"mffn"-5'%'4a;'.l.laal!!41."' ;III@)!Wffl Tools, resources, and activities that facilitate shared situational awareness betwee' public and private sectors iBE.llWlN
I
Operational support l'i.!"_":'.all! €11 N
Utilization of standardized resource management concepts ju.n.NsThN.' N Responding to an increase in tlie tlu'eat level under tlie National Terrorism Advisoiy .
System (NTAS), or needs in resulting from a National Special Security Event I
l%T
" a .t
Reimbursement for select operational expenses associated with increased security - measures at critical infi'asti'ucture sites incurred (up to 50% of tlie allocation) Ovei'timefor information, investigative, and intelligence sharingactivities (up to 50% of the allocation)
Hiring of new staff positions/contractors/consultants for participation in infomiation/intelligence analysis and sharing groups or fusion center activities (up to 50% of theallocation).
Hiring or maiiitaining staff positions/contractors/consultants at SLTT levels to deliver community preparedness training, resources and material to schools, community-baserl organizations, faith-based institutions and local businesses.
I
ii
--- '----I
l'
,N
N
Hiring or maintaining staff positions/contractors/consultants to create, support and maintain CERT or Teen CERT
Cost of migrating online services to the ".gov" domain
Allowable Equipment Categories
Personal Protective Equipment
Allowable Equipment Categories
Explosive Device Mitigation and Remediation Equipment q ii N N
'l
N
I
t,j. . , N
!aN N
I
k
l%J
N
N
,1 _ N
N
k
I,_N
CBRNE Operational Search and Rescue Equipment -'
Information Teclinology
Cybersecurity Enhancement Equipment
Interoperable Communications Equipment
Detection
Decontamination
Medical countermeasures
Power (e.g., generators, batteries, power cells)
CBRNE Reference Materials
CBRNE Incident Response Vehicles
Terrorism Incident Prevention Equipment
Physical Security Enhancement Equipment
Inspection and Screening Systems
Animal Care and Foreign Animal Disease
CBRNE Prevention and Response Watercrafi
CBRNE Prevention and Response Ui'imanned Aircraft
CBRNE Aviation Equipment
CBRNE Logistical Support Equipment
Intervention Equipment (e.g., tactical entry, crime scene processing) Criticalemergencysupplies -
General use veliicle acquisition, lease, and rental -N--- ,--N_- fflWl Specialized vehicle acquisition, lease, and rental aRl[jl Other j'uthorized Equipment AllowableTraininCosts -_J
Overtime and backfill for emergency preparedness and response personnel attending DHS/FEMA-sponsored and approved trainiiig classes ,r!ffif!'l N FY 2023 HSGP NOFO Back to the Top
527
EXHIBIT F
43 KIT !iQ('@fJ)(IF':g!!l 'R<' €1kVlff' I==ii .t;jhriJl!l'atv;ltD!fY*l Overtime and backfill expenses for part-time and voltinteer emergency response personnel paiticipating in DHSfFEMA training !ljrll:!,l;a,:ll.illl,J';1.14;::f!)WI,373 N
Trainingworksliopsandconferences j
'I'!'l?J%a'!'4A'i!:['%k'l:
Activities to achieve ti'aining inclusive of people with disabilities and others witli accessandfunctionalneedsandlimitedEnglisliproficiency I'.W:!4!"I!'41k'j%J!', N Full- or part-time staff or contractors/consultants ,
'li!)"!Jl!!,T,Xi. _ma
Travel I
Supplies
Instructorcertification/re-certification I
IRP!"Jti'n'tmff!W
:)i!?- V.4'!llJi'-i'i":it,!-'!' N
'W!k;_t!;RflKi%a'!!:.'N
Coordination with Citizen Corps Councils and CERT in conducting training exercises iR)!!!'ft=ffilM:fK!":. IN Preparedness trainiiigfor comn'uinitypreparednessinitiativesandprograms- i Interoperablecommunicationstraining i
Activities to achieve planning inclusive of people witli limited Englisli proficiency i ![41d!i:'u4
N
N
I&[!!!i!!aa!S'tl I%T
Immigrationenforcementtraining tl!j2.P,jj'iiJ-]4W
Allowable Exercise Related Costs
Design, Develop, Conduct, and Evaluate an Exercise a'..m'_ N Full- or part-time staff or contractors/consultants
Oveitime and backfill costs, including expenses for pait-time and volunteer emergency resporise personnel participating in DHS/FEMA exercises 't.rA'!'tJ'!11tla"'.!t't"fl N
!'-J'.!'=?il1j:!!!!RN
Implementation of HSEEP ..'K!a:'A'i"j"I"'a!5!P:'j'l'l N Activities to achieve exercises inclusive of people with disabilities and others with access and fiu'ictional needs -'!"J:'!'t"li"J N
Travel fijV:Slffl!&rV.{! N
Supplies ti,' ji'!fil':Ua) N
Interoperable communications exercises fAf'!!l!i'm N
Allowable Exercise Related Costs
Activities to achieve plaruiing inclusive of people with limited English proficiency N Allowable M&A Costs
Hiring of fiill- or part-time staff or contractors/consultants to assist with the management of the respective grant program, application requirements, and compliance with reporting and data collection requirements I't!'!'!t!,!f ffl' l.U'f ",'f" :kf: '
m'!ltU'i'!i:' i:'II
Development of operating plans for information collection and processing necessary in 11NW!!'[44"i'Wj!',itFtA'!'}"d"II respond to DHS/FjEMA d-ata calls
Overtime and backfill costs
lTh:*Fi.l:!"(i!'l'ii'-*!Jinjl
Travel 1!f!l::'!'s"t'!:!!:infel
Meeting related expenses
Authorized office equipment 1!")'a'M%"%k':Fi"i!"M"#!
Recurringexpenses suchastlioseassociated witl'icellpl'ionesaiidfaxesduringthe I period of performance of the grant program :i'fas"'tjt'Ia't."":J_!::':eJ --N--'-I Leasingorrentingofspacefornewlyhiredpersonnel duringtheperiodofperformance I of the rant ro am
.i
(,Ill N
Completing the Civil Rights Evaluation Tool
Conducting activities related to evaluating project effectiveness for HSGP-funded projects
LETPA Costs
Integration and interoperability of systems and data, such as CAD and RMS, to facilitatethecollection, ,l'-'ifJ!'!': l%T
Maturation, enhancement, and sustainment of designated state and major Urban Area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and intelligence analyst training and salaries (subject to certain conditions) "$"!€!!ila'!iJl,%""f
&'i$ii':l"'!i,if 'rk%&!=iJ #'ar
IN
FY 2023 HSGP NOFO Back to the Top
528
EXHIBIT F
44 ffii 1 € i a _ffilll 1881ff i - . ffi j-l @ ffi i i. ix-t-*gigi ?!!r'nF1'lr'#4'V'WffVl'!N' II',l!,'!,,','-',,1,04,,,,';'J,; .i1IIIWI 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 agaiiist, and mitigate acts of terrorism ll,iJllh!.f. tj!'i,,!:',j':,!,'l): N Coordination of regional fitll-scale training exercises (federal, state, and local law enforcement participation) focusedonterrorism-related events ""i'!i!!iM_ i ij'ljA'!_ N Law enforcement Chemical, Biological, Radiological, Nuclear, and high yield Explosives detection and response capabilities, such as bomb detection/disposal capability development, sustainment, or enliancement, including caiiine teains, robotii" platforms, and x-ray technology :!""t"!l:'44"if
N
Coordination between fiision centers and otlier operational analytic, and investigative , efforts {h,gfl:!F;f'h.i'.':,f i iV
Implementation, maintenance, and sustairunent of tlie Nationwide Suspicious Activit)t ' ReportingInitiativeI riJj"'.:![0"i" _l!N
I
Implementatioxi oftlie"If YouSeeSometliing, SaySometliing@" campaign i:.!';"ji"!-}l'i't?'kjl' N Increase pl'iysical security, through law enforcement personnel aiid other protective ' measures, by implementing preventive and protective measures at critical infrastructurc locations
l'ffkfl.iili4!' k is Smy hqd'
]'ljL%t%'Mi !i
i%Sffl4[-!ntMti!k
N
E. Application Review Information
1. Application Evaluation Criteria
a. Programmatic Criteria
s. RISK METHODOLOGY
The risk methodology determines the relative risk of tertaorism faced by a given area considering the potential risk of terrorism to people, critical infrastructure, and economic security. The analysis includes, but is not limited to, threats from violent domestic extremists, international terrorist groups, and individuals inspired by terrorists abroad. See the Preparedness Grants Manual for additional information on the risk methodology.
NOTE: The THIRA/SPR process is separate from the risk methodology and its results do not affect grant allocations.
The Risk Methodology is used to inform allocations under HSGP. For more information on the SHSP, UASI, and OPSG allocation processes, please see Section B. l of this NOFO, "Available Funding for the NOFO."
n. APPLICATION EVALUATION CRITERIA
FEMA will evaluate the FY 2023 HSGP applications for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments.
FEMA's review will include verification that each U and project:
* Aligns with at least one core capability identified in the Goal; * Demonstrates how investments support building capability and/or closing capability gaps or sustaining capabilities identified in the THIRA/SPR process; and * Supports a NIMS-typed resource and whether those assets are deployable/shareable to support emergency or disaster operations per existing EMAC agreements.
FY 2023 HSGP NOFO Back to the Top
529
EXHIBIT F
45 In addition to the above, FEMA will evaluate whether proposed projects are: 1) both feasible and effective at re&icing the risks for which the project was designed; and 2) able to be fiilly completed within the three-year period of performance. FEMA will use the information provided in the application and after the submission of the first BSIR to deteimine the feasibility and effectiveness of a grant project. To tliat end, Us should include:
* An explanation of how the proposed project(s) will achieve oljectives as identified in the SPR, including expected long-term impact where applicable, and which core capability gap(s) it helps to close and how;
* A summary of the status of planning and design efforts accomplished to date (e.g., included in a capital improvement plan); and
* A project schedule with clear milestones.
Recipients are expected to conform, as applicable, with accepted engineering practices, established codes, standards, modeling techniques, and best practices, and participate in the development of case studies demonstrating the effective use of grant funds, as requested.
FEMA will also review any submitted National Priority Area-aligned Us and projects to ensure they meet the minimum spend requirements. Additional information on how the National Priority Area Us and projects will be reviewed for effectiveness is inchided in the Review and Selection Process section below.
b. Financial Integr% Criteria
Prior to making a federal award, FEMA is reqriired by 31 U.S.C. e)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 infori'nation, including whether the applicant is suspended or debarred.
FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:
i. Financial stability;
ii. Quality of management systems and ability to meet management standards; iii. History of performance in managing federal award;
iv. Reports and findings from audits; and/or
v. Ability to effectively implement statutory, regulatory, or other requirements. c. SupplementalFinanciallntegrityCriteriaandReview
Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000:
i. FEMA is required to review and consider any information about the applicant, including information on the applicant's immediate and highest-level owner, subsidiaries, and predecessors, if applicable, that is in tlie designated integrity Back to the Top
/,/)2
FY 2023 HSGP NOFO
530
EXHIBIT F
46 and performance system accessible throrigh tlie System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS).
ii. An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered.
iii. FEMA will consider any comments by the applicant, in addition to tl'ie other information in FAPIIS, in making a judgment about the applicant's integrity, business ethics, and record of perfon'nance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.206.
2. Review and Selection Process
a. SHSP and UASI
All proposed investments will undergo a federal review by DHS/FEMA to verify compliance with all administrative and eligibility criteria identified in the NOFO. The federal review will be conducted by FEMA HQ Preparedness Officers. FEMA HQ Preparedness Officers will use a checklist to verify compliance with all administrative and eligibility criteria identified in the NOFO. Recipients must be able to demonstrate how investments suppoit building capability and/or closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. Us will be reviewed at both the investment and project level.
Emergency commrinications investments will be jointly reviewed by FEMA and CISA's Emergency Communications Division (ECD) to verify compliance with SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). FEMA and ECD will coordiiiate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance.
Additional Effectiveness Evaluation Criteria for the National Priority Areas FEMA will evaluate the FY 2023 HSGP Us and projects submitted in support of the National Priority Areas for anticipated effectiveness. FEMA's review will include verification that each IJ or project meets the National Priority Area required spend percentages
Cybersecurtty investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO.
Soft Targets/Crowded Places investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set foith in this NOFO.
FY 2023 HSGP NOFO Back to the Top
531
EXHIBIT F
47 Information Sharing and Cooperation Investments will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness rising the criteria set forth in this NOFO.
For additional information on Fusion Center requirements, please see the Preparedness Grants Manual.
Domestic violent extremism investments will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, DHS Center for Prevention Programs and Partnerships, and other DHS components as appropriate, for compliance with puiposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the scoring criteria set forth in this NOFO.
Community preparedness and resilience investments will be reviewed by DHS/FEMA and other DHS components as appropriate, for compliance with prirposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the scoring criteria set foith in this NOFO.
Election security investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness rising the scoring criteria set forth in this NOFO.
FEMA will determine whether the proposed approach is clear, logical, and reasonable to address the priority areas of interest and contribute to a culture of national preparedness.
This includes factors such as the objectives and strategies proposed to address the priority area,how the objectives and strategies overcome legal, political or practical obstacles to reduce overall risk, the process, and criteria to select additional relevant projects, and the approach to monitor awards to satisfy the funding percentage allocations.
For applicants that elect to submit Us and project-level details for the National Priority Areas at the time of application, effectiveness will be evaluated prior to award. If the projects are forind to not sufficiently align with the National Priority Area(s), applicants may l'iave funds placed on hold (up to 30o/o) until the projects are revised to satisfactorily address the National Priority Areas.
For applicants that elect to submit Us and project-level details for the National Priority Areas as pait of the December 2023 BSIR, they will have funds placed on hold in the amount of 30%. The hold will be released only after their December 2023 BSIR submission has been reviewed, and projects related to the National Priority Areas deemed in alignment ly DHS/FEMA.
SAAs are still required to meet pass-through requirements even if funds are on hold related to the National Priority Areas.
Back to the Top FY 2023 HSGP NOFO
532
EXHIBIT F
48 To that end, Us should include:
* How the proposed investment addresses the National Priority Area; @ An explanation of how the proposed projects were selected and will achieve objectives and strategies to build or sustain the core capability gaps identified in the SPR, including expected long-term impact where applicable; and * A summary of the collaboration efforts to prevent, prepare for, protect against, and respond to acts of teirorism as well as anticipated oritcomes of the project.
For FY 2023 SHSP and UASI investments and projects related to the National Priority Areas, effectiveness will be evaluated based on the following four factors:
* Investment Strategy (40%): Proposals will be evaluated based on the quality and extent to which applicants describe an effective strategy that demonstrates that proposed projects support the program objective of preventing, preparing for, protecting against, and responding to acts of terrorism, to meet its target capabilities, and otherwise reduce the overall risk to the high-risk urban area, the state, or the Nation.
* Budget (20%): Proposals will be evaluated based on the extent to which applicants describe a budget plan for each investment demonstrating how the applicant will maximize cost effectiveness of grant expenditures.
* Impact/Outcomes (40%): Proposals will be evaluated 011 how the investment helps the jurisdiction close capability gaps identified in its SPR and addresses the relevant National Priority Area outlined in this NOFO. Further, proposals will be evaluated on their identification and estimated improvement of core capability(ies), the associated standardized target(s) that align with their proposed investment, and the ways in which the applicant will measure and/or evaluate improvement. * Past Performance (additional consideration): Proposals will be evaluated based on the applicants demonstrated capability to execute the proposed investments. In evaluating applicants under this factor FEMA will consider the information provided by the applicant and may also consider relevant information from other sources. b. OPSG
Applications will be reviewed by the SAA and USBP Sector Headquarters for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the Operations Orders. For more information on Operations Orders and other requirements of OPSG, see the Preparedness Grants Manual.
DHS/FEMA will verify compliance with all admiiiistrative and eligibility criteria identified in the NOFO and required submission of Operations Orders and Inventory of Operations Orders by the established due dates. DHS/FEMA and USBP will use the results of both the risk analysis and the federal review by DHS/FEMA to make recommendations for funding to the Secretary of Homeland Security.
