Visalia City Council
February 22, 2022

FY 2021 HOMELAND SECURITY GRANT

CITY OF VISALIA FIRE DEPARTMENT

BINDER CONTENTS A. Sub-Recipient Grant Award Letter B. Grant Award Workbook PageC. Quick Tips D. Reimbursement Request Packet E. FY 2021 Homeland Security Grant Program (HSGP) Notice of Funding Opportunity F. California Supplement to the Federal Funding Opportunity Announcement and Application Kit G. Tulare County Award Letters H. Approval Authority Contact List I. SAM (Debarment) Requirements J. DHS Financial Management Guide K. FY 2021 SHSGP Sub-Recipient Grant Assurances L. FY 2021 SHSGP Equipment Subrecipient Agreement M. P25 Requirements (Interoperable Communications projects only) N. SAFECOM Guidance (Interoperable Communications projects only) O. Sole Source Request FormP. Tulare County Departments Budget Information Office of Emergency Services5957 South Mooney Boulevard, Visalia, California 93277 (559) 624-8000 Telephone (559) 624-7499 Facsimile February 1, 2022Dan GriswoldFire Chief City of Visalia, Fire Department 420 N. Burke St Visalia CA 93292 [email protected] Subject: NOTIFICATION OF SUBRECIPIENT AWARD FY 2021 State Homeland Security Grant Program (SHSGP) Subaward #: 2021-0081, Cal OES ID: 107-00000, CFDA #: 97-067 Subaward Period of Performance: 9/01/2021 to 05/31/2024 Dear Chief Griswold, Please accept this letter as the official subaward notification for the Visalia Fire Department, DUNS #: 047898700, from the FY 2021 State Homeland Security Grant Program.A summary of your subaward follows: Project 005 – (6) Thermal Imagers with XT Charger Base and 2 Batteries: $42,580 Please see the attached Grant Award Workbook page for the approved equipment and corresponding AEL number(s). Your agency has only been approved to purchase the equipment listed on the Grant Award Workbook page. As a condition of funding, your agency must accept the Subaward Agreement Regarding FY 2021 State Homeland Security Grant Program Funding for Equipment, Planning, Administration, Training and Exercises. This agreement must be signed by your governing body and accompanied by a copy of the governing body’s resolution accepting the agreement. For all grant-funded procurement, your agency must adhere to the terms contained within the above-referenced agreement, all relevant State and Federal laws and regulations. In particular, you must adhere to the most restrictive procurement standard on each topic, for each procurement, between the following:a. Your jurisdiction’s ordinances and formally adopted procurement policies. b. State law; and c. The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Title 2, Code of Federal Regulations [CFR] Part 200, including but not limited to such sections as 2 CFR §200.320 “Methods of procurement to be followed”) For activities flagged for additional review on the Grant Award Workbook page (e.g., Environmental Planning and Historic Preservation, Allowability Requests, Aviation, Performance Bond, etc.), your agency shall not incur costs until you and Tulare County OES receive written approval from Cal OES removing the hold. This subaward is subject to all provisions of 2 CFR Part 200, including Subpart F - Audit Requirements. Any funds received in excess of current needs, approved amounts, or those found owed as a result of a final review or audit, must be refunded to the State within 30 days upon receipt of an invoice. All activities, invoices, and payments for the awarded activities must be dated within the performance period to be eligible for reimbursement. Reimbursement requested after April 30of each year may be delayed until the following Fiscal Year; please plan accordingly and be prepared to accrue reimbursement if submitting during this time. The final deadline for completed reimbursement requests to be submitted is February 28, 2024,to allow time for grant close-out activities. Requests for reimbursement, questions, or information requests should be submitted to the OES Grant Administrator at [email protected] or at:Office of Emergency ServicesTulare County HHSA5957 South Mooney BoulevardVisalia, California 93277Sincerely Yours, Andrew LockmanEmergency Services Manager
2021 HOMELAND SECURITY GRANT AWARD SUBAWARD #: 2021-0081, CAL OES ID: 107-00000, CFDA #: 97-067 EQUIPMENT AWARD FOR THE CITY OF VISALIA, FIRE DEPARTMENT Project Description & Quantity AEL# / Feedback Number AEL Title / Activity Discipline Proposed Vendor Total Cost Hold Trigger 005 (6) Thermal Imagers with XT Charger Base and 2 Batteries 03OE-02-TILA Optics, Thermal Imaging and/or Light Amplification FS Curtis Tools for Heroes $ 42,580 No Total Award Amount: 42,580

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Tips will not be reimbursed.

Mealswill not be reimbursed without prior Cal OES approval.

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

All trainingmust be pre-approved and issued a training tracking number beforeany costs associated with that training can be incurred.

Training Certificatesmust accompany your reimbursement request.