FY 2023 HSGP NOFO Back to the Top
loJ 533
EXHIBIT F
49 FY 2023 0PSG funds will be allocated among the eligible jurisdictions based on risk-based prioritization rising the OPSG Risk Assessment described above. Final fimding allocations are detemiined by the Secretary of Homeland Security, who may consider information and input from various law enforcement offices or subject-matter experts within the Depaitment.
Factors considered include, but are not limited to threat, vulnerability, miles of the border, and otlier border-specific law enforcement intelligence, as well as the feasibility of FY 2023 Operations Orders to designated localities within border states and territories.
F. Federal Award Administration Information
1. Notice of Award
Before accepting the award, the AOR and recipient should carefully read the award package.
The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in this NOFO and the Preparedness Grants Manual as well as any specific terms and conditions in the Notice of Award to receive an award under this program.
Recipients must accept their awards no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under tlie award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the ND Grants Grant Recipient User Guide, which is available at Non-Disaster Grants Management System i FEMA.gov along with other ND Grants materials.
Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of the award have been satisfied or until the award is otherwise rescinded. Failure to accept a grant award within the 60-day timeframe may result in a loss of funds.
See the Preparedness Grants Manual for information on Notice of Award.
2. Pass-Through Requirements
Awards made to the SAA for HSGP catry additional statutorily mandated pass-through requirements. Pass-through is defined as an obligation on the part of the SAA to make funds available to local units of government, combinations of local units, tribal governments, or other specific groups or organizations. These entities are defined at 6 U.S.C. § 101(13) as:
* A corinty, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (regardless of whether the council of goveriiments is incorporated as a nonprofit corporation rinder State law), regional or interstate government entity, or agency or instrumentality of a local government.
* An Indian tribe or authorized tribal organization, or in Alaska a Native village or Alaska Regional Native Corporation.
* A rural community, rmincorporated town or village, or other public entity.
Four criteria must be met to pass-through grant funds:
Back to the Top FY 2023 HSGP NOFO
534
EXHIBIT F
50 @ The SAA must make a firm written commitment to passing throrigh grant fiinds to subrecipients;
* The SAA's commitment must be unconditional (i.e., no contingencies for the availability of SAA funds);
* There must be documentary evidence (i.e., award document, terms, and conditions) of the commitment; and
* The award terms must be communicated to the subrecipient.
Timing and Amount
The SAA must pass-through at least 80% of the funds awarded under SHSP and UASI to the above-defined local or tribal rinits of government within 45 calendar days of receipt of the funds. "Receipt of the funds" occurs either when the SAA accepts the award or 15 calendar days after the SAA receives notice of the award, whichever is earlier.
SAAs are sent notification of HSGP awards via the GPD's ND Grants system. If an SAA accepts its award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45 calendar days pass-through period will start on the date the SAA accepted the award. Shorild an SAA not accept the HSGP award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45 calendar days pass-through period will begin 15 calendar days after tlie award notification is sent to tlie SAA via the ND Grants system.
It is important to note that the period of performance start date does not directly affect the start of the 45 calendar days pass-through period. For example, an SAA may receive notice of the HSGP award on August 25, 2023, while the period of performance dates for that award September 1, 2023, through August 31, 2026. In this example, the 45-day passthrough period will begin on the date the SAA accepts the HSGP award or September 9, 2023 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The period of performance start date of September 1, 2023 would not affect the timing of meeting the 45-calendar day pass-through requirement.
Other SHSP and UASI Pass-Through Requirements
The signatory arithority of the SAA must certify in writing to DHS/FEMA that pass-throrigh requirements have been met. A letter of intent (or equivalent) to distribute funds is not considered sufficient. A letter of intent is not a firm commitment and if issued before FEMA makes the award, then a letter of intent is also not unconditional since it is inherently conditioned on receipt of funds.
The pass-through requirement does not apply to SHSP awards made to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands, or tlie Commonwealth of the Northern Mariana Islands. The Commonwealth of Puerto Rico is required to comply with the pass-through requirement, and its SAA must also obligate at least 80% of the funds to local units of government within 45 calendar days of receipt of the funds.
Under SHSP, the SAA may retain more than 20% of funding for expenditures made by the FY 2023 HSGP NOFO Back to the Top
/"'7 535
EXHIBIT F
51 state on behalf of the local unit(s) of government, such as expenditures by the state in order to pass through goods or services to local unit(s) of government in lieu of cash. This may occur only with the written consent, such as a Memorandum of Understanding, between the SAA and the local unit(s) of government. Separate written consent is necessary for each local unit of government in which more than 20% of funding is retained on their behalf by the state. The written consent must specify the amoruit of funds to be retained and the intended use of funds, including whether any goods or services will be passed through in lieu of cash. It must also be signed by authorized representatives of both the state and the local unit of government.
States shall review their written consent agreements yearly and ensure that they are still valid. If a written consent agreement is already in place from previous fiscal years, DHS/FEMA will continue to recognize it for FY 2023, unless the written consent review indicates the local government is no longer in agreement. If modifications to the existing agreement are necessary, the SAA should contact their assigned FEMA HQ Preparedness Officer.
However, even if a written consent agreement is in place from previous fiscal years, the SAA must still initially carry out the pass-through documentation for its FY 2023 award and comply with the four pass-through criteria described above before the written consent agreement can take effect for purposes of the FY 2023 funding.
Additional OPSG Requirements
The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county-level or equivalent Operational Order/Fragmentary Operations Order bridget has been reviewed and approved through an official electronic mail notice issued by DHS/FEMA removing this special prograrnmatic condition.
3. Administrative and National Policy Requirements
In addition to the requirements of in this section and in this NOFO, FEMA may place specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200.
In addition to the information regarding DHS Standard Terms and Conditions and Ensuring the Protection of Civil Rights, see the Preparedness Grants Manual for additional information on administrative and national policy requirements, including:
* EHP Coi'npliance;
NIMS Implementation: and
SAFECOM Guidance.
a. DHS Standard Terms and Cotiditions
All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at: DHS Standard Terms and Conditions.
FY 2023 HSGP NOFO Back to the Top
536
EXHIBIT F
52 The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.
b. EmuringtheProtectionofCivilRights
As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients and subrecipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations.
Federal civil riglits statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with DHS and FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA.
The DHS Standard Terms and Conditions include a fuller list of the civil rights provisions that apply to recipients. These terms and conditions can be formd in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at Civil Riglits Divisionl FEMA.gov.
Monitoring and oversight requirements in connection with recipient compliance witli federal civil rights laws are also authorized prirsuant to 44 C.F.R. Part 7.
In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment. c. Environmetxtal Planning and Historic Preservatiotx (EHP) Compliatxce 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 FEA/iA, including grant-funded projects, comply with federal EHP laws, Executive Orders, regulations, and policies, as applicable.
All non-critical new construction or substantial improvement of structures in a Special Flood Hazard Area must, at a minimum, apply the flood elevations of the Federal Flood Risk Management Standard's Freeboard Value Approach unless doing so would cause the project to be unable to meet applicable program cost-effectiveness requirements. All other types of projects may choose to apply the flood elevations of the Federal Flood Risk Management Standard's Freeboard Value Approach. See Executive Order (EO) 14030. Climate-Related Financial Risk and FEMA Policy #-206-21-0003. Partial Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance Programs (Interii'n) (fema.gov).
All GPD actions, including grant-funded actions, must comply with National Flood Insurance Program criteria or any more restrictive federal, state, or local floodplain FY 2023 HSGP NOFO Back to the Top
537
EXHIBIT F
53 management standards or building code (44 CFR § 9.11(d)(6)). All GPD-funded non-critical actions in 1% annual chance floodplains (also known as 100-year floodplains) that involve new construction or substantial improvement of structures must be elevated, at a minimum, to the lower of:
* Two feet above the 1 % annual chance flood elevation (also known as the base flood elevation), in accordance with the Federal Flood Risk Management Standard (FFRMS) "Freeboard Value Approach" (FVA); or
ii The O.2% annual chance flood elevation. Where O.2% anmial 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-fimded critical actions in O.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 ii The O.2% annual chance flood elevation. Where O.2% annual chance flood elevations are not available, such actions must be elevated to at least three fcet above the 1 % anmial chance flood elevation.
See EO 11988, Floodplain Management, as amended by EO 13690, Establisliing a Federal Flood Risk Management Standard and a Process for Further Soliciting and Considering Stakeholder Input.
Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any suppoiting documentation requested by FEMA in order to determine whether the proposcd project has the potential to impact environmental resources or historic properties.
In some cases, FEMA is also reqriired to consult with other regulatory agencies and the public in order to complete the review process. Federal law requires EHP review to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders, regulations, and policies.
DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and otlier EHP regulations and Executive Orders.
The GPD EHP screening form is located at FEMA Fori'n. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1.
Back to the Top FY 2023 HSGP NOFO
538
EXHIBIT F
54 d. Natiotxal Incident Matxagemerit System (NIMS) Implementahotx In expending funds under this program, recipients that are state, local, tribal, or territorial governments must ensure and maintain adoption and implementation of NIMS. The state, local, tribal, or territorial government must show adoption of NIMS during any point of the period of perfortnance. The list of objectives used for progress and achievement reporting is at https://www.fema.gov/emergency-managers/nims/implementation-training Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Using standardized resource management concepts such as typing, credentialing, and inventorying, promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resorirce management, NIMS resource typing definitions, job titles, and position qualifications is on FEMA's website at NIMS Components - Guidance and Tools FEMA.gov.
FEMA developed the National Incident Management System Guideline for the National Qualification System to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools which Federal Emergency Response Officials and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses.
Although state, local, tribal, and private sector partners (including nongovernmental organizations) are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so to leverage the federal inyestment in the Federal Information Processing Standards 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information about NIMS in general is available at National Incident Management System i FEMA.gov.
e. Emergency Communications Investments
If an entity uses HSGP fiinding to support emergency communications investments, the following requirements shall apply to all such grant-funded communications investments in support of the emergency communications priorities and recognized best practices:
* The signatory authority for the SAA must certify in writing to DHS/FEMA their compliance with the SAFECOM Guidance. The certification letter should be coordinated with the SWIC for each state and must be uploaded to ND Grants at the time of the first Program Performance Report submission. * All states and territories must designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government, to include establishing statewide plans, policies, and procedures, and coordinating decisions on communications investments funded through federal grants. Note that the designated full-time SWIC may also be the state's or territory's cybersecurity point of contact. SWIC status FY 2023 HSGP NOFO Back to the Top
539
EXHIBIT F
55 information will be maintained by CISA and will be verified by FEMA GPD throrigh programmatic monitoring activities.
* By the period of perfori'nance end date, all states and territories must update the SCIP, with a focus on communications resilience/continuity, to include assessment and mitigation of all potential risks identified in the SCIP: natural disasters, accidental damage (human failures), intentional damage (sabotage, terrorism), cybersecurity, etc. Following the initial update, the SCIP should be updated on an annual basis.
SCIP status infori'nation will be maintained by CISA and will be verified by FEMA GPD through programmatic monitoring activities.
All states and territories must test their emergency communications capabilities and procedures (as outlined in their operational communications plans) in conjunction with regularly planned exercises (separate/addition emergency communications exercises are not required). Exercises should be used to both demonstrate and validate skills learned in training and to identify gaps in capabilities. Resilience and continuity of communications should be tested during training and exercises to the greatest extent possible. Fuither, exercises should include participants from multiple jurisdictions, disciplines, and levels of government and include emergency management, emergency medical services, law enforcement, interoperability coordinators, public health officials, hospital officials, officials from colleges and universities, and other disciplines and private sector entities, as appropriate. Findings from exercises should be used to update programs to address gaps in emergency communications as well as emerging technologies, policies, and partners.
Recipients are encoriraged to increase awareness and availability of emergei'icy communications exercise opportunities across all levels of government.
States, territories, and other eligible grant recipients are advised that HSGP funding may be rised to support communications planning (including the cost of hiring a SWIC, participation in governance bodies and requirements delineated above), training, exercises, and equipment costs. Costs for transitioning to the FirstNet network may also be eligible.
More information regarding FirstNet can be found in the Preparedness Grai'its Manual.
4. Reporting
Recipients are required to submit various financial and progran'imatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.
See the Preparedness Grants Manual for information on reporting requirements.
5. Monitoring and Oversight
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems to review award progress and to provide any required technical assistance. During site visits or desk reviews, FEMA will review recipients' files related to the award. As part of any monitoring and program evaluation activities, recipients must petmit FEMA, upon reasonable notice, to review grant-related records and to interview the organization's staff and contractors regarding the program.
FY 2023 HSGP NOFO Back to the Top
//2 540
EXHIBIT F
56 Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award. Failure to respond in this manner may result in tunding holds on current and fiiture awards until the requested information is provided.
See the Preparedness Grants Manual for information on monitoring and oversight.
G. DHS Awarding Agency Contact Information
1. Contact and Resource Information
a. Program Office Contact
FEMA has assigned state-specific Preparedness Officers for the HSGP. If yori do not know your Preparedness Officer, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by email at askcsid(r.fema.dhs.gov, Monday through Friday, 9:00 AM - 5:00 PM ET.
b. CemralizedSchedulirigarxdlriformationDesk(CSID)
CSID is a non-emergency comprehensive management and information resource developed by FEMA for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the federal, state, and local levels. When necessary, recipients will be directed to a federal point of contact who can answer specific programmatic questions or concerns.
CSID can be reached by phone at (800) 368-6498 or by e-mail at askcsid(2Th.fema.dhs.gov, Monday through Friday, 9:00 AM - 5:00 PM ET.
c. Grant Programs Directorate (GPD) AwardAdmiriistrahon Division GPD's Award Administration Division (AAD) provides support regarding financial matters and budgetary technical assistance. Additional guidance and information can be obtained by contactingtheAAD's Help Deskvia e-mail at [email protected]. d. Equal Rights
The FEMA Office of Eqrial Rights (OER) is responsible for compliance with and enforcement of federal civil rights obligations in connection with programs and services conducted by FEMA and recipients of FEMA financial assistance. All inquiries and communications about federal civil rights compliance for FEMA grants under this NOFO should be sent to FEMA-CivilRightsOffice((fema.dlis.gov. e. Environmental Plarming and Historic Preservation
GPD's EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inqriiries and communications about GPD projects under this NOFO or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinfo(a.fei'na.dhs.gov.
2. Systems Information
a. Grants.gov
For technical assistance with , call the customer support hotline 24 hours per day, 7 days per week (except federal holidays) at (800) 518-4726 or e-mail at support(2D,grants.gov.
FY 2023 HSGP NOFO Back to the Top
541
EXHIBIT F
57 b. Noii-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at ndgrants@,fema.dl'is.gov or (800) 865-4076, Monday through Friday, 9:00 AM - 6:00 PM ET. User resources are available at Non-Disaster Grants Management System i FEMA.gov. c. PaymentandReportingSystem(PARE)
FEMA uses the Payment and Repoiting System (PARS) for financial reporting, invoicing, and tracking payments. FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, recipients must complete a Standard Form 1199A, Direct Deposit Form. If you have questions about the online system, please call tlie Customer Service Center at (866) 927-5646 or email askGMD@,fema.dhs.gov.
H. Additional Information
GPD has developed the Preparedness Grants Manual to guide applicants and recipients of grant funding on how to manage their grants and other resources. Recipients seeking guidance on policies and procedures for managing preparedness grants should reference the Preparedness Grants Manual for further information. Examples of information contained in the Preparedness Grants Manual include:
* Actions to Address Noncompliance
* Audits
* Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations
* Community Lifelines
* Conflicts of Interest in the Administration of Federal Awards and Subawards * Disability Integration
* National Incident Management System
* Payment Information
* Period of Performance Extensions
* Procurement Integrity
* Record Retention
* Whole Cornrnunity Preparedness
* Other Post-Award Requirements
1. Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons.
FEMA and the recipient must still comply with closeorit reqriirements at 2 C.F.R. §§ 200.344-200.345 even if an award is terminated in whole or in part. To the extent that subawards are permitted under this NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards. a. Norxcompliaiice
If a recipient fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance caxi be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a FY 2023 HSGP NOFO Back to the Top
542
EXHIBIT F
58 Compliance Notification. If the noncompliance cannot be corrected or the recipient is nonresponsive, FEMA may proceed with a Remedy Notification, which corild impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terininate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient's material failure to comply with the award temis and conditions. See also the section on Actions to Address Noncompliance in this NOFO or in the Preparedness Grants Manual. b. With the Coment ofthe Recipient
FEMA may also terminate an award in whole or in pait 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 paitial termination, the poition to be terminated. c. Notification by t1ieRecipient
The recipient may terminate the award, in whole or in pait, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the award.
2. Program Evaluation
Recipients and subrecipients are encouraged to incorporate program evaluation activities fron'i the outset of their program design and implementation to meaningfully document and measure their progress towards meeting an agency priority goal(s). Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act), Pub. L. No. 115-435 (2019) urges federal awarding agencies and federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, to improve equitable delivery, and to elevate program service and delivery across the program lifecycle. Evaluation means "an assessment using systematic data collection and analysis of one or more programs, policies, and organizations intended to assess their effectiveness and efficiency." Evidence Act § 101 (codified at 5 U.S.C. § 311). Evaluation costs are allowable costs (either as direct or indirect), unless prohibited by statute or regulation.
In addition, recipients are required to participate in a DHS-led evaluation if selected, which may be carried out by a third-paity on behalf of the Program Office or DHS. By accepting grant funds, recipients agree to participate in the evaluation, which may include analysis of individuals who benefit from the grant, and provide access to program operating personnel and participants, as specified by the evaluator(s) during the award.
3. Period of Performance Extensions
Extensions to the period of performance for this program are allowed. Extensions to the POP identified in tlie award will only be considered tl'irorigh formal, written requests to the recipient's FEMA Preparedness Officer and must contain specific and compelling justifications as to why an extension is required. Recipients are advised to coordinate with Back to the Top
sr
FY 2023 HSGP NOFO
543
EXHIBIT F
59 the FEMA Preparedness Officer as needed when preparing an extension request. Please see the Preparedness Grants Manual for more information.
4. Financial Assistance Programs for Infrastructure
a. BuildAmerica,BuyAmericaAct
Recipients and subrecipients must comply with the Build America, Buy America Act (BABAA), which was enacted as part of the Infrastructure Investment and Jobs Act §§ 70901-70927, Pub. L. No. 117-58 (2021); and Executive Order 14005, Ensuring the Future is Made in All of America by All of America's Workers. See also OMB Memorandum M-22- 11, Ii'iitial Implementation Guidance Oil Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure.
None of the funds provided under this program s'nay 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 constrriction site and removed at or before the completion of the infrastructure projcct. 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 paiticular FEMA federal financial assistance program is considered an infrastructure program and thus reqriired to include a Buy America preference, please see Programs and Definitions: Build America. Buy An'ierica Actl FEMA.gov and Build America. BLIY America Act Frequently Asked Questions (FAOs) i FEMA.zov. Additional information is found in Buy America Preference in FEMA Financial Assistance Programs for Ii'ifrastructrire, FEMA Interim Policy #207-22-0001.
b. Waivers
When necessary, recipients (and subrecipients through their pass-through entity) may apply for, and FEMA may grant, a waiver from these requirements.
A waiver of the domestic content procurement preference may be granted by the agency awarding official if FEMA determines that:
* Applying the domestic content procurement preference would be inconsistent with the public interest.
* The types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality.
* The inclusion of iron, steel, mamifactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25%.
Back to tlie Top FY 2023 HSGP NOFO
544
EXHIBIT F
60 For FEMA awards, the process for requesting a waiver from the Buy America preference requirements can be found on FEMA's website at: "Buy America" Preference in FEMA Financial Assistance Programs for Infrastructure i FEMA.gov. c. Defmitioixs
Construction materials: an aiticle, 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-ferroris metals, plastic and polymer-based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables), glass (including optic glass), lumber, paint, and drywall.
Domestic content procurement preference: Means all iron and steel used in the project are produced in the United States; the manufactured products used in the project are produced in the United States; or the construction materials used in the project are produced in the United States.
Federal financial assistance: Generally defined in 2 C.F.R. § 200.1 and includes all expenditures by a federal agency to a non-federal entity for an infrastructure project, except that it does not inckide expenditures for assistance authorities relating to major disasters or emergencies under sections 402, 403, 404, 406, 408, or 502 of the Robeit T. Stafford Disaster Relief and Emergency Assistance Act relating to a major disaster or emergency declared rmder 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 eqriipment 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 tlie United States, and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55% of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation.
* Construction Materials: All manufacturing processes for the construction material occurred in the United States.
FY 2023 HSGP NOFO Back to the Top
1/7 545
EXHIBIT F
61 Project: is any activity related to the construction, alteration, maintenance, or repair of infrastructure in the United States.
FY 2023 HSGP NOFO Back to the Top
546
EXHIBIT F
GOVERNOR'S OFFiCE
OF EMERGENCY SERVICES
Fiscal Year 2023
Homeland Security Grant Program
California Supplement to the
Federal Notice of Funding Opportunity
October 2023
/ fO 547
Table of cont8A't'!,sl"1'>o:zs
SECTION 1 -OVERVIEW
Federal Program Announcement
Information Bulletins
Grant Management Memoranda
Purpose of the California Supplement
Eligible Subrecipients
Tribal Allocations
Subrecipient Allocations
Supplanting
Public/Private Organizations
Debarred/Suspended Parties
Key Changes to the FY 2023 Homeland Security Grant Program SECTION 2-FEDERAL CHANGES AND INITIATIVES
FY 2023 National Priorities
National Campaigns and Programs
National Cybersecurity Review
NIMS Implementation
Law Enforcement Terrorism Prevention Activities
Management and Administration
Indirect Costs
Organization Costs - Overtime
Personnel Cap
Equipment Typing/Identification and Use
Equipment Maintenance/Sustainmen+
Emergency Communications Projects
Telecommunications Equipment and Services Prohibitions
Small Unmanned Aircraft Systems
Emergency Operations Plans
Conflict of Interest
Build America Buy America Act (BABAA)
SECTION 3-STATE CHANGES AND INJTIATIVES
FY 2023 Investments
California Homeland Security Strategy GOCIIS
State Initiative Funding
"On Behalf Of"
Public Alert and Warning
14 SECTION 4-REQUIRED STATE APPLICATION COMPONENTS
Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Application Attachments
Standard Assurances
Operational Areas and Urban Areas
548
Operational Areas Only
Urban Areas Only
Fusion Centers Only
State Agencies and Tribes Only
SECTION 5-THE STATE APPLICATION PROCESS
Application Submission
Late or Incomplete Application
HSGP Contact Information
Subaward Approval
SECTION 6-POST AWARD REQUIREMENTS
Payment Request Process
Advances and Interest Earned on Advances
Semi-Annual Drawdown Requirements
Modifications
Training
Exercises, Improvement Plans, and After-Action Reporting Procurement Standards and Written Procedures
Procurement Thresholds
Procurement Documentation
Noncompetitive Procurement
Performance Bond
Environmental Planning and Historic Preservation
Construction and Renovation
Inventory Control and Property Management
Equipment Disposition
Performance Reporting
Extension Requests
Progress Reports on Grant Extensions
Monitoring
Failure to Submit Required Reports
Suspension/Termination
Closeout
Records Retention
ATTACHMENTS
A - FY 2023 HSGP Allocations
B - FY 2023 HSGP Timeline
C - FY 2023 HSGP Program Checklis+
EXHIBIT F
23 /2/ 549
Section 1 0vervir\ul"'l"r023
Federal Progrom
Announcement
In February 2023, the u.s. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)
issued the Fiscal Year (FY) 2023 Homeland Security Grant Program (HSGP), Notice of Funding Opportunity (NOFO)
and the FEMA Preparedness Grants Manual.
Subrecipients must follow the programmatic requirements in the NOFO, FEMA Preparedness Grants Manual, and the
applicable provisions of the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards located in Title 2, Code of Federal
Regulations (C.F.R.), Part 200.
Information
Bulletins
DHS issues Information Bulletins (IBs) to provide updates, clarification, and new requirements throughout the life of the grant.
Grant
Manogement
Memoranda
Cal OES issues Grant Management Memoranda (GMMs)
which provide additional information and requirements
regarding HSGP funds.
Purpose of the
California
Supplement
Eligible
Subrecipients
Eligible Applicants, referred to as Subrecipients, include Counties/Operational Areas (OAs), Urban Areas (UAs),
State Agencies (SAs), Departments, Commissions, and
Boards who have or can obtain appropriate state
Department of Finance budget authority for awarded
funds, and federally recognized tribes located in California.
Tribal
Allocations
The NOFO strongly encourages Cat OES to provide HSGP
Funds directly to tribes in California. To implement this requirement, a special Request for Proposal will be issued to California's federally recognized tribes. All Subrecipien+s are encouraged to coordinate with tribal governmen+s to
ensure that tribal needs are considered in their grant
applications.
550
EXHIBIT F
Subrecipient
Allocations
Suppanting
Public/Private
Organizations
Debarred/
Suspended
Parties
FY 2023 HSGP Subrecipien+ final allocations are provided in Attachment A and reflect reductions to Subrecipients who did not submit minimum thresholds for National Priority Areas, including Subrecipients opting out of the award
altogether, and increases to Subrecipien+s that are helping meet s+atewide minimum level National Priority Area
requirements.
Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated for the same purpose. Subrecipien+s may be required to
provide supporting documentation that certifies a
reduction in non-federal resources that occurred for
reasons other than the receipt or expected receipt of
federal funds. Supplanting will result in the disallowance of the activity associated with this improper use of federal grant funds.
Subrecipients may contract with other public or private organizations to perform eligible activities on approved HSGP projects.
Subrecipien+s must not make or permit any award
(subaward or contract) at any tier, to any party, that is debarred, suspended, or otherwise excluded from, or
ineligible for, participation in federal assistance programs.
Subrecipien+s must obtain documentation of eligibility
before making any subaward or contract using HSGP funds and must be prepared to present supporting
documentation to monitors/auditors.
Before entering into a Grant Subaward, the Subrecipien+ must notify CC)I OES if it knows if any of the principals under the subaward fall under one or more of the four criteria listed at 2 C.F.R. €4 180.335. The rule also applies to Subrecipients who pass through funding to other local
entities.
[203 551
EXHIBIT F
Debarred/
Suspended
Parties
Cont.
Key Changes to
the FY 2023
HSGP
If at any time offer accepting o subaward, Subrecipients learn that any of its principals fall under one or more of the criteria listed at 2 C.F.R. S, l 80.335, immediate wriHen notice must be provided to Cal OES and Clll grant activities halted until further instructions are received from CC)I OES. The rule also applies to subawards passed through by Subrecipients to local entities.
National Priority Areas: There ore six No+ional Priority Areas (NPAs) for FY 2023. SHSP and UASI applicants must include one Investment Jus+ifico+ion (U) for each NPA that has Cl minimum spend requirement, where applicable. For the
NPAs with no minimum spend requirement the Department
of Homeland Security strongly encourages recipients to
make investments in those areas as they are of critical national concern. For those NPAs that have an associated minimum spend, all projects related to meeting the
minimum spend for those NPAs must be included in the
same IJ.
The six NPAs, along with the relevant minimum spend
requirement, are:
* Enhancing information and intelligence sharing and
coopero+ion with federal agencies, including the
Department of Homeland Security - 3% minimum:
* Enhancing the projection of soft +orge+s/crowded
places - 3% minimum;
* Enhancing cybersecuri+y - no minimum requirement;
* Enhancing community preparedness and resilience -
3% minimum;
* Combating domestic violent extremism - 3% minimum;
* Enhancing election security - NEW: 3% minimum.
/27552
EXHIBIT F
Key Changes to
the FY 2023
HSGP
Cont.
Law Enforcement Terrorism Prevention Activities: Increased from 30% to 35% of the subaward.
Build America, Buy America Act (BABAA):
FY 2023 HSGP is subject to BABAA requirements. The BABAA requires Clll federal agencies, including FEMA, to ensure that no federal financial assistance for "infrastructure" projects is provided unless all of the iron, steel, manufactured
products, and construction materials used in the project are produced in the United States. The BABAA requirements only apply to awards or funds obligated on or after
Jonuary 2, 2023, and do not apply to awards or funds
obligated during the waiver period from July 1, 2022,
through January 1, 2023.
er
553
EXHIBIT F
Section 2 - Federal Changes and Initiatives 2023
FY 2023 National
Priorities
DHS/FEMA annually publishes the National Preparedness
F (NPR) to report national progress in building,
sustaining, and delivering the core capabilities outlined in the goal of a secure and resilient nation. This analysis provides Cl national perspec'tive on critical preparedness trends Torwhole community partners to use to inform
progrom priorities, allocate resources, and communicate with stakeholders about issues of concern.
HSGP Subrecipien+s are required to prioritize grant funding to demonstrate how investments support closing capability gaps or sustaining capabilities identified in the Threat Hazard Identi'fica+ion and Risk Assessment
(THIRA)/Stakeholder Preparedness Review (SPR) process.
DHS/FEMA continually assesses changes to the threat
landscape to further the National Preparedness Goal
(NPG) of a secure and resilient nation. The following are national priority areas for FY 2023, including the
corresponding percenk:ige of funds required in each area:
* Enhancing information and intelligence shoring and
cooperation with federal agencies, including DHS - 3%;
* Enhancing the protection of soff targets/crowded
places - 3%;
@ Enhancing cybersecuri+y - no minimum;
* Enhancing community preparedness and resilience -
3%
* Combating domestic violent ex+remism through
enhanced intelligence collection & analysis, training,
and community resilience - 3%; and
* Enhancing election security - 3% minimum.
The NPA specifically addressing emerging threats has been removed, but activities in this category remain allowable expenses under other investment areas. Further, applicants must spend a minimum of 30% of their SHSP and UASI
awards across the six NPAs but have new flexibility on how that funding is allocated. Although l 5% is required in minimum spending across five NPAs, CIS noted above, the remaining 15% can be allocated across any of the six
NPAs. Enhancing Cybersecuri+y NP does not require o
minimum allocation.
/2(:;554
EXHIBIT F
FY 2023 National
Priorities
Cont.
National Priority projects will be reviewed for effectiveness by DHS/FEMA and must be deemed effective prior to the
obligation or expenditure or Funds.
Projects requiring additional information for DHS/FEMA to determine effectiveness of the project, or projects
deemed ineffective, will have a hold ploced on their
subaward pending submission of requested intormation
and DHS/FEMA approval. Once a project is approved by
DHS/FEMA, modifications to the project have special
restrictions regarding modifications as indicated below:
Modifications which do not change the project scope and do not decreose the overall project budget can be
processed via regular modification request.
Modifications which change the project scope or
decrease the overall project budget will require DHS/FEMA approval and must be requested on the Notional Priority Project Modification Form.
Effectiveness will be evaluated by DHS/FEMA,
Cybersecuri+y and Infrastruc+ure Security Agency,
DHS Office of Intelligence and Analysis, DHS Center for Prevention Programs and Partnerships, and/or other
DHS components, as appropriate. FEMA will determine
whether the proposed approach is clear, logical, and
reasonable to address the priority areas of interest and contribute to a culture of national preparedness, based on the following four factors:
* Investment Strategy (40%): Projects will be evaluated based on the quality and extent to which the strategy
effectively demonstrates supporting the program
objective of preventing, preparing for, protecting
against, and responding to acts of terrorism, to meet its target capabilities, and otherwise reduce the overall risk to the high-risk urban area, the state, or the nation.
* Budget (20%): Projects will be evaluated based on the extent to which o budget plan for each investment
demonstrates how grant expenditures maximize cost
effectiveness.
/2'7 555
EXHIBIT F
FY 2023 National
Priorities Cont.
* Impact/Outcomes (40%): Projects will be evaluated on
how this investment helps the jurisdiction close
capabiti+y gaps identified in its Stakeholder
Preparedness Review and addresses NPs outlined in the
FY 2023 NOFO. Further, projects will be evaluated on
their identification and estimated improvement of core
capability(ies), the associated standardized target(s)
that align with their proposed investment, and the ways in which improvements are measured and/or
evaluated.