TULARE COUNTY OFFICE OF EMERGENCY SERVICES SUB-GRANTEE PASSTHROUGH TO LOCAL REIMBURSEMENT REQUEST FY 202Homeland Security Grant Program (HSGP) Award# 202- 00 OES ID # 107-00000 * Reimbursement Request Checklist must be completed and submitted with this form to be eligiblefor reimbursementREIMBURSEMENT REQUEST SUB-RECIPIENT PROJECT # (one per form) CLAIM AMOUNT ____________ $ MICRO PURCHASE THRESHOLD BID THRESHOLD $ ($10,000 if unknown) $ PROCUREMENT TYPE(refer to 2 CFR 200.320 for definitions) __ Micro(under $10,000 or your Micro Threshold, whichever is higher) __ Small (between $10,000/your Micro Threshold and $250,000/your Bid Threshold) __ Competitive (over $250,000+ or your Bid Threshold, whichever is lower) __ Non-Competitive (per 2 CFR 200.320(c)) Under penalty of perjury, I certify that: I am duly authorized officer of the claimant herein, that this claim is in all respects true, correct, and in accordance with applicable laws, rules, and regulations, that the services mentioned herein were actually rendered, and that I have not violated any of the provision of government Code Section 1090 to 1096, inclusive. AUTHORIZED AGENTName E-Mail Address(559) Title Telephone Number(559) Mailing Address Fax Number City, State, Zip Code ** Signature DateSubmit Reimbursement Request to: Tulare County Office of Emergency Services 5957 S Mooney Blvd Visalia CA 93277 559-624-7495 office([email protected] Received ** TULARE COUNTY OFFICE OF EMERGENCY SERVICESSUB-GRANTEE PASSTHROUGH TO LOCAL REIMBURSEMENT REQUEST FY 202 Homeland Security Grant Program (HSGP) Award# 202-00OES ID # 107-00000 REIMBURSEMENT REQUEST CHECKLISTFor all reimbursements, you MUST have verified, and MUST re-verify, that each vendor to whom payment was made is NOT listed for exclusion or debarment on the U.S. Government’s “System for Awards Management” database. Sub-Recipients can verify the party’s eligibility by going to the website http://www.sam.govand searching for the party’s name. Print the party’s result prior to purchase and submit it with the reimbursement request along with the report generatedat the time of the Project Proposal. If the party is listed for exclusion or debarment on the website, you will NOT be eligible for reimbursement.ITEM(S)INVOICE#CHECK#AMOUNTTOTAL$ 0.00Remit to OES:Vendor Quote(s):Micro Purchases: Selected QuoteSmall Purchases: Selected Quote and“an adequate number of price orrate quotations” – minimum 2 non-selected quotes for the same item(see 2 CFR 200.320(b))Competitive Bid & Non-Competitive Procurements: All Bid documents,including specifications, advertisements, list of recipients (includingminority & women owned businesses), all received bids, requiredanalyses such as cost/price analysis, profit negotiation as separatecomponent of cost (see generally, grant assurances and 2 CFR 200;notably, but not limited to, sections 318, 319, 320, 321, 322, 324, 326,and 327)

SYSTEM FOR AWARDS MANAGEMENT (SAM)

REIMBURSEMENT ITEMIZATION

ALL REIMBURSEMENTS
Procurement history documentation, to include rationale for method of procurement, selection of contract type, contractor selection or rejection, and basis for the contract price (see 2 CFR 200.318(i))Completed Reimbursement Request packet (including this Checklist)Contracts: Vendor contract with Federally Required terms incorporated.Copies of all Invoices and Packing Slip(s)Copy of the “System for Awards Management” search resultsCopy of the canceled check(s) issued to pay the vendor(s) (front and back, legible)Copies of all reports and deliverables (i.e. final product)Complete and detailed Time Studies for any claimed personnel expensesVendor contract with Federally Required terms incorporatedTimecards of all personnel who received overtime*, including rate of pay Timecards of all personnel used to backfill*, including rate of pay*Overtime and backfill cannot overlap. Overtime and/or backfill are subject to PRIORapproval bythe Approval Authority and/or Tulare County OES; approved on a case-by-case basis.Copies of payroll reports for each claimed pay periodCopy of training CERTIFICATE(S) issued Copy of agenda or syllabusAll receipts for travel, meals, lodging**Lodging is allowable up to the Federal Per Diem rate perhttp://www.gsa.gov. Lodging willNOTbe reimbursed at all if the cost per night exceeds the Federal Per Diem rate. Tips are NOTreimbursable. Alcohol is not allowable. Meals for hosted training must be preapproved by CalOES.Serial numbers of equipment items and deployed address(es) where each item will be used or stored.

TRAINING REIMBURSEMENTS

EQUIPMENTPROJECTS

PLANNING PROJECTS

TULARE COUNTY OFFICE OF EMERGENCY SERVICESSUB-GRANTEE PASSTHROUGH TO LOCAL REIMBURSEMENT REQUEST FY 202 Homeland Security Grant Program (HSGP) Award# 202-00OES ID # 107-00000 ITEMCOSTSERIAL#ADDRESS OES will use the information submitted to provide an Equipment Inventory Tracking Sheet and Homeland Security Asset Tag(s):Complete the Equipment Inventory Tracking Sheet Apply the Homeland Security Asset Tag(s), if applicableInitial, sign and date the Equipment Inventory Tracking Sheet Remit the completed Equipment Inventory Tracking Sheet to OES

1 FY 2021 HSGP NOFO Back to the Top
The Department of Homeland Security (DHS)Notice of Funding Opportunity (NOFO) Fiscal Year 2021 Homeland Security Grant Program NOTE: If you are going to apply for this funding opportunity and have not obtained an Employer Identification Number (EIN), a Data Universal Numbering System (DUNS) number, are not currently registered in the System for Award Management (SAM), or your SAM registration is not active, please take immediate action to obtain an EIN and DUNS Number, if applicable, and then register immediately in SAM or, if applicable, renew your SAM registration. It may take four weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at: http://www.grants.gov/web/grants/register.html. Detailed information regarding DUNS, EIN, and SAM is also provided in Section D of this NOFO under the subsection titled “How to Register to Apply.” Detailed information regarding the time required for each registration is also provided in Section D of this NOFO under the subsection titled “Other Key Dates.” Table of Contents A. Program Description ................................................................................................................ 31. Issued By.......................................................................................................................... 32. Assistance Listings Number ............................................................................................ 33. Assistance Listings Title .................................................................................................. 34. Funding Opportunity Title ............................................................................................... 35. Funding Opportunity Number.......................................................................................... 36. Authorizing Authority for Program ................................................................................. 37. Appropriation Authority for Program .............................................................................. 38. Announcement Type ........................................................................................................ 39. Program Category ............................................................................................................ 310. Program Overview, Objectives, and Priorities ................................................................ 311. Performance Metrics ........................................................................................................ 9B. Federal Award Information ................................................................................................... 101. Available Funding for the NOFO .................................................................................. 102. Projected Number of Awards…. .................................................................................... 133. Period of Performance ................................................................................................... 134. Projected Period of Performance Start Date(s) .............................................................. 135. Projected Period of Performance End Date(s) ............................................................... 136. Funding Instrument Type ............................................................................................... 13C. Eligibility Information ........................................................................................................... 131. Eligible Applicants......................................................................................................... 132. Applicant Eligibility Criteria ......................................................................................... 143. Other Eligibility Criteria ................................................................................................ 144. Cost Share or Match....................................................................................................... 15D. Application and Submission Information .............................................................................. 151. Key Dates and Times ..................................................................................................... 152. Agreeing to Terms and Conditions of the Award .......................................................... 17 2 FY 2021 HSGP NOFO Back to the Top