* Past Performance (additional consideration): Projects will be evaluated based on the Subrecipient's
demonstrated capability to execute the proposed
investments. Under this factor, FEMA will consider the
information provided by the Subrecipient and may also
consider relevant information from other sources.
A detailed description of allowable investments for each HP is included in the FY 2023 HSGP NOFO {Section A).
National
Campaigns and
Programs
Whole Community Preparedness - Subrecipients should
engage with the whole community to advance individua[
and community preparedness and to work as a nation to
build and sustain resilience. In doing so, Subrecipients ore encouraged to consider the needs of individuals with
access and functional needs and limited English
proficiency in the activities and projects funded by the grant.
Subrecipients should utilize established best practices for whole community inclusion and engage with stakeholders
to advance individual and jurisdic+ional preparedness and resilience. Subrecipien+s are encouraged to consider the necessities of all Californians in the oc+ivi+ies and projects Tunded by the grant, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved
populations.
/2f 556
EXHIBIT F
National
Campaigns and
Programs Cont.
Active Shooter Preparedness - DHS developed a
comprehensive Active Shoo+er Preparedness website,
which strives to enhance national preparedness through a whole-community approoch by providing the necessary
products, tools, and resources to help all stakeholders prepare for and respond to an active shoo+er incident.
Subrecipients are encouraged to review the referenced
active shoo+er resources and evaluate their preparedness needs.
Soff Targets and Crowded Places - States, territories, UAs, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs and challenges related to protecting
locations or environments that ore easily accessible to large numbers of people on a predictable or semipredictable basis that have limited security or protective measures in place, including town centers, shopping malls, open-air venues, outside hard targets/venue perimeters, and other places of meeting and gathering. For more
information, please see DHS's Hometown Security Proqram.
Community Lifelines - FEMA created Community LiTelines
to reframe incident information and impacts using plain language and unity of effort to enable the integration of preparedness efforts, existing plans, and identifies unmet needs to better anticipate response requirements.
Additional information may be found at the Community
Lifelines Implementation Toolki+ website.
Strategic Framework for Countering Terrorism and Targeted Violence - DHS adopted the DHS S+rateqic Framework for
Coun+erinq Terrorism and Tarqeted Violence which
explains how the department will use the 'tools and
expertise that have protected and strengthened the
country from foreign terroris+ organizations to address the evolving challenges of today.
/21
557
EXHIBIT F
National
Campaigns and
Programs Cont.
Countering Violent Extremism (CVE) Training - Foreign
terrorist groups and individual terrorist thought leaders recruit or inspire Westerners to carry out attacks against western and u.s. targets, including individuals living in communities with the u.s. via, but not limited to, print, video, and social media, as well as through personal
interaction. But we also know that violent ex+remism 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 10C(]I communi'ties' approach.
National
Cybersecurity
Review
The National Cybersecurity Review (NCSR) is a required
assessment for Clll Subrecipien+s of State Homeland Security Program (SHSP) and Urban Areas Security Initiative (UASI) funding to be completed between October and
February 2024.
The NCSR is Cl no-cost, anonymous, and annual selfassessment designed to measure gaps and capabilities of state, local, tribal, territorial, nonprofit, and private sector agencies' cybersecuri+y programs.
Additionally, FEMA recognizes that some subawards will
not be issued until after the NCSR has closed. In these cases, Subrecipients will be required to complete the first available NCSR offered after the subaward has been
issued by Cal OES.
The Chief Information Officer (CIO), Chief Information
Security Officer (CISO), or equivalent should complete the NCSR. If there is no CIO or CISO, the most senior
cybersecuri+y professional should complete the
assessment. Additional information may be found in IB 439 and 429a.
NIMS
Implementation
Prior to the allocation of any federal preparedness awards, Subrecipients must ensure and maintain the adoption and implementation of the National Incident Manaqemen+
558
EXHIBIT F
Law Enforcement
Terrorism
Prevention
Activities
At least 35% of the grant funding under SHSP and UASI must be dedicated to Law Enforcement Terrorism Prevention
Activities (LETPA). This required LETPA allocation can be from SHSP, UASI, or both and may be met by funding
projects in any combination of the six NPAs and any other investments.
Allowable expenditures can be found in the authorizing
legislation, Preparedness Grants Manual, Information
Bulletin (IB) No. 473 Supplemental Guidance for LETPA
Expenditures, the National Prevention Framework, and
National Protection Framework.
For an activity to be counted towards the LETPA
requirement, it must have a law enforcement terrorism
prevention nexus. If an activity is listed in the authorizing legislation or can be directly tied to a capability in the National Prevention Framework or shared capability in the National Protection Framework, then it is presumed to have law enforcement nexus and be o LETPA. For all other
claimed activities, nexus to law enforcement and terrorism prevention must be clearly explained.
Refer to IB 485 - FY23 LETPA Supplemental Guidance to the NOFO for further direction on how to account for LETPA
activities, best practices for submitting LETPA investments, and information on how to distinguish LETPA from other
activities.
Management
and
Administration
Indirect Costs
The Management and Administration (M&A) allowance for
Subrecipien+s is set at a maximum of 5% for FY 2023 HSGP.
Indirect costs are allowoble under the FY 2023 HSGP Grant Award.
Subrecipien+s with an indirect cost rate approved by their cognizant federal agency may claim indirect costs based on the established rate. Indirect costs claimed must be calculated using the base approved in the indirect cost negotiation agreement. A copy of the approved
negotiation agreement is required at the time of
application.
559
EXHIBIT F
Indirect Costs
Cont.
Indirect costs are in addition to the M&A allowance and must be included in the Grant Award application as a
"Project" and reflected in the FMFW on the Indirect Cost Tab iT being claimed under the award.
Indirect costs must be claimed no more than once
annually, and only at the end of the Subrecipient's fiscal year. An exception to this rule applies if there is a mid-year change to the approved indirect cost rate; in this case, costs incurred to date must be claimed. At that time, a Grant Subaward Modification reflecting the rate change
must also be submitted to CCII OES, along with a copy of the new Indirect Cost Rate Agreement.
Organization
Costs - Overtime
Operational overtime costs are allowable for increased
security measures at critical infrastructure sites if associated with detecting, deterring, disrupting, and preventing acts of terrorism and other catas+rophic events.
Pursuant to page A-4 of the Preparedness Grants Manual, all operational overtime requests must clearly explain how the request meets the criteria of one or more of the
categories listed in Table 2: Authorized Operational
Overtime Categories.
Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explains how the overtime activity is
responsive to the threat.
Post-event operational overtime requests will only be
considered on a case-by-case basis, where it is
demonstrated exigen+ circumstances prevented
submission or a request in advance of the event or activity.
Requests for overtime costs must be submitted to Cal OES via Allowability Request Loq (ARL) Form at the time of
application, if the activity will occur within one year of the final application submission. All subsequent requests must be submitted at least 60 days in advance of the activity.
ALEoperational overtime costs must be formally preapproved in writing by DHS/FEMA. 560
EXHIBIT F
Personnel Cap
Equipment
Typing/
Identification
and Use
Pursuant to 6 u.s.c. 8, 609(b), SHSP and UASI funds may be used for personnel costs, +otoling up to 50 percent of each fund source. A Subrecipien+ may request this requirement be waived by DHS/FEMA, via Cal OES. Requests for
personnel cap waivers must be submitted separately for
each fund source in wri+ing to the Program Representative on official letterhead, with the following information:
* Documentation explaining why the cap should be
waived;
@ Conditions under which the request is being submitted; and
* A and method of calculation of personnel costs
both in percentaqes of the Grant Award and in '
dollar amount (waivers must be calculated separately
for SHSP and UASI, ou+lining salary, fringe benefits, and any M&A costs).
Subrecipient requests to exceed the personnel cap must
be received by Cal OES at the time of application.
Subaward modifications impacting the personnel cap will be reviewed on a case-by-case basis and may require the submit+al of the above-mentioned information.
Please see IB 421 b for more information on the waiver
process.
Allowable HSGP equipment is listed on the FEMA
Authorized Equipment List (AEL) website.
Subrecipients that allocate HSGP funds towards equipment are required to type and identify the capability associated with that equipment. The FEMA Resource Typinq Library
Tool (RTLT) can be used to help determine the type and
capability.
Per FEMA policy, the purchase of weapons and weapon
accessories are not allowed with HSGP funds. Special rules apply to pharmaceutical purchases, medical
countermeasures, and critical emergency supplies; refer to page A-10 of the FEMA Preparedness Grants Manual for
additional information.
R3 561
EXHIBIT F
Equipment Typing/
Identifico+ion and
Use Cont.
Equipment
Maintenance/
Sustainmen+
Emergency
Communications
Projects
Telecom
Equipment and
Services
Prohibitions
Expenditures for general purpose equipment are allowable if they align to and support one or more core capabilities identified in the NPG, and in addition, are
deployable/sharable through the Emergency
Management Assistance Compact and allowable under
6 u.s.c. § 609. Refer to the NOFO and Preparedness Grants Manual for examples or allowable general-purpose
equipment.
Use of HSGP funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user Fees are allowoble as described in FEMA IBs 336 and 379, as well as Grant Programs Directorate (GPD) Policy FP-205-402-125-1, All Subrecipient emergency communications projects must comply with the SAFECOM Guidance on Emergency
Communications Grants and describe in their FMFW how
such activities align with the goals of the Statewide
Communications Interoperability Plan.
Effective August 13, 2020, section 889(f) (2)-(3) of the S. McCain National Defense Authorization Act For FY 2019 J and 2 C.F.R. Ei200.216, 200.471, and Appendix II to
2 C.F.R. Part 200 prohibit DHS/FEMA Recipients and
Subrecipients (including their contractors and
subcon+ractors) from using any FEMA funds under open or new awards for the following telecommunications
equipment or services:
1) Telecommunications equipment produced by Huawei
Technologies Company or ZTE Corporation, (or any
subsidiary or affiliate of such entities):
2) For the purpose of public safety, security of government facilities, physical security surveillance of critical
infras+ructure, and other national security purposes,
video surveillance and telecommunications equipment
produced by Hytera Communications Corporation,
Hongzhou Hikvision Digital Technology Company, or
Dahua Technology Company (or any subsidiary or
affiliote of such entities);
3) Telecommunications or video surveillance services
provided by such entities or using such equipment; or
562
EXHIBIT F
Telecom Equipment
and Services
Prohibitions Cont.
4) Telecommunications or video surveillance equipment or services produced or provided by an entity that the
Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an
entity owned or controlled by, or otherwise connected
to, the People's Republic of China.
Additional guidance is available in FEMA Policy #405-143- 1, Prohibitions on Expendinq FEMA Aword Funds For
Covered Telecommunications Equipment or Services
Prohibited and
Controlled
Equipment
Effective Moy 25, 2022, Executive Order (EO) l 4074,
Advancinq Effective, Accountable Policinq and Criminal
Justice Practices to Enhance Public Trust and Public Safety, Section 12(a) of EO 14074 directs the Department of
Homeland Security (DHS) to review its grant programs and, consistent with applicable law, prohibits the use of grant funding to purchase certain types of military equipment by state, local, tribal, and territorial law entorcement
agencies (LEAs).
For all awards issued on or after January 1, 2023, The po1icy directly prohibits certain types of equipment outright
(prohibited equipment), whereas other types oT equipment may be controlled, or LEAs are required to submit
certifications prior to purchase.
Even if equipment is listed as controlled equipment and is not outright prohibited, that does not automatically make it allowable under a particular FEMA program. Recipients and Subrecipien+s should refer to opplicable program
guidance or contact your Program Representative to
determine if a particular type of equipment is allowable under that program.
Additional information regarding Prohibited and Controlled Equipment is available on FEMA Policy 207-22-0002.
/3r
563
EXHIBIT F
Small Unmanned
Aircraff Systems
All requests to purchase Small Unmanned Aircraft Systems (SUAS) with FEMA grant funding must comply with FEMA
Policy 207-22-0002 and include copies of the policies and procedures in place to safeguard individuals' privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to, or otherwise use the SUAS equipment. The Authorized Equipment Listing for 030E-07-SUAS details
questions that must be included in the Aviation Request justification. Reference the Presidential Memorandum:
Promo+inq Economic Compe+itiveness While Safequardinq
Privacy, Civil Riqh+s, and Civil Liberties in Domestic Use of Unmanned Aircraft Systems for additional information.
FEMA approval is required before a SUAS can be
purchased with HSGP grants funds.
Emergency
Operations Plans
Subrecipients should update their Emergency Operations
Plan (EOP) at least once every two years to remain
compliant with the Comprehensive Preparedness Guide
101 version 2.0.
Conflict of
Interest
To eliminate and reduce the impact of conflicts of interest in the subaward process, Subrecipien+s and pass-through entities must follow their own policies and procedures
regarding the elimination or reduction of conflicts of
interest when making subawards. Subrecipients and passthrough entities are also required to follow any applicable federal, state, local, and tribal statutes or regulations governing conflicts of interest in the making of subawards.
Subrecipients must disclose to their Program
Representative, in writing, any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations, which may arise during the
administration of the HSGP subaward within five days of learning of the conflict of interest.
564
EXHIBIT F
Build America,
Buy America Act
(BABAA)
Under FEMA financial assistance programs, the BABAA
requirements apply to:
* New awards made on or after January 2, 2023,
* New funding that FEMA obligates to existing awards or through renewal awards on or after January 2, 2023;
and
* Infrastructure projects.
Funds provided under this program may not be used for a project for infrastruc+ure 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 oT the
infrastructure project. Additionally, the Buy America
preference does not apply to equipment and furnishings, such as movable chairs, desks, and portable computer
equipment, that are used at or within the finished
infras+ructure project but are not an integral part of the structure or permanently affixed to the infrastructure
project.
When necessary, Subrecipients may apply for a waiver
from these requirements. Additional information regarding the BABAA can be found on FEMA's website under
Buy America Preference Buy America Preference.
/:?7 565
EXHIBIT F
FY 2023
Investments
The State prioritized the following investment strategies for the FY 2023 subowards:
1. Enhance Information and Intelligence Sharing and
Cooperation with Federal Agencies, including DHS
(National Priority);
2. Enhance the Protection of Soft Targets/Crowded Places (National Priority);
3. Enhance Cybersecurity (National Priority);
4. Enhancing Community Preparedness and Resilience
(National Priority):
5. Combating Domestic Violent Ex+remism (National
Priority);
6. Strengthen Emergency Communications Capabilities
Through Planning, Governance, Technology, and
Equipment;
7. Enhance Medical and Public Health Preparedness;
8. Strengthen Information Sharing and Collobora+ion (nonFusion Center);
9. Enhance Multi-Jurisdictional/Infer-Jurisdictional AllHazards/Whole Community Incident Planning, Response & Recovery Capabilities;
10. Protect Critical Infrastruc+ure and Key Resources
(includes Food and Agriculture); and
11. Enhance Election Security (National Priority).
[3,! 566
EXHIBIT F
Section 3 - State Changes and Initiatives I 2023
California
Homeland
Security Strategy
Goals
State Initiative
Funding
"On Behalf Of"
Public Alert and
Warning
The State prioritized the following Colifornia Homelond Security Strategy Goals for the FY 2023 subawards:
1. Enhance Information Collection, Analysis, and Sharing, in Support of Public Safety Operations Across California;
2. Protect Critical Infrastruc+ure and Key Resources from All Threats and Hazards;
3. Strengthen Security and Preparedness Across
Cyberspace;
4. Strengthen Communications Capabilities through
Planning, Governance, Technology, and Equipment;
5. Enhance Community Preparedness:
6. Enhance Multi-Jurisdic+ional/Inter-Jurisdictional AllHazards Incident Ca+os+rophic Planning, Response, and Recovery Capabilities;
7. Improve Medical and Health Capabilities;
8. Enhance Incident Recovery Capabilities;
9. Strengthen Food and Agriculture Preparedness: and
10. Enhance Homeland Security Exercise, Evaluation, and Training Programs.
For FY 2023, CCII OES shall retain 20% of the SHSP and 18.5% of the UASI funding for state initiatives.
Cal OES may, in conjunction with local approval
authorities, designate funds "on behalf of" local entities who choose to decline or fail to utilize their subaward in o timely manner.
Cal OES encourages Subrecipien+s to consider the use or this funding to assist their jurisdiction's alignment with the State of California Alert and Warninq Guidelines,
developed pursuant to Senate Bill 833 of the 2018
Legislative Session.
U'l 567
EXHIBIT F
Section 4 - Required State Application Components l 2023 Financial
Management
Forms
Workbook
The FY 2023 Cal OES FMFW includes:
Grant Subaward Face Sheet - Use the Grant Subaward Face Sheet to apply for grant programs. The Grant Subaward Face Sheet must be signed and submitted in portrait format. An active UEI# (Formerly DUNS#) is required. UEI registration information is Authorized Body of 5 - Provide the contact information of Authorized Agents (AA), delegated via the Governing Body Resolution (GBR) or Signature Authorization Form, including staff related to grant activities. More than one person is
recommended for designation as the AA; in the absence of an AA, an alternate AA can sign requests.
Project Ledger - The project ledger is used in the application process to submit funding information and is used for submitting cash requests, Grant Subaward Modifications, and assists with the completion of the Biannual Strategy Implementation Report (BSIR).
Planning Tab - Provides detailed information on grant-funded plonning activities with a final product identified.
Organization Tab - Provides dek:iiled information on grant-funded organizational activities.
Equipment Tab - Detailed information must be provided under the equipment description for all grant-funded equipment. AEL numbers must be included for all items of equipment Always refer to the AEL for a list of allowable equipment and conditions, if any.
Training Tab - Provides detailed information on grant-funded training activities. All training activities must receive Cal OES opproval prior to snorting the event, including a Training Feedback number. The Traininq Request Form must be submitted and approved to obtain a Training Feedback number and should be submitted at least 30 days in advance.
Exercise TAB - Provides detailed information on grant-funded exercises.
M&A Tab - Provides information on grant-funded M&A activities.
Indirect Costs Tab - Provides information on indirect costs. 568
EXHIBIT F
Financial
Management
Forms
Workbook
Cont.
Consultant-Contractor Tab - Provides detailed information on grant-funded consultants and contractors.
Authorized Agent Page - The AA Page must be submitted with the application, all cash requests, and Grant Subaward
Modifications. The AA Page must include o valid signature on file with Cal OES and the date.
Subrecipient
Grants
Management
Assessment
Per 2 C.F.R. €4 200.332, CC)I OES is required to evaluate the risk of non-compliance with Federal statutes, regulations, and grant terms and conditions posed by each Subrecipient of passthrough funding. The Subrecipien+ Grants Manaqemen+ Assessment Form contains questions related to an organization's experience in the manogemen+ of federal grant awards. It is used to determine and provide an appropriate level of technical assistance, training, and grant oversight to Subrecipients during the subaward. The questionnaire must be completed and
returned with the grant application.
Application
Attachments
Federal Funding Accountability and Transparency Act (FFATA) Financial Disclosure - Use the FFATA Financial Disclosure Form to provide the information required by the Federal Funding Accountability and Transparency Act of 2006.
Certification Regarding Lobbying - Use the Certification Reqardinq Lobbyinq Form to certify lobbying activities, as stipulated by the Byrd Anti-Lobbying Amendment,
31 u.s.c. § 1352.
Intelligence Analysts Certificates - Pursuant to the Preparedness Grants Manual, Cal OES must have certificates for completion of training for fusion center analytical personnel. Please provide copies of certificates for each intelligence analyst, if applicable.
UASI Footprint (UASIs Only) - The Urban Area Working Group (UAWG) establishes the 'footprint' of the UA. A map or list defining the footprint must be included with the application.
UAWG Member Roster (UASIs Only) - A list of all current UAWG members with positions or titles.
Indirect Cost Rate Agreement - If claiming indirect costs CI+ a federally-approved rate, please provide a copy of the approved indirect cost rate agreement.
569
EXHIBIT F
Standard
Assurances
The Standard Assurances list the requirements to which the Subrecipients will be held accountable. All Applicants will be required to submit a signed, original or the FY 2023 Standard Assurances as part of their FY 2023 HSGP application. The required Standard Assurances can be found only in PDF forma+ on the Cal OES website.
NOTE: Self-created Standard Assurances will not be accepted.
Operotional
Areas and
Urban Areas
Governing Body Resolution - The GBR appoints AAs (identified by the individual's name or by a position title) to act on behalf of the governing body and the Applicant by executing any actions necessary for each application and subaward. All Applicants are required to submit a copy of an approved GBR with their grant applico+ion. Resolutions may be valid for up to three grant years given the following:
* The resolution identifies the applicable grant program (e.g., EMPG and/or HSGP) ;
* The resolution identifies the applicable grant years, (e.g., FY 2023, FY 2024, FY 2025; and
* Adheres to any necessary elements required by 10CCII
protocols, rules, etc., if applicable.
Resolutions that only identify a single grant program will only be valid for that single program. Resolutions that do not identify applicable grant years will only be valid Tor the grant year in which the resolution was submitted.
Authorized Agent Information - For each person or position appointed by the governing body, identify the individual in the Authorized Body of 5 ledger of the FMFW.
All changes in AA and contact information must be provided to Cal OES in wri+ing. If the GBR identifies the AA by name, a new Resolution is needed when changes are made. If the GBR
identifies the AA by position and/or title, changes may be made by submitting a request on the entity's letterhead, signed by an existing AA. Cal OES will not accept signatures of an AA's designee, unless authorized by the GBR. A change to an AA's designee must be submitted on agency letterhead and signed by the AA, announcing the chonge to their designee.
/'f'Z
570
EXHIBIT F
Operational
Areas Only
Approval Authority Body - OAs must appoint an Anti-Terrorism Approval Body (Approval Authority) to have final approval of the OA's application for HSGP funds. Each member of the Approval Authority must provide written agreement with the OA's
application for HSGP funds. The Approval Authority shall consist of the following representatives, and additional voting members may be added by a simple majority vote of the following standing members:
* County Public Health Officer or designee responsible for Emergency Medical Services
* County Fire Chief or Chief of Fire Authority
* Municipal Fire Chief (selected by the OA Fire Chiefs) * County Sheriff
* Chief of Police (selected by the OA Police Chiefs)
Urban Areas
Only
Urban Area Working Groups - Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined UA. It CIISOmust be inclusive of local Citizen Corps Council and tribal representatives.
The UAWG should also ensure the integration of 10CCII emergency management, public health, and health care systems into a coordinated sustained local capability to respond effectively to a mass casualty incident. Additional group composition criteria are found in the FEMA Preparedness Grants Manual.
Threat Hazard Identification and Risk Assessment - Subrecipients are required to submit a THIRA for all 32 core capabilities.
Beginning in 2019, UAs are required to submit a THIRA every three years. An annual capability assessment will still be required.
Stakeholder Preparedness Review - The SPR is an annual grant requirement for all states, territories, and UAs. It is an annual capability assessment, which helps jurisdictions identify capability gaps and priori+ize investment requirements to reach the targets set in their THIRA.
All fusion center investments must align to, and reference, specific performance areas of the assessment that the funding is intended to support.
571
EXHIBIT F
Fusion
Centers Only
Fusion Centers are CIISO required to follow all Reporting and Administrative Metrics for California Fusion Centers, as set forth in the Governor's Homeland Security Advisor/Cal OES Director's letter dated March 16, 2016. These operational and administrative metrics set forth an integrated and coordinated approach for regular and proactive information and intelligence sharing between all fusion centers in the California State Threat Assessment System (STAS).
State
Agencies and
Tribes Only
S'k:ire Agencies, and federally recognized tribes may submit the Signature Authorization Form in lieu oT CI GBR, signed by the most senior ranking official, such as the Secretary, Director, President, Chancellor, or Chairperson.
/'l({ 572
EXHIBIT F
Section 5 - State Application Process 2023
Application
Submission
Subrecipien+s must submit an electronic copy of their completed FMFW to their Program Representative for review. After the application is approved, a completed copy or the FMFW, along with 011other application components must be submitted, with official signatures, by the application due date. During the application process, if it is determined not all allocated funds can be expended by the end of the period of performance, please inform a Program Representative as soon CIS possible. The completed application should be received by Cal OES no later than the date provided in the FY 2023 HSGP Timeline, referenced as Attachment B.
Late or
Incomplete
Application
Late or incomplete applications may be denied. ITan application is incomplete, the Program Representative may request
additional information. Requests for late submission of applications must be made in wri+ing to the Program
Representative prior to the application due date. Cal OES has sole discretion to accept or reject a late or incomplete grant application.
HSGP Contact
Information
All Subrecipient application materials, questions, comments, and correspondence should be directed to:
California Governor's Office of Emergency Services
ATTN: Grants Management (Building F)
Homeland Security Grants Unit
3650 Schriever Avenue
Mother, CA 95655
Darlene Arambula
Christopher Camacho
Laura Halvers+adt
An+oinette Johnson
Jim Lane
Tyrone Freeman
Abigayle Tirapelle
916 845-8427
916 845-8789
916 845-8899
916 845-8260
916 845-8428
916 328-7750
916 845-8400
The Proqram Representative Reqional Assiqnments Map is
available at the Cal OES website under "Regional Assignments" illf 573
EXHIBIT F
Subaward
Approval
Subrecipients will receive a formal notification of award no later than 45 days after Cal OES accepts the federal grant award. The award letter must be signed, dated, and returned to Cal OES within 20 calendar days. Once the completed application, along with the signed award letter, is received and approved, reimbursemen+ of eligible subaward expenditures may be
requested using the CC)I OES FMFW.
/Y,; 574
EXHIBIT F
Section 6 Post Aword Requirements 2023
Payment Request
Process
To request an advance or cash reimbursemen+ of HSGP
funds, Subrecipients must first complete o payment request using the Cal OES HSGP FMFW, returning it to the appropriate Program Representative. Subrecipien+s who fail to follow the workbook instructions may experience delays in processing the payment request.
Payments can only be made if the Subrecipient has an
approved application.
Advances and
Interest Earned on
Advances
An Advance payment is a payment that is requested before Subrecipients have disbursed the funds for program purposes.
Subrecipien+s may be paid an advance, provided they
maintain a willingness and ability to maintain procedures to minimize the time elapsing between the receipt of funds and their disbursement. The timing and amount of advance
payments must be os close as administratively feasible to the actual disbursements by the Subrecipient for project costs.
Federal rules require advances to be deposited in interestbearinq accounts. Interest earned amounts up to $500 per year may be retained by Subrecipien+s for administrative expenses; any additional interest earned on federal advance payments must be returned annually to Cal OES.
Semi-Annual
Drawdown
Requirements
All Subrecipien+s must report expenditures and request funds at least semi-annually throughout the period of performance.
Semi-annual drawdowns should occur by March and
October of each calendar year following final approval of the subaward application, except for the final cash request, which must be submitted within 20 calendar days after the end of the period of performance.
Modifications Post-award budget and scope modifications must be requested using the Cal OES HSGP FMFW vl.23, signed by the Subrecipien+'s AA, and submitted to the Program
Representative.
The Subrecipien+ may implement grant modification
activities, and incur associated expenses, only after receiving written final approval of the modification from Cal OES. /(/7
575
EXHIBIT F
Modifications
Cont.
Subrecipien+s must provide a written justification with all modification requests. The justification may be included in the body of the e-mail transmitting the request, or in a document attached to the +ransmittal e-mail. Please reference GMM 2018-17 for additional information regarding modification requests.
Modifications to NP Projects have additional restrictions as indicated below:
Modifications which do not change the project scope and do not decrease the overall project budget can be
processed via regular modification request.
Modifications which change the project scope or decrease the overoll project budget will require DHS/FEMA approval and must be requested on the National Priority Project
Modification Form.
Training
Requirements
All grant-funded training activities must receive Cal OES approval prior to starting the training event. Cal OES shall allow Subrecipients to develop a "placeholder" for future training conferences when an agenda has not been
established at the time Subrecipient applications are due.
Please work with CI Program Representative and the Training Branch to identify a possible "placeholder" for these types of training activities.
When seeking approval of non-DHS/FEMA developed
courses, course materials must be submitted with the
approval requests. Conditional approvals are not offered.
Subrecipients must complete CI Traininq Request Form and submit it electronically to the Cal OES Training Branch to be approved with a Training Feedback Number before
beginning any training activities. This includes project components like travel to, materials for, or attendance in training courses. Training Feedback Numbers should be
obtained no later than 30 days before the first day of the training or related activities. Requests that are submitted with less than 30 days prior to the start of the training or activity are not guaranteed to be approved in time and run the risk of training being unallowable. Training Feedback numbers must 576
EXHIBIT F
Training
Requirements
Cont.
be included on the FMFW Training Ledger to be considered for reimbursement.
For more information on this or other training-related inquiries, contact the CCII OES Training Branch at (916) 845-8745 or [email protected].
Exercises,
Improvement
Plans, and AfferAction Reporting
Subrecipients should engage stakeholders to identify longterm training and exercise priorities. These priorities should address capability targets and gaps identified through the THIRA and SPR process, real-world events, previous exercises, and national areas for improvement identified in the NPR.
Subrecipients must report on all exercises conducted with HSGP grant funds. An After-Action Report
(AAR)/Improvement Plan (IF) or Summary Report (for
Seminars and Workshops) must be completed and submitted to Cal OES within 90 days after exercise/seminars/workshops are conducted. It is acceptable to submit an Exercise
Summary Report forSeminars and Workshops in lieu of o full AAR/IF.
Please e-mail AAR/IPs and Summary Reports to:
* [email protected]
* [email protected]
* [email protected]
For exercise-related issues and/or questions, please email the Cal OES Exercise Team at [email protected].
Exercise costs will not be considered for reimbursement until an AAR/IF is received by CCII OES.
Procurement
Standards and
Written
Procedures
Subrecipien+s must conduct procurement using documented local government procurement procedures, or the federal procurement standards found in 2 C.F.R. Part 200, whichever are more strict. Subrecipients must C)150have written conflict of interest policies governing the actions or its employees engaged in the selection, award and administration of
contracts, including disciplinary actions for violations of such standards.
j(47 577
EXHIBIT F
Procurement
Thresholds
Effective June 20, 2018, the micro-purchase threshold was increased from $3,500 to $a0,000 and the simplified
acquisition threshold WCISincreased from $150,000 to
$250,000. These increases apply to Clll Subrecipien+
procurements executed on or after June 20, 2018.
Refer to IB 434 for additional information.
Procurement
Documentation
Non-federal entities, other than states and territories, are required to maintain and retain records sufficient to detail the history of procurements, covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price. For any cost to be allowable, it must be adequately documented. Examples of the types of documents that would meet this requirement include, but ore not limited to:
* Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
* Responses to solicitations, such as quotes, bids, or
proposals;
* Pre-solicitation independent cost estimates and postsolicitation cost/price analyses on file for review by federal personnel, if applicable;
* Contract documents and amendments;
* Documents demons+rating inclusion of required contract provisions; and
* Other documents required by federal regulations
applicable CI+ the time the grant WC)S awarded to the
Subrecipient.
Noncompetitive
Procurement
All noncompe+itive procurements exceeding the simplified acquisition threshold requires CCII OES prior written approval to be eligible for reimbursement. This method of procurement must be approved by the local Purchasing Agent prior to submitting C) request for Cal OES approval. A copy of the Purchasing Agent's approval must be included with the
Cal OES Request for Noncompe+itive Procurement
Authorization Form. Cal OES may request additional
documentation that supports the procurement effort.
/m578
EXHIBIT F
Noncompetitive
Procurement
Cont.
Cal OES will not reimburse for any noncompetitive
procurement contracts for any HSGP terrorism-related
training, reqardless or the cost or the troining. Exceptions to this policy may be approved in limited circumstances, e.g., related to a procurement effort that has resulted in
inadequate competition. Please refer to GMM201 7-01A and GMM2021-05 for additional guidance.
Performance
Bond
Due to the risks associated with delays in vendor delivery of large equipment procurements, DHS/FEMA CIIIOWS
Subrecipients to obtain Cl "performance bond" for items that are paid for up front to ensure delivery of the equipment within the grant period of perTormance.