3. Address to Request Application Package ...................................................................... 174. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application ......................................................... 175. Electronic Delivery ........................................................................................................ 186. How to Register to Apply through Grants.gov .............................................................. 187. How to Submit an Initial Application to FEMA via Grants.gov ................................... 188. Submitting the Final Application in ND Grants ............................................................ 199. Timely Receipt Requirements and Proof of Timely Submission .................................. 1910. Content and Form of Application Submission ............................................................... 2011. Other Submission Requirements .................................................................................... 3212. Intergovernmental Review ............................................................................................. 3213. Funding Restrictions and Allowable Costs .................................................................... 32E. Application Review Information ........................................................................................... 411. Application Evaluation Criteria ..................................................................................... 412. Review and Selection Process ....................................................................................... 43F. Federal Award Administration Information .......................................................................... 461. Notice of Award ............................................................................................................. 462. Pass-Through Requirements .......................................................................................... 473. Administrative and National Policy Requirements ........................................................ 484. Reporting........................................................................................................................ 515. Monitoring and Oversight .............................................................................................. 51G. DHS Awarding Agency Contact Information ....................................................................... 521. Contact and Resource Information ................................................................................ 522. Systems Information ...................................................................................................... 53H. Additional Information .......................................................................................................... 531. Termination Provisions .................................................................................................. 542. Period of Performance Extensions ................................................................................. 54 3 FY 2021 HSGP NOFO Back to the Top
A. Program DescriptionIssued ByU.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency(FEMA)/Grant Programs Directorate (GPD)Assistance Listings Number97.067Assistance Listings TitleHomeland Security Grant ProgramFunding Opportunity TitleFiscal Year 2021 Homeland Security Grant Program (HSGP)State Homeland Security Program (SHSP)Urban Area Security Initiative (UASI)Operation Stonegarden (OPSG)Funding Opportunity NumberDHS-21-[GPD]-[067]-[00]-[0]Authorizing Authority for ProgramSection 2002 of the Homeland Security Act of 2002 (Pub. L. No. 107-296, as amended) (6U.S.C. § 603)Appropriation Authority for ProgramDepartment of Homeland Security Appropriations Act, 2021 (Pub. L. No. 116-260)Announcement TypeInitialProgram CategoryPreparedness: Community SecurityProgram Overview, Objectives, and Prioritiesa.OverviewThe Fiscal Year (FY) 2021 Homeland Security Grant Program (HSGP) is one of three grantprograms that constitute the DHS/FEMA focus on enhancing the ability of state, local, tribal,and territorial governments, as well as nonprofits, to prevent, protect against, respond to, andrecover from terrorist attacks. These grant programs are part of a comprehensive set ofmeasures authorized by Congress and implemented by DHS to help strengthen the Nation’scommunities against potential terrorist attacks. Among the five basic homeland securitymissions noted in the DHS Strategic Plan, HSGP supports the goal to Strengthen NationalPreparedness and Resilience. 4 FY 2021 HSGP NOFO Back to the Top
In FY 2021, there are three components of HSGP: 1) State Homeland Security Program (SHSP): SHSP assists state, local, tribal, and territorial efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism. 2) Urban Area Security Initiative (UASI): UASI assists high-threat, high-density Urban Area efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism. 3) Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and coordination among Customs and Border Protection (CBP), United States Border Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure the United States’ borders along routes of ingress/egress to and from international borders, to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. State, local, tribal, and territorial (SLTT) law enforcement agencies utilize their inherent law enforcement authorities to support the border security mission and do not receive any additional authority as a result of participation in OPSG. The 2018-2022 FEMA Strategic Plancreates a shared vision for reducing the risks posed by terrorism and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. HSGP supports the goals of Building a Culture of Preparedness and Readying the Nation for Catastrophic Disasters. We invite our stakeholders and partners to also adopt these priorities and join us in building a more prepared and resilient Nation, as preparedness is a shared responsibility and funding should support priorities that are most impactful and demonstrate the greatest return on investment. For FY 2021, DHS is focused on the criticality of information sharing and collaboration to building a national culture of preparedness and protecting against terrorism and other emerging threats to our national security. DHS and its homeland security mission were born from the “failures among federal agencies and between the federal agencies and state and local authorities to share critical information related to the threat of terrorism” prior to the September 11, 2001, attacks.1The threat profile has changed in the past two decades – we now face continuous cyber threats by sophisticated actors, threats to soft targets and crowded places, threats from domestic violent extremists, and threats from new and emerging technologies. But information sharing and cooperation among state, local, and tribal authorities and federal agencies, including all DHS officials, is just as vital, and perhaps even more vital, today. Therefore, for FY 2021, we have identified five priority areas, tied to some of the most serious threats that DHS would like to see addressed by state and local 1 Homeland Security Act of 2002: Report Together with Minority and Dissenting Views 222, Select Committee on Homeland Security: 107th Congress, U.S. House of Representatives (2002) (H. Rpt. 107-609). 5 FY 2021 HSGP NOFO Back to the Top