Cal OES requires Subrecipien+s to obtain a performance bond when procuring any equipment item over $250,000, or for any vehicle, aircraft, or watercraft +hot requires full or partial payment prior to receiving the Final product(s).
Performance Bond Waivers may be granted on a case-bycase basis and must be submitted to Cal OES prior to procurement.
Environmental
Planning and
Historic
Preservation (EHP)
DHS/FEMA is required to ensure all activities and programs that are funded by the agency comply with federal
Environmental Planning and Historic Preservation (EHP)
regulations. Subrecipien+s proposing projects or activities (including, but not limited to, training, exercises, the installation of equipment, and construction or renovation projects) that have the potential to impact the environment, or a historic structure must participate in the EHP screening process. EHP Screening Memos must include detailed project information, explain the goals and objectives of the proposed project, and include supporting documentation.
DHS/FEMA may also require the Subrecipient to provide a confidential California Historical Resources Information System (CHRIS) report in addition to the EHP Screening Form.
Determination on the necessity of a CHRIS report is based upon information disclosed on the form. Program
Representatives will provide additional instructions should this report be required.
579
EXHIBIT F
Environmental
Planning and
Historic
Preservation (EHP)
Cont.
EHP Screening Requests should be submitted to CCII OES as early as possible. All projects/activities +riggering EHP must receive DHS/FEMA written approval prior to commencement of the funded oc+ivi+y.
Updated information may be referenced in the FEMA GPD
EHP Policy Guidance.
Construction and
Renovation
When applying for construction activity at the time of
application, including communication towers, Subrecipients must submit evidence oT approved zoning ordinances,
architectural plans, any other locally required planning permits, and a notice of federal interest. Additionally, Subrecipients are required to submit an SF-424C Budget and Budget Detail that cites project costs. Communication tower construction requests CIISO require evidence that the Federal Communications Commission's Section 106 review process
was completed.
Subrecipients using funds for construction projects must comply with the Davis-Bacon Act. Subrecipients must ensure that their contractors or subcontrac+ors for construction projects pay workers no less than the prevailing wages for loborers and mechanics employed on projects of a
character like the contract work in the civil subdivision of the state in which the work is to be performed.
Project construction using SHSP and UASI funds may not
exceed $1,000,000 or 15% of the grant subaward (for the purposes of limitations on funding levels, communications towers are not considered construction).
Written approval for construction must be provided by
DHS/FEMA prior to the use of any HSGP funds for construction or renovation. No construction activities (including sffe preparation, utility installations, and any groundbreaking activities) or equipment installations on existing structures, moy begin until the EHP review process is complete.
/)Z 580
EXHIBIT F
Inventory Control
and Property
Management
Subrecipien+s must use standardized resource management concepts for resource typing and credentialing, in addition to maintaining an inventory by which to facilitate the effective identification, dispatch, deploymen+, tracking, and recovery of resources.
Subrecipien+s must have an effective inventory management system, to include:
* Property records that document description, serial/ID number, fund source, title information, acquisition date, cost, federal cost share, location, use, condition, and ultimate disposition;
@ A physical inventory conducted at least every two years:
* A control system to prevent loss, damage, and theft of grant purchased equipment and supplies; and
* Adequate maintenance procedures to keep the property
in good condition.
Equipment
Disposition
When original or replacement equipment acquired under the HSGP is no longer needed for program activities, the
Subrecipient must contact the Program Representative to request disposition instructions. See 2 C.F.R. El 200.313(e).
Performance
Reporting
Subrecipien+s must complete a BSIR each Winter and Summer using the DHS/FEMA Grants Reportinq Tool (GRT) for the
duration of the suboward period of performance or until all grant activities are completed and the subaward is formally closed by Col OES. Failure to submit a BSIR could result in subaward reduction, suspension, or termination.
Access to the BSIR may be obtained through the GRT. To
create a new account, please click the link that reads, "Register for an account" and follow the instructions
provided. The Subrecipient will be required to ensure up-todote project information is entered. The Project Ledger in the FMFW may assist with the BSIR data entry process. For
additional assistance with the GRT, please contact your Program Representative.
/r3 581
EXHIBIT F
Extension
Requests
Extensions to the initial period or performance identified in the subaward will only be considered through formal, written requests to your Program Representative. Upon receipt of the extension request, Cal OES will:
1. Verify compliance with performance reporting
requirements by confirming the Subrecipierrf has
submitted all necessary performance reports;
2. Confirm the Subrecipient has provided sufficient
jus+ifico+ion for the request; and
3. If applicable, confirm the Subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES.
Extension requests will be granted only due to compelling legal, policy, or operational challenges, must be projectspecific and will only be considered for the following reasons:
1. Contractual commitments with vendors that prevent
completion of the project within the period of
performance;
2. The project must undergo Cl complex environmental
review which cannot be completed within this timeframe;
3. Projects are long-term by design and therefore,
acceleration would compromise core programma+ic
goals; and
4. Where other speciol circumstances exist.
To be considered, extension requests must be received no later than 60 days prior to the end of the Subrecipient's period of performance and must contain specific and
compelling justifications as to why an extension is required. All extension requests must address the following:
1. Grant program, fiscal year, and award number:
2. Reason for delay;
3. Current status of the activity/activities;
4. Approved period of performance termination date and
new project completion date:
5. Amount of funds drawn down to date:
6. Remaining available funds, both federal and non-federal; //Y582
EXHIBIT F
Extension
Requests
Cont.
7. Budget ou+lining how remaining federal and non-federal funds will be expended;
8. Plan for completion, including milestones and timeframes for each milestone and the position/person responsible for implementing the plan for completion; and
9. Certification the activity/activities will be completed within the extended period of performance without any
modification to the original Project Scope.
General questions regarding extension requirements and the extension request form, should be directed to your Program Representative. For additional information, please see IB 379.
Extension requests For personnel and salaries do not meet the requirements of IB 379 and will not be gronted. Subrecipients are expected to complete all grant-funded personnel
activities by the end of the subaward period of performance.
Progress Reports
on Grant
Extensions
All Subrecipients thot receive Cal OES approval to extend their FY 2023 Grant Subaward period of performance may be required to submit progress reports indica+ing completed and future project milestones on all extended projects. Progress reports must be submitted electronically to the Subrecipient's Program Representative. Deadlines For the submission of progress reports will be established at the time of extension approval.
Monitoring CCII OES Grants Monitoring actively monitors Subrecipients, through day-to-day communications, programmatic site
visits, desk, and on-site compliance assessments. The purpose of the compliance assessment is to ensure Subrecipients are in compliance with applicable state and federal regulations, grant guidelines, and programmatic requirements.
Monitoring activities may include, but are not limited to:
* Verifying entries recorded on the FMFW categories are properly supported with source documentation;
* Eligibility of and support for expenditures, typically covering two to three years of data:
* Comparing actual Subrecipient activities to those
approved in the grant application and subsequent
/5-j- 583
EXHIBIT F
Monitoring
Cone.
modifications, including the review of timesheefs and
invoices as applicable:
* Procurements ond contracts:
* Ensuring equipment lists are properly maintained and
physical inventories are conducted;
* Ensuring advances have been disbursed in accordance
with applicable guidelines; and
* Confirming compliance with Standard Assurances; and
* Information provided on performance reports and
payment requests
NOTE: It is the responsibility of all Subrecipients that pass down grant funds to other entities, to maintain and utilize a formal process to monitor the grant activities of their subawards. This requirement includes, but is not limited to, on-site verification of grant activities, as required. It is common for Subrecipients to receive findings in a programmatic site visit or compliance assessment, which require a Corrective Action Plan (CAP) to be submitted by Subrecipients. Those Subrecipien+s who fail to submit o CAP, as required, shall have a "hold" placed on any future reimbursements until the "finding" is resolved.
Failure to Submit
Required Reports
Periodic reporting is required by the grant. Subrecipien+s who miss a single reporting deadline may receive a letter
addressed to their Board of Supervisors informing them of the failure to report. County OAs and tribes who fail to report twice consecutively may have subsequent awards reduced
by 10% until timely reporting is reestablished; UASIs may have a "hold" placed on any future reimbursemen+s.
Suspension/
Termination
Cat OES may suspend or terminate grant funding, in whole or in part, or other measures may be imposed for any of the following reasons:
Suspension/
* Failure to submit required reports.
* Failure to expend funds in a timely manner consistent with the grant milestones, guidance, and assurances.
* Failure to comply with the requirements or statutory
progress toward the goals or objectives of federal or state law.
* Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipien+ application.
* Failure to follow Grant Subaward requirements or Special Conditions.
/f(p 584
EXHIBIT F
Termination
Cont.
* Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding.
* False certification in the application or document.
* Failure to adequately manage, monitor, or direct the
grant funding activities of their Subrecipients.
Closeout
Before +aking action, Cal OES will provide the Subrecipient reasonable notice of intent to impose corrective measures and will make every effort to informally resolve the problem.
CCII OES will close-out Subrecipien+ awards when it
determines all applicable administrative actions and all required work of the federal award have been completed.
Subawards will be closed after:
* All funds have been requested and reimbursed, or
disencumbered;
* Receiving all applicable Subrecipien+ reports indicating all approved work has been completed, and all funds have
been distributed;
* Completing Cl review to confirm the accuracy of reported information;
* Reconciling actual costs to subawards, modifications, and payments; and
* Verifying the Subrecipien+ has submitted o final BSIR showing all grant funds have been expended.
Records Retention The records retention period is three years from the date of the Cal OES Grant Closeout letter, or until any pending litigation, claim, or audit started before the expiration of the three-year retention period has been resolved and final action is taken.
For indirect cost rate proposals, cost allocation plans, or other rate computation records, the start of the record retention period is dependent on whether the proposal, plan, or other computation is required to be submitted to the federal
government (or to the pass-through entity) for negotiation purposes. See 2 C.F.R. S, 200.334(f).
In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. Fl 200.403(q).
,tf7 585
EXHIBIT F
Records Retention
Cont.
The Cal OES Grant Closeout Letter will notify the Subrecipien+ of the start of the records retention period for all
programmatic and financial grant-related records.
If the State Administrative Agency's award remains open after the Subrecipient's submission of the final BSIR, Cal OES will complete any additional BSIR reporting required under the award on behalf of the Subrecipient.
Closed grants may still be monitored and audited. Failure to maintain all grant records for the required retention period could result in a reduction of grant funds, and an invoice to return costs associated with the unsupported activities.
ITdocuments are retained longer than the required retention period, FEMA, the DHS Office of Inspector General,
Government Accountability Office, and pass-through entity have the right to access these records as well. See 2 C.F.R. §§ -200.334, 200.336.
/fO 586
EXHIBIT F
Attachment A - FY2023 HSGPAllocations l 2023
*SHSP allocations reflect National Priority Area project adjustments State Homeland Security Program (SHSP)
Operational Area TotalAwardN
7 -.::,;:i:iffi-.i:lOperational Area Total Award
ALAMEDA *,bso,ygs2tl:,;;.J;JpiORANGE 3,091,413
ALPINE 76,145 :lai,IVl(JIS:F.,_:'GaJ,l' PLACER 465,161
AMADOR 113,439 ;l1"'+.7"{'!!' ':;*' (-Tha"('-"P' ('.
l} +%'{ }u %, .
p.:t,
I' l PLUMAS 93,069
BUTTE 267,310 }!!: RIVERSIDE 2,398,207
CALAVERAS 117,971 i
$b%l
6y-i. -ra
H. I
ffl SACRAMENTO 1,578,910
COLUSA 94,168 ,i
=i:;
. ':;-1.:r:l', , 6 . . ,}: ('. SAN BENITO 137,459
CONTRA COSTA 1,178,218 .1,....t:1171,0il.,,:;NIXI':ll+1lll)aal-ly.aaffia:,a"5.al",l!' SAN BERNARDINO 2161,778 DEL NORTE 100,963 II:,'a:'a" :":'.tSa9 ':';..' Ik=V';'f;.<'.". '{
:I SAN DIEGO 3,210,706
EL DORADO 256,682 q
-.'-a ...
.7 *7%'.X'.'a$af. 'i#'
sim SAN FRANCISCO 878,889
FRESNO 1,039,636 9
9A@
;14"ab"Ei SAN JOAQUIN 823,130
GLENN 102,425 l
.ai*
-al' b..l"
). 'a " ! -y - -.'-- =- s 1.
#:i
... I SAN LUIS OBISPO 342,774
HUMBOLDT 203,934 (
i%:'-,;,..l,.,,.ll""""'
- -r "l =" ' I * la e-.' ;t. - SAN MATEO 785,321
IMPERIAL 246,059 117.(',y {.)"',_#;,l,.,' -:
3,'c==Cl,- -!' ;,.,-1.,. a*,. , .,,s, ft SANTA BARBARA 499,634 INYO 93,103 11.)li
;a
r'====.==.-<..l
'h SANTA CLARA 1,882,403
KERN 942,855 {1
aJ- 4 =; - -l 0
'a''_.h'l:'."'
a ' laik'A
ff,
lm SANTA CRUZ 329,271
KINGS 220,012 }l!i,9Q@, m
.i5: SHASTA 247,205
LAKE 126,762 '(m'fk-a.'i*':t't
ra'*:aa=N"'i'iaa'.
8%'-a6;'a!'
l;<'h5>' +
.,a(l.a SIERRA 78,080
LASSEN 103,878 !
:1,4,.5.,}A.. , 1%:';" , * ,a?
9.:J;.
W> SISKIYOU 116,809
LOS ANGELES 9,481,457 1f't'j.b I
%@m@
'l
a :'MSOLANO 501,615
MADERA 225,138 "
P
4;'
s
,, W0s,
!!l
Q:
ffl
z..
m4g
)A
i
SONOMA 535157
MARIN 320,277i
)7 m
>..p
m
*;
Q
!i i
W
W'!"iSTANISLAUS 599128
MARIPOSA 102,042 '
'+#a"-;'-
:-j..rLr{ .-'i='.:,l':SUTTER 169,572
MENDOCINO 168,349 ,yl..'4.':T.:!'i"(i'l
?*:M4
4 m
J
i TEHAMA 132,940
MERCED 346,225 ik
Q
&
m
4 !,
W
am
g
*'
Qi TRINITY 90,284
MODOC 83/289 %
! M
%
' Q.
(I m
v
a
t
!i TULARE 528,108
MONO 87,762!
t'l(
g":f.'i
'S
A.: 5J;":"A'! i TUOLUMNE 127,741
MONTEREY 488,715 f,! li A}!',"'b
zzi9.
!':)
gm
a4 !mk'i VENTURA 870,207
NAPA 204,898 j
':;
is M's' la'.
m
.A
l:J
*
)tW
ij(i YOLO 285,965
NEV ADA 171,574!