governments, that recipients will need to address with their HSGP funds. Perhaps most importantly, we will be focused on forging partnerships to strengthen information sharing and collaboration in each of these priority areas and looking for recipients to remove barriers to communication and cooperation with DHS and other federal agencies. b. Objective The objective of the FY 2021 HSGP is to fund state, local, tribal, and territorial efforts to prevent terrorism and prepare the Nation for threats and hazards that pose the greatest risk to the security of the United States. c. Priorities Given the evolving threat landscape, it is incumbent upon DHS/FEMA to continuously evaluate the national risk profile and set priorities that help ensure appropriate allocation of scarce security dollars. In assessing the national risk profile for FY 2021, five priority areas attract the most concern. Due to the unique threats that the nation faces in 2021, DHS/FEMA has determined that these five priorities should be addressed by allocating specific percentages of SHSP and UASI funds to each of these five areas, for a total of 30 percent per award. The following are the five priority areas for FY 2021, along with the corresponding percentage of SHSP and UASI funds that each recipient will be required to designate to each priority area in order to obtain a full allocation of SHSP and UASI funds: 1) Enhancing cybersecurity – 7.5 percent 2) Enhancing the protection of soft targets/crowded places – 5 percent 3) Enhancing information and intelligence sharing and analysis, and cooperation with federal agencies, including DHS – 5 percent 4) Combating domestic violent extremism – 7.5 percent 5) Addressing emergent threats (e.g., transnational criminal organizations, unmanned aircraft systems [UASs], weapons of mass destruction [WMD], etc.) – 5 percentFailure by a recipient to propose investments and projects that align with the five priority areas and spending requirements will result in a recipient having a portion of their SHSP and UASI funds (up to 30 percent) placed on hold until they provide projects that sufficiently align to the National Priority Areas, and total at least the minimum percentage identified above of total SHSP and UASI funds per National Priority Area. A state or high-risk urban area must allocate the remaining 70 percent of their funding to gaps identified through their Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) process. Likewise, there are several enduring security needs that crosscut the homeland security enterprise to which recipients should consider allocating funding across core capability gaps and national priorities. The following are enduring needs that help recipients implement a comprehensive approach to securing communities: 1) Effective planning; 2) Training and awareness campaigns; 6 FY 2021 HSGP NOFO Back to the Top
3) Equipment and capital projects; and 4) Exercises. SHSP and UASI Funding PrioritiesThe table below provides a breakdown of the FY 2021 SHSP and UASI priorities (the focus of OPSG remains unique to border security), showing the core capabilities enhanced and lifelines supported, as well as examples of eligible project types for each area. A detailed description of allowable investments for each project type is included in the Preparedness Grants Manual. DHS/FEMA anticipates that in future years, national priorities will continue to be included and will be updated as the threats evolve and as capability gaps are closed. Applicants are strongly encouraged to begin planning to sustain existing capabilities through funding mechanisms other than DHS preparedness grants. FY 2021 SHSP & UASI Funding Priorities Priority Areas Core Capabilities Lifelines Example Project TypesNational PrioritiesEnhancing Cybersecurity Cybersecurity Intelligence and information sharing Planning Public information and warning Operational coordination Screening, search, and detection Access control and identity verification Supply chain integrity and security Risk management for protection programs and activities Long-term vulnerability reduction Situational assessment Infrastructure systems Operational communications Safety and Security Cybersecurity risk assessments Migrating online services to the “.gov” internet domain Projects that address vulnerabilities identified in cybersecurity risk assessments o Improving cybersecurity of critical infrastructure to meet minimum levels identified by the Cybersecurity and Infrastructure Security Agency (CISA) o Cybersecurity training and planning Enhancing the Protection of Soft Targets/ Crowded Places Operational coordination Public information and warning Intelligence and information sharing Interdiction and disruption Screening, search, and detection Access control and identity verification Physical protective measures Risk management for protection programs and activities Safety and Security Operational overtime Physical security enhancements o Closed-circuit television (CCTV) security cameras o Security screening equipment for people and baggage o Lighting o Access controls o Fencing, gates, barriers, etc. 7 FY 2021 HSGP NOFO Back to the Top
Priority AreasCore Capabilities Lifelines Example Project TypesEnhancing information and intelligence sharing and analysis, and cooperation with federal agencies, including DHS Intelligence and information sharing Interdiction and disruption Planning Public information and warning Operational coordination Risk management for protection programs and activities Safety and Security Fusion center operations (Fusion Center project will be required under this investment, no longer as a stand-alone investment) Information sharing with all DHS components; fusion centers; other operational, investigative, and analytic entities; and other federal law enforcement and intelligence entities Cooperation with DHS officials and other entities designated by DHS in intelligence, threat recognition, assessment, analysis, and mitigation Identification, assessment, and reporting of threats of violence Joint intelligence analysis training and planning with DHS officials and other entities designated by DHS Combating Domestic Violent Extremism Interdiction and disruption Screening, search and detection Physical protective measures Intelligence and information sharing Planning Public information and warning Operational coordination Risk management for protection programs and activities Safety and Security Open source analysis of misinformation campaigns, targeted violence and threats to life, including tips/leads, and online/social media-based threats Sharing and leveraging intelligence and information, including open source analysis Execution and management of threat assessment programs to identify, evaluate, and analyze indicators and behaviors indicative of domestic violent extremists Training and awareness programs (e.g., through social media, suspicious activity reporting [SAR] indicators and behaviors) to help prevent radicalization Training and awareness programs (e.g., through social media, SAR indicators and behaviors) to educate the public on misinformation campaigns and resources to help them identify and report potential instances of domestic violent extremism Addressing Emergent Threats, such as the activities of Transnational Criminal Organizations, open source threats, and threats from UAS and WMD Interdiction & disruption Screening, search and detection Physical protective measures Intelligence and information sharing Planning Public Information and Warning Operational Coordination Safety and Security Sharing and leveraging intelligence and information UAS detection technologies Enhancing WMD and/or improvised explosive device (IED) prevention, detection, response and recovery capabilities o Chemical/Biological/Radiological/ Nuclear/Explosive (CBRNE) detection, prevention, response, and recovery equipment Enduring Needs Planning Planning Safety and Security Development of: o Security Risk Management Plans 8 FY 2021 HSGP NOFO Back to the Top
Priority AreasCore Capabilities Lifelines Example Project Types Risk management for protection programs and activities Risk and disaster resilience assessment Threats and hazards identification Operational coordination Community resilience o Threat Mitigation Planso Continuity of Operations Plans o Response Plans Efforts to strengthen governance integration between/among regional partners Joint training and planning with DHS officials and other entities designated by DHS Cybersecurity training and planning Training & Awareness Long-term vulnerability reduction Public information and warning Operational coordination Situational assessment Community resilience Safety and Security Active shooter training Intelligence analyst training SAR and terrorism indicators/behaviors training Security training for employees Public awareness/preparedness campaigns Joint training and planning with DHS officials and other entities designated by DHS Cybersecurity training and planning Equipment & Capital Projects Long-term vulnerability reduction Infrastructure systems Operational communications Interdiction and disruption Screening, search and detection Access control and identity verification Physical protective measures Safety and Security Protection of high-risk, high-consequence areas or systems that have been identified through risk assessments Physical security enhancements o Security cameras (CCTV) o Security screening equipment for people and baggage o Lighting o Access Controls Fencing, gates, barriers, etc. Exercises Long-term vulnerability reduction Operational coordination Operational communications Community resilience Safety and Security Response exercises For FY 2021, each SHSP and UASI recipient is required to submit an Investment Justification (IJ) for each of the five National Priority Areas identified above. Each of these five investments must also account for at least the relevant minimum percentage of the applicant’s SHSP and UASI allocation. The fusion center project must be included under the Information and Intelligence Sharing IJ. State Administrative Agencies (SAAs) may submit complete project-level information at the time of application, including the five National Priority Area IJs, but are not required to do so. As a reminder, all SHSP- and UASI-funded projects must have a demonstrated nexus to preventing, preparing for, protecting against, and responding to acts of terrorism. However, such projects may simultaneously support enhanced preparedness for disasters unrelated to acts of terrorism.DHS/FEMA also requires SHSP and UASI recipients (states, territories, and high-risk urban areas) to complete a THIRA/SPR and prioritize grant funding to support closing capability gaps or sustaining capabilities that address national priorities and/or support enduring needs. 9 FY 2021 HSGP NOFO Back to the Top
Additional information on the THIRA/SPR process, including other National Preparedness System (NPS) tools and resources, can be found athttps://www.fema.gov/national-preparedness-system. Detailed information on THIRA/SPR timelines and deadlines can be found in the Preparedness Grants Manual. OPSG Funding Priorities The table below provides a breakdown of the FY 2021 OPSG funding priorities, which remain focused on and unique to border security.FY 2021 OPSG Funding PrioritiesPriority Areas Core Capabilities Lifelines Example Project TypesNational PrioritiesEnhancing information and intelligence sharing and analysis, and cooperation with federal agencies, including DHS Intelligence and information sharing Safety and Security Participation in the DHS/ICE 287(g) training program Information sharing with all DHS components; fusion centers; other operational, investigative, and analytic entities; and other federal law enforcement and intelligence entities Cooperation with DHS officials and other entities designated by DHS in intelligence, threat recognition, assessment, analysis, and mitigation Identification, assessment, and reporting of threats of violence Joint intelligence analysis training and planning with DHS officials and other entities designated by DHS Addressing Emergent Threats, such as the activities of Transnational Criminal Organizations Interdiction & disruption Screening, search and detection Physical protective measures Intelligence and information sharing Safety and Security Operational overtime for border security operations as directed by the applicable, USBP-approved operations order Sharing and leveraging intelligence and information For FY 2021, each OPSG applicant is required to clearly articulate and identify how the Concept of Operations addresses each of the two national priorities identified above. 11. Performance Metrics Performance metrics for this program:SHSP and UASI:Percentage of funding allocated by the recipient to core capabilities to build or sustain national priorities identified in the section above 10 FY 2021 HSGP NOFO Back to the Top