W I
!5ji my
a'p
4 b
V
ff'i.)YUBA 153,481
*Total 41,728,498
38 /r7 587
EXHIBIT F
Fusion Centers
Region Total Award
SAN FRANCISCO BAY AREA 1,792,050
SACRAMENTO/CENTRAL VALLEY AREA 2,565,000
GREATER LOS ANGELES AREA 2,887,500
SAN DfEGO AREA 2,047,500
ORANGE AREA 835,000
*Total 70,127,050
* SHSP allocations reflect National Priority Area project adjustments Urban Areas Security Initiative (UASI)
*A minimum of 35% of UASI funding must be for Law Enforcement Terrorism Prevention Urban Area
Federal
Allocation to
State
Allocation to
UASI
I
State Initiatives
ANAHEIM/SANTA ANA AREA 5,250,000 4,278,750 971,250
BAY AREA 36,493,265 29,7 42,Ol 1 6,7 51254
LOS ANGELES/LONG BEACH AREA 66, 17 4,270 53,932,030 12,242,240 RIVERSIDE AREA 3,900,000 3, 178,500 721 ,500
SACRAMENTO AREA 3,800,000 3,097,000 703,000
SAN DIEGO AREA 16,445,560 13,403, 13'l 3,042,429
Total 132,063,095 107,631 ,422 24,431 ,673
588
EXHIBIT F
Attachment B FY 2023 HSGP Timeline 2023
DHS/FEMA Announcement of 2023 HSGP NOFO February 13, 2023 Cal OES Application Due to DHS May 18, 2023
DHS Aword to California September 25, 2023
Subrecipient period of performance begins September 1, 2023 2023 HSGP California Supplement release October 2023
Subrecipient Workshops October 2023
Subrecipien+ Awards (45 days from DHS award) October 2023 Subrecipient Final Applications For FY23 Due to
Cal OES
December 29, 2023
Subrecipient period of performance ends May 31, 2026
Final Cash Requests due to Cal OES Within twenty (20) calendar days after end of grant
Cal OES's period of performance ends August 31, 2026
589
Attachment C: FY 2023 HSGP Application CheckWis)r2023
Subrecipient: FIPS#:
Program Representative:
Financial Management Forms Workbook:
€ Grant Award Face Sheet
€ Authorized Body of 5
€ Project Ledger
€ Planning Tab
€ Organization Tab
€ Equipment Tab
€ Training Tab
€ Exercise Tab
€ Consulton+/Controctor Tab
€ Management & Administration Tab
€ Indirect Cost Tab
€ Authorized Agent Sheet
Attachments:
€ Original Counter-Signed Award Letter
€ Governing Body Resolution (Certified)
€ Standard Assurances (Signed Originals)
€ FFATA Certification
€ Lobbying Certification
€ Subrecipien+ Grant Management Assessment Form
€ Indirect Cost Rate Negotiation Agreement
€ Personnel Cap Waiver (If Applicable)
€ Intelligence Analyst(s) Certificates (If Applicable)
UASI Only:
€ UASI Footprint
€ UAWG Roster
State Agencies and Tribes Only:
IZ Signature Authority Form (in lieu of Governing Body Resolution) Reviewed by: Date:
Management Approval: Date:
/(oZ
590
LOS ANGELES COUNTY/DEPARTMENT OF AUDITOR-CONTROLLER
SHARED SERVICES DMSION
EXHIBIT G
GRANT PAYMENT REQUEST
!
ffl
S
[1
I %M-g-,-Q5- rIT i-'ataM4.slisj.'- ""'i
:,,, ,' _,,,, ,, ,_,, 2:_ ,,.'ll i. _ _ % _ ._,%, :, , , ,_ ,,:s% ,,_ ,_,%%". ..;'!!!!_r_--.," : '::,-: :!j ffl- t; ; ff:r.=a .a ' _ _ _ _ __ :_._..- . __..J Please submit Grant Payment Request Form along With l supporting dOCuments tO:
1. Grant Name & Year:
In the event e-mail is not available, you can mail your Grant payment request to (please do not fax or send duplicates):
Department of Auditor-Controller
Shared Services Division / Attn: Grants Unit
320 W. Temple Street, Room 380
LosAngeles, CA 90012
ji'a!tffifflattaaaW4'&Ej a . I)lWltalFOl-aa0!aPlaall+!MWsql{lThlf%l -0 i vs v #'& IQI01 xWi & i'y z :'la-__z...._____._l@,g3>,3t@q5@Bq)l);,;JJ ;§,l,PJ3jJJQ)98)4it41Q,4gHgp ...__ _.____. .__.._.._-..
1. Sub-recipient's Name: (reimbursement dieck will be made payable to a payee entered 3. Taxpayer ID #: 4. Contact's Name:
2. Mailing AddreSS (please let us know where you want your check delivered, including attention line if necessary). 4. Contact's phone:
4. Contact's e-mail
1A'Z."a.T-*>f.=='J'l"" .-3. E-'0 ['(m Qb'a-'-a' 'i ,j-ta-$ fj ffl,g :' U163i§a:6QA lii : J aK 5 '=____.._ _.__'___:___ ____..xx=''
i. SOLUTION AREA
(e.g. equipment, training,
planning, exercise, organization)
2, PROJECT #
(e.g. Calt22)
4. EHP required?
(Environmental& Histonc
Preservation)
5. VENDOR'S INVOICE #
(Maximum of 5 invoices)
6. PURCHASE METHOD
(including Training) 7.CLA1M
AMOUNT
lii iilicate the
amount per each
line) No Yes
(attach State
Approval)
If Competitive,
indicate the # of
bids.
Non-Competitive
Bid
8019 Source
S O.00 8.TOTAL
,!'lu.!u.=':'k'JalWffl'V;Y.%'m':'2-1';MJI';V'i'('Qil'ikWJ!W% I cerli$ that (please use Ihe checkbox):
€ 1. I am the duly authorizedofficer of the claimant herein and Thisclaim is in all respect true and conect. All expenditureswere made in accordancewith applicablelaws, rules, regulationsand grant condihonsand assurances.
@ 2.Allinstructions forthisformwerefollowedandallthesupponingdocumentation (petinsitucUons) is induded with this daim.
3. ST AMP WITH RECEIVED DATE HERE:
AuTHORIZEDSIGNATuRE DATE
4. AuTHORIZEDPRlNTEDNAME AUTHORIZEDTITLE
5, AUTHORIZE[) CONTACT INFORMATION(If different from Section B) PHONE#
ASSIGNED INVOICE NO.:
E-MAIL:
NOTE: This Form is intended for Internal 550 review purpose only.
Reviied on April 2021
/63 591
EXHIBIT G
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR-CONTROLLER / SHARED SERVICES DMSION Purpose of these instructions:
To aSSist sub-recipients in completing the Grant Payment Request. We appreciate your participation in this program, for questions or suggestions please use our e-mail below to contact us. Please do not send these instructions to us, they are to be used for your guidance only.
In numeral'i of this section, please enter the name and year of the grant program that you are submitting for payment. In addition, please help us expedite the process of your Homeland Security claims by:
* Completing the Grant payment request correctly and according to these instructions. * SubmittingyourGrantpaymentrequestusingoure-mail->[email protected](pleasedonotfaxdocuments). @ Sending your Grant payment request only once (we do not require original documents and duplicates will slow down our process). * Using the checkboxes to ensure all the required supporting documents and files accompany your Grant payment request. Supporting documents are flagged for your convenience with a checkbox within the corresponding areas. * Ensuring that all documents attached to your Grant payment requests are legible. * Submitting Grant payment request timely. We do not guarantee the process of Grant payment requests that are submitted late or too close to the final due date. Reimbursable expenditures need to be charged within the peformance period of the grant and submitted to us as soon as they are incurred.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. Please enter the name of the agency requesting for payment. The name of the agency should be typed according to its signed agreement and as you need it to appear in the payee line of the reimbursement check.
2. Please enter the complete address (street number and name, city, zip code) and attention line where you will need to receive the reimbursement check. Please note that this is not necessary for L.A. County departments.
3. Please enter the tax ID of the governmental entity requesting payment. Please leave blank for L.A. County departments.
4. Please enter the information of the person that can assist us with detail claim questions.
In order to expedite your Grant payment request, in this area's grid, include a maximum of five (5) invoices or reimbursements charqes (one charqe or one invoice per line). The invoices or charges need to share the same solution area, project #.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. Enter the solution area corresponding to the claim. This information is found in the latest budget of the grant Examples of solution areas are:
equipment, training, planning or exercise.
2. Enter the project # corresponding to the claim. This information is found in the latest budget of the grant. An example of Item # is 17.020.
4. CheckwithanXundereitheryesornoaccordingtotheclaim'sEnvironmental&HistoricalPreservation(EHP) requirementsfromtheState. EHP approval needs to be obtained from the State py354to the start of the project on certain equipment items (see AEL description) or training/exercise projects. Please attach the following:
a) @ StateEHPApproval:ifrequiredbythestateforyourclaim.
Revised on 1j /20/2017
592
EXHIBIT G
5. If the expenditures that you are claiming were purchased thru a vendor or contractor, please enter the mvoice# in the grid area. Please note that you are responsiblefor following acceptable purchasing policies and for documenting your procurementprocess. Additionally please include the following documentation with your claim:
a) 0 Copyof theinvoice: Pleaseattachaninvoicethatprovides sufficientinformationto be used as a cross reference with the items described in your grant line item andAEL #. When the invoice includes items that are not being claimed or that belong to different claims or grants, please circle and designate on the invoice the items that you are requestingfor reimbursement.Each item circled must have a project #, a funding source, and a total. Purchase orders and price quotes will not be accepted in the place of the invoice. b) 0 Copyofthepurchaseorder
c) 0 Print out of the corresponding AEL # (Authorized Equipment List number). The AEL listing Can be found at:
https://www.fema.gov/grants/guidance-tools/authorized-equipment-list d) 0 Proofof paymentoftheinvoice: Theproofof paymentfor L.A. County Departmentsis the printout from e-CAPS showing that the check cleared the bank. The proof of paymentfor other than L.A. County Department is the corresponding copy of the bank's cleared check. e) € Calculationsforusetaxpaid: Whenusetaxispaid,clearlyshowthecalculationsoftheusetaxintheinvoiceincludedinyourclaim. 5 @ Proofofpayment oftheusetax:Pleaseprovideofficial documents whichauthenticate thremittanceoftheusetaxtothestate,the amount and the reference to the invoice being claimed. g) 0
Federal Debarment Listing: Please provide a screen print out of the queried Federal Debarment Listing at . The listing needs to be queried to the selection of the vendor.
6. If you are claiming services, supplies, training related costs, or any other type of items purchasedthru a vendor or contractor or government agency, please indicate with an X the method that you used to acquire the items (do!!Q! leave blank or mark more than one). Please note that competitive bid, non-competitivebid or sole source are the only valid purchasing methods. a) @ CompetitiveBid:forprojectshatreceivedmorethanonebid.Pleaseindicatenumber ofbidsreceived(mustbemorethanone). b) @ Non-Competitive Bid:forsinglebidpurchasesof$250,000ormore(effectiveJune21,2018)toasinglevendororasingleproject, please attach the approval from the State. The approval needs to be requested from the State to the start of the project. c) z SoleSource:fornon-bidpurchasesof$250,000ormoreeffective(June21,2018)toasinglevendororasingleproject, pleaseattachthe approval from the State. The approval needs to be requested from the State (3f3q to the start of the project.
7. Enterthe amount of your claim after you verify that your budget is sufficient to cover your request. When the amount of the budget is not sufficient, please let your Program Coordinator know of the possible need for budget modification.
8. Enter the "Total Amount" by adding the subtotal claims included in each line.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. Pleasereadandchecktheboxprovidedifyouareanauthorizedsignor.
2. Please read and check the box provided if you are an authorized signor.
3. Please sign the Grant payment request if you are an authorized signor of your agency. 4 & When the authorized person is the same as the contact person in Section B you do not need to enter the authorized contact information. If the 5, authorized person and the contact person in Section B are different, please enter all the fields in this area as requested.
Revised on 11/20/2017
EXHIBIT G
For Equipment Claims:
a) € Equipment Inventory Listing (Print out & Excel File): Please include both the printout of the listing and the corresponding excel file with your claim. The excel file is used to submit your claim with the state and the printout as backup document for audits. If there is no serial # for your equipment please assign a valid ID tag, or write "Consumable" (if it applies) or write N/A. please do NOT leave the corresponding "1
space blank. Please refer to the Instructions to Equip Inty Tab for completion procedures of Equipment Inventory.
Additionally, please enter the appropriate CBRNE Mission (Chemical, Biological, Radiological, Nuclear, or Explosive) in the column titled "EquipmentDescription&Quantity". ThisonlyapplieslovehicleswithAEL#12VE-00-MISS(VehicleSpecializedMission:CBRNE). "1
You need to inform us of any changes on the items above . This applies to each piece of equipment added in the Inventory Listing, including when the items are disposed and/or no longer useful. We will update the master inventory listing (per grant requirement) according to the information you give us. Please make sure that you include all the attachments that are necessary to provide us with the requested information.
For Traininq Claims:
a) 0 StateSoleSourceApproval:IfyouareclaimingtrainingrelatedcoststhruaNon-CompetitiveBidorSoleSourcetrainingprovider, regardless the purchased amount, please attach the State's approval (effective December 03, 20al8). The approval needs to be requested from the State prior to the start of the project.
b) [i State-Sponsored Training Reporting Form (with the tracking request #): Please add this form along with the Training Request Form Training Officer (POC), which you completed at the website, to the claim's backup documentation. All the backup documentation submitted for the training claim needs to agree with the training period and the detail description on the Training Reporting Form and the line item of the Grant. Training request #'s must be obtained from the State prior to the start of the project. c) 0 Receiptsandpaidinvoices:pleaseincludethecompletecopyofthereceiptsandpaidinvoiceswithyourclaimforitemizedcostssuchas air plane tickets, hotel stays, instructor's fees, workshop cost, facilities fees, consulting services, etc. Additionally, you will need to include the documents requested in numeral 5 under Section C.
If you are including personnel cost with your training claim, please add the following:
d) [1 PersonnelList(Printout&ExcelFile):Pleaseincludeboththeprintoutofthelistingandthecorrespondingexcelfilewithyourclaim.The excel file is used to submit your claim with the state and the printout as backup document for audits. e) 0 Documentsthatcertifycompletionofthetraining:pleaseattachsupportingdocumen(sthatshowtheclassname,datesoftraining,#of hours of the training class, printed name and signature of individual taking the class and approval signature from supervisor or trainer (attach the information for backfilled positions also). Examples of documents that cefify completion of training are:
Attendance sheets (signed by employee and instructor)
Sign in sheets (same as above) * Signed training certificates f) Q Summary Listing of Charges: Please use the Training Summary Sheet form provided in this claim packet that clearly shows the breakdown of the training charges per employee and that match the total claimed. This form includes the following: employee name, assignment, lob title, date, salary, hours claimed,regular rate, overtime rate, employee benefits rate, claim amount per employee, clear calculations of amount claimed per employee and total (equal to the amount claimed).
Please ensure that the Training Summary Sheet is verified/approved by an authorized signatory, with printed name and title, and dated.
g) 0 BackupfortheBenefitsRate:Ifyouareaddingbenefitstoyourclaim,pleasemakesurethatyouincludetheofficialcalculationforthe rate used.
h) Q Timecards: Include a printout of the corresponding timecards. Manual timecards need to indicate the # of hours charged per day to the grant, supervisor's signature, employee name and signature. Automatic system generated timecards need to be approved and include the name of the employee and hours charged per day to the grant. i) [] Explanation of timekeeping codes: When fhe supporting documentation (timesheet, payroll register, etc.) includes timekeeping codes please provide a printout with the explanation of the usage as detailed as possible.
Revisedon 11/20/2017 /(t(,
EXHIBIT G
j) 0 Payrollregister:Thepayrollregisterneedstoclearlysupportandexplaintheamountclaimedperemployee.Italsoneedstoshowthe salary, hourly rate, employee benefits and overtime rate. k) 0 Rosterofbackfilledpositions:Whenyouareclaimingovertimeforabackfilledposition,pleaseattachthebackfilledrostertoyourclaim.
The roster needs to include the name of the backfilling employees, a short description of duties pMormed, the corresponding employee whose duties were covered and the dates accordingly. Please make sure that the roster is signed and that you include documentation corresponding to the employee covered by the backfilling position.
For Planninq Claims:
a) 0 Deliverable(orfinalproduct):Pleaseincludewithyourclaimthefinalproductoftheplanningactivity(deliverable) thatwasidentifiedinthe grant award.
b)€ Signed Certificate ofCompletion: The certificate ofcompletion Can be an e-mail confirming thatthe planning activitywas completed. c) 0 Invoices:Ifyourplanningclaimincludeschargesinvoicedbyvendors,pleaseseerequirementsanddocumentsyouneedtoattachtoyour claim form under Section C (numeral 5 and numeral 6).
d) 0 SupportingDocumentationforPersonnelCost:Whenyourplanningclaimincludespersonnel cost,pleaseseed)toi)underTraining Claim (supporting documents needed) and add to the documentation.