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: $1,120,000,000.00 HSGP Programs FY 2021 AllocationSHSP $415,000,000UASI $615,000,000OPSG $90,000,000Total$1,120,000,000SHSP Allocations For FY 2021, DHS/FEMA will award SHSP funds based on DHS/FEMA’s relative risk methodology and statutory minimums pursuant to the Homeland Security Act of 2002, as amended. THIRA/SPR results do not impact grant allocation or award. Each state and territory will receive a minimum allocation under the SHSP using thresholds established in the Homeland Security Act of 2002, as amended. All 50 States, the District of Columbia, and the Commonwealth of Puerto Rico will receive 0.35 percent of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended. Each of the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands) will receive a minimum allocation of 0.08 percent of the total funds allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended. Each state must include a separate IJ for each of the five National Priority Areas identified in the Priorities section, above. All projects related to the National Priority Area must be included in the IJ. The funding level in each National Priority Area investment must equal or exceedthe percentage for that respective National Priority Area, calculated as a percentage of the state’s SHSP allocation in the table below. FY 2021 SHSP ALLOCATIONS State/Territory FY 2021 Allocation State/TerritoryFY 2021 Allocation Alabama $4,602,500 Montana $4,602,500Alaska $4,602,500 Nebraska $4,602,500American Samoa $1,052,000 Nevada $4,602,500Arizona $4,602,500 New Hampshire $4,602,500Arkansas $4,602,500 New Jersey $7,345,897California $59,220,807 New Mexico $4,602,500Colorado $4,602,500 New York $70,639,800 11 FY 2021 HSGP NOFO Back to the Top
State/Territory FY 2021 Allocation State/TerritoryFY 2021 Allocation Connecticut $4,602,500 North Carolina $5,280,222Delaware $4,602,500 North Dakota $4,602,500District of Columbia $5,280,222 Northern Mariana Islands $1,052,000Florida $9,701,894 Ohio $6,428,138Georgia $5,491,278 Oklahoma $4,602,500Guam $1,052,000 Oregon $4,602,500Hawaii $4,602,500 Pennsylvania $8,447,973Idaho $4,602,500 Puerto Rico $4,602,500Illinois $14,427,260 Rhode Island $4,602,500Indiana $4,602,500 South Carolina $4,602,500Iowa $4,602,500 South Dakota $4,602,500Kansas $4,602,500 Tennessee $4,602,500Kentucky $4,602,500 Texas $18,908,141Louisiana $4,602,500 U.S. Virgin Islands $1,052,000Maine $4,602,500 Utah $4,602,500Maryland $7,345,897 Vermont $4,602,500Massachusetts $6,428,138 Virginia $8,447,973Michigan $5,280,222 Washington $6,428,138Minnesota $4,602,500 West Virginia $4,602,500Mississippi $4,602,500 Wisconsin $4,602,500Missouri $4,602,500 Wyoming $4,602,500Total$415,000,000UASI Allocations Eligible candidates for the FY 2021 UASI program are identified in the table below. Eligibility has been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programs-surveys/metro-micro.html.THIRA/SPR results do not impact grant allocation or award. The following table identifies the UASI allocations for each high-risk urban area based on DHS/FEMA’s relative risk methodology pursuant to the Homeland Security Act of 2002, as amended. In its application, each high-risk urban area, through the state, must include a separate IJ for each of the five National Priority Areas identified in the Priorities section, above. All projects related to the National Priority Area mustbe included in the IJ. The funding level in each National Priority Area investment must equal or exceedthe percentage for that respective National Priority Area, calculated as a percentage of the urban area’s UASI allocation in the table below. 12 FY 2021 HSGP NOFO Back to the Top
2021 UASI ALLOCATIONS State/TerritoryUrban AreaFY 2021 UASI AllocationArizona Phoenix Area $5,250,000California Anaheim/Santa Ana Area $5,250,000Bay Area $37,500,000Los Angeles/Long Beach Area $68,000,000Riverside Area $3,900,000Sacramento Area$3,800,000San Diego Area $16,900,000Colorado Denver Area $3,900,000District of Columbia National Capital Region $51,750,000FloridaMiami/Fort Lauderdale Area $14,750,000Orlando Area $3,800,000Tampa Area $3,800,000Georgia Atlanta Area $6,250,000Hawaii Honolulu Area $3,800,000Illinois Chicago Area $68,000,000Maryland Baltimore Area $4,250,000Massachusetts Boston Area $16,900,000Michigan Detroit Area $5,250,000Minnesota Twin Cities Area $5,250,000Missouri St. Louis Area $3,800,000Nevada Las Vegas Area $5,250,000New Jersey Jersey City/Newark Area $19,050,000New York New York City Area $178,750,000North Carolina Charlotte Area $3,800,000Oregon Portland Area $3,800,000Pennsylvania Philadelphia Area $16,900,000Texas Dallas/Fort Worth/Arlington Area $16,900,000Houston Area $24,600,000San Antonio Area $3,800,000Virginia Hampton Roads Area $3,800,000Washington Seattle Area $6,250,000Total$615,000,000 OPSG AllocationsFor FY 2021, DHS/FEMA will award OPSG funds based on risk and the anticipated effectiveness of the proposed use of grant funds upon completion of the application review process. The FY 2021 OPSG risk assessment is designed to identify the risk to border security and to assist with the distribution of funds for the grant program. Funding under OPSG is distributed based on the risk to the security of the border and the effectiveness of the proposed projects. Entities eligible for funding are the state, local, and tribal law 13 FY 2021 HSGP NOFO Back to the Top
enforcement agencies that are located along the border of the United States. DHS/FEMA will make final award determinations based upon a review of the anticipated effectiveness of the state’s application as described in Section D, below. The THIRA/SPR process is not required for OPSG. For the purposes of OPSG, the risk is defined as the potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence. Based upon ongoing intelligence analysis and extensive security reviews, DHS/CBP continues to focus the bulk of OPSG funds based upon risk analyses. The risk model used to allocate OPSG funds considers the potential risk that certain threats pose to border security and estimates the relative risk faced by a given area. In evaluating risk, DHS/CBP considers intelligence, situational awareness, criminal trends, and statistical data specific to each of the border sectors, and the potential impacts that these threats pose to the security of the border area. For vulnerability and consequence, DHS/CBP considers the expected impact and consequences of successful border events occurring in specific areas. Threat and vulnerability are evaluated based on specific operational data from DHS/CBP. Threat components present in each of the sectors are used to determine the overall threat score. These components are terrorism, criminal aliens, drug trafficking organizations, and alien smuggling organizations. 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: 563. 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 this program only include one budget period, so it will be same as the period of performance. See 2 C.F.R. § 200.1 for definitions of “budget period” and “period of performance.” 4. Projected Period of Performance Start Date(s): 10/01/2021 5. Projected Period of Performance End Date(s): 09/30/2024 6. Funding Instrument Type:GrantC. Eligibility Information 1. Eligible ApplicantsThe SAA is the only entity eligible to submit HSGP applications to DHS/FEMA, including 14 FY 2021 HSGP NOFO Back to the Top