For Exercise Claims:
a) 0
Proof of State Approval of After Action Report (AAR): In order for your AAR to be approved you have to submit it to the State using the ODP Portal (see link below), within 90 days after completion of the exercise. You need to notify the State when the AAR is uploaded so they can proceed with the approval process.
https://hseep.dhs.gov/DHSSS0/
b) 0 Invoices:Ifyourexerciseclaimincludeschargesinvoicedbyvendorspleaseseerequirementsanddocumentsyouneedtoattachtoyour claim form under Section C (numeral 5 and numeral 6).
c) [] Supporting Documentation for Personnel Cost: When your exercise claim includes personnel cost, please see d) to i) under Training Claim (supporting documents needed) and add to the documentation.
For Orqanization Claims: Please see above b) and c) under Exercise Claims Revised on 11 /20/2C117
EXHIBIT G
GRANT PROPERTY AND EQUIPMENT INVENTORY LISTING
GRANTNAME:
SLIB-RECIPIENT: P. of
D ATE OF REPORT:
Grant AEL
Year Number No.
Description of Property Serial#or SAFECOM Sourceof Department Vendor Invoice OtherlD# ConsuR %perty (TitleHolder) Name Number
lYes/No/NA) ISHSP or
EMPG Grant
Acquisition
Date Cost
% of FED
Participation
Loation 11se & Condition
(N=New,
D=Deployed,
O=Out of
Disposition
Date Sale Price
N Granti7Subreclpient Monitorlng7%tmi/Iropery & Equipmenj Invemoz listlii( Reviied 12/2019
596
Equipment Inventoiy Listing
Procedures for Completion
OBJECTIVE: To provide an equipment inventory listing that links the State Homeland Security Workbook, to the Equipment Ledger and to the Equipment Listing to simplify the tracking and accountability; and to eliminate duplication and confusion.
Field Date Element
Grant Name
Sub-Recipient
Date of Report
Grant Year
Project #
AEL No.
Description
Serial # or Other ID #
Safecom consult
Source of Property
Title Holder
Vendor Name
Invoice Number
Acquisition Date
Acquisition Cost
% of Fed Part
Location
Use & Condition
Disposition data
Sale Price
Procedure
SHSP or EMPG
Name of your agency
Date report completed {1}
Grant Year of funds used to purchase equipment
Project Number (from Grant Workbook Project Sheets)
Authorized Equip Listing No (from Grant Workbook)
Description of the equipment
Serial # or Other identification # used
Fill out either by Yes, No, or N/A
Funding source, i.e, SHSP, EMPG, etc.
Name of agency (City/Department)
Name of the vendor
Invoice number
Date equipment acquired
Cost of the individual equipment item
Fed participation in the cost of equipment
Location of equipment
Llse & condition {2}
Date of disposition
Sale price, If applicable, or N/A for not applicable
The Equipment Inventory Listing m be completed in its entirety to meet the objective of the form.
Note{l}: Thisdateshouldbethedatethephysicalinventoryofequipmentwas taken and the results reconciled with the equipment records (at least once every two years).
{2} Indicate: N = New, D = Deployed, 0 = Out of Service, L = Lost & S = Stolen Distribution
Copy maintained in sub-recipient file
Copy forwarded to Shared Services Division
EXHIBIT G
l(if
597
EXHIBIT G
Training Summary
Sheet
Grant Name
Jurisdiction Name:
Training Provider:
OHS Approved Course Title:
Non-SLGCP Course Title & OHS Tracking No.
(requires pre-approval thru OEM)
Date of Course:
Class/ Exercise Duration/Hours:
Approved by
Authonzed Signature
Pnnt Name and Tffls Data
598
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) 4YYIQIT ("2
PLANNING ROSTER
Project Planning Adivity Solution Area
Sub-Category
Discipline Funding Source Total Cost Total Claimed
Cash Request
Number
Flnal Produd
GRANDTOTAL L Ill I
Approved by:
Authorized Signature
Print Name and Tide Date
FMFW vl.09- 06/09
599
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) EXHIPIT Q
EXERCISE ROSTER
Projed Exercise Title Funding Source
Solution Area
Sub-Category
Discipline
Cash Request
Number
Total Cost Totl Claimed Conducted By
Date of
Exercise
Exercise Type Exercise Role Date AAR entered into HSEEP [m Pll!,! l ffi_r%!
CL m
l-'-"---'---'-'-
uasvaaemaaaiW A-a--=--- - -- n
i- Mfl
',Th__ -i
la"" UAU!!!_!a' , *asas aaHa--a-ia--!a--- ,..... -._f_-...Zm__ Approved by:
FMFW vl.09- 06/09
Authorized Signature
Print Name and Title Date
600
EXHIBIT G
8. Notes on Personnel Cost:
In qeneral, costs associated with:
€ Work performed under contract for a specific deliverable DOES NOT count against the personnel cap, however,
€ Work performed under contract for an undefined period, such as for personnel costs supporting operational activities, including general planning, training or exercise activities DO count against the personnel cap and
€ Work performed by all non-contractor personnel, including for full- or part-time staff and operational overtime DO count against the personnel cap.
The followinq examples would not count towards the personnel cap:
€ Vendor installation of a radio tower;
€ Vendor training on new equipment purchased;
€ Contractor hired to create an Emergency Operations Plan; € Contractor hired to provide deliveries of ICS 400; and € Contractor hired to assist with planning, training, evaluating, and reporting the effectiveness of a specific exercise.
The followinq examples would count towards the personnel cap:
€ Contractor hired to be the State's WMD training instructor with no specific deliverables under contract:
€ Contractor hired to facilitate unidentified number of exercises throughout the performance period
€ Contractor hired to be the part-time auditor of Homeland Security Grants throughout the year; and € Contractor hired to be an intelligence analyst.
/73 601
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) EXHIBIT G 602
SAMPLE COPY EXHIBIT H
Subrecipient Monitoring Instrument
Subrecipient Monitoring Instrument
PROJECTTITLE
Los Angeles County State Homeland Security Program
Monitoring Reports
A. FINANCIAL REPORTING REQUIREMENTS
Objective
To determine that the Subrecipient implemented corrective action to address findings noted in its Single Audit that is related to the Homeland Security Grant.
Verification Comment
1. Was a Single Audit completed for Grant Year 2014-15
and 2015-16?
2. If yes, did the Subrecipient forward a copy to the
Homeland Security Grant Administrator (HSGA) by
March 30'h of the year following the audit?
3. Did the Single Audit(s) identify findings related to the Homeland Security Grant? If yes, please continue.
If no, please mark N/A and continue to Section B.
4. Did the Subrecipient develop a corrective actionplan that addresses the finding(s)?
5. Did the Subrecipient send a copy of a corrective action plan to the HSGA?
6. Did the Subrecipient implement the corrective action plan?
t7r
603
SAMPLE COPY EXHIBIT H
B, TRAINING
Obiective
To determine that the Training expenditures were appropriately documented and that the activities aligned with the project' s goals and objectives. If the Training activities involved employees, determine if the Subrecipient appropriately documented the Training expenditures using employee timecards,sign-insheets,andcertificatesoftraining. lftheTrainingactivitiesinvolvedusing consultants or contractors, determine if the Subrecipient followed the appropriate procurement procedures to hire the consultants or contractors. Use Worksheets 1 and 3 (See Attachment ESubrecipient Monitoring Worksheets).
Verification Comments
1. Did the Subrecipient receive funding for Training
expenditures? If yes, then continue. If no, continue
to next section.
2. Did the Subrecipient receive prior approval from
the State either via email or other documentation
and did it include the training course name and
number?
3. If the Training expenditures relate to the use of
employees, did the Subrecipient appropriately
document the Training expenditures using employee
timecards, sign-in sheets and certificates of training?
4. IfTrainingexpendituresrelatetotheuseof
consultants/contractors, did the Subrecipient fo(low
proper procurement procedures to hire the consultants
or contractors?
5. Did the Subrecipient accurately report the Training
expenditures in their accounting records?
6. For Projects with overtime expenditures for Training:
a. Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
/7(,
604
SAMPLE COPY EXHIBIT H
B. TRAINING (Continued)
Verification Yes No Comments
7. For Projects with backfill expenditures for Training:
a. Does the Subrecipient have documentation that
the backfill expenditures were approved by the
State?
b. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
c. Did the Subrecipient accurately report the
expenditures in their accounting records?
8. Were employee timecards utilized in Training activities signed and dated by the employee and direct supervisor?
9. Were the Training expenditures consistent with the State approved grant award and/or post award modification(s)?
10. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports submitted by HSGA:
a. If the Project prior Grant Year monitoring report
finding was resolved, explain resolution, and indicate
such in the current report as resolved.
b. If the Project prior Grant Year report finding is not resolved, indicate why it has not been resolved and
what the Subrecipient is doing to resolve the prior
year finding and indicate such in the current report.
/77
605
SAMPLE COPY EXHIBIT H
C. PLANNiNG
Obiective
To determine that the Planning expenditures were appropriately documented and that the activities aligned with the project's goals and objectives. If the Planning activities involved employees, determine if the Subrecipient appropriately documented the Planning expenditures using employee timecards and sign-in sheets. If the Planning activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement policies. UseWorksheetsland3(SeeAttachmentE-SubrecipientMonitoringWorksheets).
Verification Comments
1. Did the Subrecipient receive funding for Planning
expenditures? Ifyes,continue. Ifno,continueto
next section.
2. Did the Subrecipient appropriately document the
Planning expenditures providing copies of the
support documentation that indicated the efforts
made to produce the final product and a copy of
the product produced ?
3. If Planning expenditures relate to the use of employees, did the Subrecipient use employee timecards and
sign-in sheets?
4. If Planning expenditures relate to the use of
consultants/contractors, did the Subrecipient
follow proper procurement procedures to hire
the consultants or contractors?
5. Did the Subrecipient accurately report the
Planning expenditures in their accounting records?
6. For Projects with overtime expenditures for
Planning:
a. Did the Subrecipient maintain employee
timecards to appropriately document the
overtime expenditures?
/77
606
SAMPLE COPY EXHIBIT H
C. PLANNING (Continued)
Verification Yes
b. Did the Subrecipient accurately report the
overtime expenditures in their accounting
records?
7. For Projects with backfill expenditures for Planning:
a. Does the Subrecipient have documentation
that the backfill expenditures were approved
by the State?
b. Did the Subrecipient appropriately document
the backfill expenditures using employee
timecards and sign-in sheets?
c. Did the Subrecipient accurately report the
backfill expenditures in their accounting
records?
8. Were the employee timecards utilized in Planning
activities signed and dated by the employee and
direct supervisor?
9. Were the Planning expenditures consistent with the
State approved grant award and/or post award
modification(s)?
10. Ensure the Subrecipient corrected area of
noncompliance that remain outstanding and were
reported as findings in prior Grant Year monitoring
reports submitted to HSGA:
a. IftheprojectpriorGrantYearmonitoringreport
finding was resolved, explain resolution, and
indicate such in the current report as resolved.
b. If the project prior Grant Year monitoring report
finding is not resolved, indicate why it has not been
resolved and what the Subrecipient is doing to
resolve the prior year finding and indicate such in
the current report.
Comments
y77607
SAMPLE COPY EXHIBIT H
D. EQUIPMENT
Obiective
To determine that the project Equipment expenditures are supported by invoices and that a listing of the Equipment/property is maintained by the Subrecipient. To determine that the purchases are aligned with the project's goals and objectives. Use Worksheets 2 and 3 (See Attachment E - Subrecipient Monitoring Worksheets).
Verification
1. Did the Subrecipient receive funding for Equipment
expenditures? If yes, continue. If no, continue to
next section.
2. DidtheSubrecipientmaintaininvoicestosupport
the Equipment expenditures?
3. Did the Subrecipient follow proper procurement
procedures to purchase the Equipment and were
the items listed in the federal "Authorized
Equipment List" and/or "Standardized Equipment List"?
4. Did the Subrecipient accurately report the
Equipment expenditures in their accounting records?
Comments
5. Did the Subrecipient maintain an Equipment
inventory that listed the following:
a) Description of Equipment,
b) Serial number or other identification number,
c) AEL number,
d) Fund/source/grant year,
e) Title holder,
f) 100 percent of federal participation. If no, then identify percentage, g) Acquisition date,
h) Acquisition cost,
i) Quantity,
j) Equipment location,
k) Use and condition of Equipment,
I) DisposaldateandsalepriceoftheEquipment
6. Did the Subrecipient conduct an inventory of
Equipment purchased with Cat/OESgrant funds at
least once every two years?
/zTh
608
SAMPLE COPY EXHIBIT H
D. EQUIPMENT (Continued)
Verification Yes No Comments
7. Was the Equipment physically inspected to ensure:
a. The Equipment existed and agreed to inventory
listing?
b. The Equipment worked and adequately trained
staff are available to operate the Equipment?
8. Did the Subrecipient maintain Equipment in a secure
location?
9. For property other than Equipment, i.e. supplies, did the Subrecipient have controls and accountability to
safeguard and ensure that the items are used and
solely for authorized purposes?
10. For Equipment disposal, if any:
a. Was the disposition consistent with federal
regulations?
b. What is the status of the proceeds received from the disposal?
11. Did the Subrecipient have a policy for damaged,
destroyed, lost or stolen Equipment including but
not limited to informing the Cal/OES, steps to replace the Equipment and an investigative process?
12. Were the Equipment expenditures consistent with
State approval grant award and/or post award
modification(s)?
13. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports maintained by HSGA:
a. If the project prior Grant Year monitoring report finding was resolved, explain resolution, and indicate such in
the current report as resolved.
b. If the project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved
and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.
609
SAMPLE COPY EXHIBIT H
EXERCISE
Obiective
To determine that the Exercise expenditures were appropriately documented and the activities align with project's goals and objectives. If the Exercise activities involved employees, determine ifthe Subrecipient appropriately documented the Exercise expenditures using timecards and sign-in sheets. If the Exercise activities involved using consultants or consultants, determineiftheSubrecipientfollowedtheappropriateprocurementprocedure. Use Worksheets I and 3 (See Attachment E- Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Exercise
expenditures? Ifyes,continue. Ifno,continueto
next section.
2. Did the Subrecipient receive prior approval from the State either via email or other documentation and did it include the Exercise course name and number?
3. If the Exercise expenditures relate to the use of employees, did the Subrecipient appropriately document the Exercise expenditures using employee timecards, sign-in sheets, and certificates for Exercise?
4. If the Exercise expenditures relate to the use of consultants/ contractors, did the Subrecipient follow proper procurement procedures to hire the consultants or contractors?
5. Did the Subrecipient accurately report the Exercise
expenditures in their accounting records?
6. For Projects with overtime expenditures for Exercise:
a. Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
c. Did the Subrecipient accurately report the backfill
expenditures in their accounting records?
7. For Projects with backfill expenditures for Exercise:
a. Does the Subrecipient have documentation that
the backfill expenditures were approved by the State?
b. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
610
SAMPLE COPY EXHIBIT H
E. EXERCISE (Continued)
Verification Yes
s. Were the employee timecards utilized in the Exercise activities signed and dated by the employee and direct supervisor?
9. Were the Exercise expenditures consistent with the State approved grant award and/or post award modifications?
10. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports:
a. If the Project prior Grant Year monitoring report finding was resolved, explain resolution and indicate such in
the current report as resolved.
b. If the Project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.
Comments
611
SAMPLE COPY EXHIBIT H
F. ORGANIZATION
Obiective
To determine that the Organization expenditures were appropriately documented and that the activitiesalignwiththeproject'sgoalsandobjectives. Ifthe0rganizationactivitiesinvolved employees, determine if the Subrecipient appropriately documented the Organization expenditures using employee timecards and sign-in sheets. If the Organization activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement policies. Use Worksheets 1 and 3 (See Attachment E - Subrecipient Monitoring Worksheets).
Verification Yes Comments
1. Did the Subrecipient receive funding for Organization expenditures? If so, continue. If no, continue to next section.
2. lfthe0rganizationexpendituresrelatetotheuseof
employees, did the Subrecipient document the expenditures using employee timecards, sign-in sheets, or with other support documentation that substantiated the expense?
3. If the Organization expenditures relate to the use of consultants or contractors, did the Subrecipient follow proper procurement procedures to hire the consultants
or contractors?
4. Did the Subrecipient accurately report the Organization expenditures in their accounting records?
5. For Projects with overtime expenditures for Organization:
a. Did the Subrecipient maintain employee timecards to
appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records.?