those applications submitted on behalf of UASI and OPSG applicants. All 56 states and territories, including any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. Tribal governments may not apply directly for HSGP funding; however, funding may be available to tribes under the SHSP and OPSG through the SAA. 2. Applicant Eligibility Criteria Eligible high-risk urban areas for the FY 2021 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.In FY 2021, OPSG eligible subrecipients are local units of government at the county level or equivalent level of government and federally recognized tribal governments in states bordering Canada or Mexico and states and territories with international water borders. All applicants must have active ongoing USBP operations coordinated through a CBP sector office to be eligible for OPSG funding. In FY 2021, OPSG subrecipients eligible to apply for and receive a subaward directly from the SAAs are divided into three Tiers. Tier 1 entities are local units of government at the county level or equivalent and federally recognized tribal governments that are on a physical border in states bordering Canada, states bordering Mexico, and states and territories with international water borders. Tier 2 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 1 county. Tier 3 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 2 eligible subrecipient. The tier structure is only applicable with regard to eligibility. OPSG funding allocations are based on the assessed border security risks as determined by the USBP. An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: 1) a current employee, personnel, official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application. Further, the Authorized Organization Representative (AOR) must be a duly authorized current employee, personnel, official, staff, or leadership of the recipient and provide an email address unique to the recipient at the time of application and upon any change in assignment during the period of performance. Consultants or contractors of the recipient are not permitted to be the AOR of the recipient. 3. Other Eligibility Criteria a. National Incident Management System (NIMS) Implementation Prior to allocation of any federal preparedness awards, recipients must ensure and maintain adoption and implementation of NIMS. The list of objectives used for progress and 15 FY 2021 HSGP NOFO Back to the Top
achievement reporting is on FEMA’s website at https://www.fema.gov/emergency-managers/nims/implementation-training. Please see the Preparedness Grants Manual for more information on NIMS.b. Emergency Management Assistance Compact (EMAC) Membership In support of the National Preparedness Goal (the Goal), SHSP recipients must belong to, be in, or act as a temporary member of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 2021 HSGP funding must be readily deployable and NIMS-typed when possible to support emergency or disaster operations per existing EMAC agreements. In addition, funding may be used for the sustainment of core capabilities that, while they may not be physically deployable, support national response capabilities, such as Geographic/Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the Mitigation Mission Area of the Goal, and fusion centers. 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 percent of grant funding appropriated for grants awarded under HSGP’s authorizing statute are used for LETPAs. DHS/FEMA meets this requirement, in part, by requiring all recipients allocate at least 25 percent of the combined HSGP funds allocated under SHSP and UASI towards LETPAs, as defined in 6 U.S.C. § 607. The LETPA allocation can be from SHSP, UASI, or both. The 25 percent LETPA allocation may be met by funding projects in any combination of the five National Priority Areas identified above and any other investments. The 25 percent LETPA allocation requirement is in addition to the 80 percent pass-through requirement to local units of government and tribes, referenced below. The National Prevention Framework describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, to thwart an initial or follow-on terrorist attack and provides guidance to ensure the Nation is prepared to identify, prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eligible for use as LETPA-focused funds. Also, where capabilities are shared with the protection mission area, the National Protection Framework activities are also eligible. All other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator. 4. Cost Share or Match There is no cost share or match requirement for the FY 2021 HSGP. D. Application and Submission Information 1. Key Dates and Times a. Application Start Date: 02/25/2021 16 FY 2021 HSGP NOFO Back to the Top
b. Application Submission Deadline: 05/14/2021 at 05 PM ET All applications must be received by the established deadline. The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see the subsection titled “Timely Receipt Requirements and Proof of Timely Submission” in Section D of this NOFO. FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award. Applicants experiencing technical problems outside of their control must notify FEMA as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the award. “Timely notification” of FEMA means: prior to the application deadline and within 48 hours after the applicant became aware of the issue.A list of FEMA contacts can be found in Section G of this NOFO, “DHS Awarding Agency Contact Information.” For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or [email protected]. The ND Grants Service Desk is available Monday through Friday, 9:00 AM – 6:00 PM Eastern Time (ET). For programmatic or grants management questions, please contact your Program Analyst or Grants Specialist. If applicants do not know who to contact or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9 AM – 5 PM ET.c. Anticipated Funding Selection Date:No later than 07/16/2021 d. Anticipated Award Date: No later than 09/30/2021 e. Other Key Dates: Event Suggested Deadline for Completion Obtaining DUNS Number Four weeks before actual submission deadline Obtaining a valid EIN Four weeks before actual submission deadline Creating an account with login.gov Four weeks before actual submission deadline Registering in SAM or Updating SAM registration Four weeks before actual submission deadline Registering in Grants.gov Four weeks before actual submission deadline 17 FY 2021 HSGP NOFO Back to the Top

2. Agreeing to Terms and Conditions of the Award By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award. 3. Address to Request Application Package See the Preparedness Grants Manual for requesting and submitting an application. Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s ND Grants System. Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov. Hard copies of the NOFO can be downloaded at Grants.gov or obtained via email from the Awarding Office points of contact listed in Section G of this NOFO, “DHS Awarding Agency Contact Information” or by TTY (800) 462-7585. 4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application Applying for an award under this program is a multi-step process and requires time to complete. Applicants are encouraged to register early as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines. Please review the table above for estimated deadlines to complete each of the steps listed. Failure of an applicant to comply with any of the required steps before the deadline for submitting an application may disqualify that application from funding. To apply for an award under this program, all applicants must: a. Apply for, update, or verify their Data Universal Numbering System (DUNS) number from Dun & Bradstreet and Employer Identification Number (EIN) from the Internal Revenue Service; b. In the application, provide a valid DUNS number, which is currently the unique entity identifier; c. Have an account with login.gov; d. Register for, update, or verify their SAM account and ensure the account is active before submitting the application; e. Create a Grants.gov account; f. Add a profile to a Grants.gov account; g. Establish an AOR in Grants.gov; h. Register in ND Grants i. Submit an initial application in Grants.gov; Starting application in Grants.gov One week before actual submission deadline Submitting the final application in ND Grants By the submission deadline 18 FY 2021 HSGP NOFO Back to the Top
j. Submit the final application in ND Grants, including electronically signing applicable forms; and k. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. As part of this, applicants must also provide information on an applicant’s immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable. Specific instructions on how to apply for, update, or verify a DUNS number or SAM registration or establish an AOR are included below in the steps for applying through Grants.gov. Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable DUNS and SAM requirements. Therefore, an applicant’s SAM registration must be active not only at the time of application, but also during the application review period and when FEMA is ready to make a federal award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the duration of an active federal award. If an applicant’s SAM registration is expired at the time of application, expires during application review, or expires any other time before award, FEMA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant. Per 2 C.F.R. § 25.110(c)(2)(ii), if an applicant is experiencing exigent circumstances that prevents it from receiving a DUNS number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting [email protected] and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines that there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain a DUNS number and complete SAM registration within 30 days of the federal award date. 5. Electronic Delivery DHS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS encourages or requires applicants to submit their applications online through Grants.gov, depending on the funding opportunity. For this funding opportunity, FEMA requires applicants to submit initial applications through Grants.gov and a final application through ND Grants. 6. How to Register to Apply through Grants.gov For information on how to register to apply through Grants.gov, please see the Preparedness Grants Manual.7. How to Submit an Initial Application to FEMA via Grants.gov Standard Form 424 (SF-424) is the initial application for this NOFO. 19 FY 2021 HSGP NOFO Back to the Top
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 need to submit the following forms: SF-424, Application for Federal Assistance 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. 8. 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 https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system. 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 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.9. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov 20 FY 2021 HSGP NOFO Back to the Top
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 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.10. Content and Form of Application Submission a. Standard Required Application Forms and Information I. GRANTS.GOV SF-424, Application for Federal Assistance, initial application submitted through Grants.gov Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov II. ND GRANTS SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grantso For construction under an award, submit SF-424C, Budget Information (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND Grantso For construction under an award, submit SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13 of this NOFO, “Funding Restrictions and Allowable Costs,” for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available, or contact the relevant FEMA staff identified in Section G of this NOFO, “DHS Awarding Agency Contact Information” for further instructions. Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non-construction work under this program need to submit both the construction and non-construction forms. 21 FY 2021 HSGP NOFO Back to the Top
b. Program-Specific Required Forms and Information I. IJ DEVELOPMENT: SHSP AND UASIAs part of the FY 2021 HSGP application process for SHSP and UASI funds, applicants must develop formal IJs that address the proposed investments. Failure to fulfill of all of the terms contained in this section will be considered by DHS/FEMA in its evaluation of the effectiveness of the IJs submitted to meet the minimum percent spend requirement for each National Priority Area. Failure to sufficiently align projects to the National Priority Areasand meet the minimum percent spend requirement will result in funds being placed on hold until those issues are addressed. FY 2021 SHSP and UASI applications must include one (1) IJ and at least one (1) respective project for each of the five National Priority Areas (Cybersecurity, Soft Targets/Crowded Places, Intelligence and Information Sharing, Countering Domestic Violent Extremism, and Emerging Threats) identified in this NOFO. Each of these five IJs must also meet or exceed the minimum percent spend requirement based on the applicant’s SHSP and UASI allocation stated in this NOFO. The SAA must submit one IJ per National Priority Area; all projects associated with a National Priority Area must be submitted in the same IJ and account for the relevant minimum spend requirement as a percentage of the SHSP or UASI allocation. SAAs may submit complete project-level information at the time of application but are not required to do so at the time of application. However, any SHSP or UASI application that does not include an IJ for each National Priority Area that meets the minimum spend requirement will have that funding placed on hold (up to the National Priority Area, or up to 30 percent of the total award) until those IJs and project-level details that sufficiently address the National Priority Areas are received and approved by DHS/FEMA. Each IJ must demonstrate how proposed investments: Support terrorism preparedness; Support closing capability gaps or sustaining capabilities identified in the community’s THIRA/SPR process; and Support the overcoming of existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information, cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local governments, as well as other regional, and nonprofit partners in efforts to prevent, prepare for, protect against, and respond to acts of terrorism, to meet its target capabilities, support the national security mission of DHS and other federal agencies, and to otherwise reduce the overall risk to the high-risk urban area, the state, or the Nation. Each IJ must explain how the proposed investments will support the applicant’s efforts to: Prevent a threatened or an actual act of terrorism; Prepare for all hazards and threats, while explaining the nexus to terrorism preparedness; Protect citizens, residents, visitors, and assets against the greatest threats and hazards, relating to acts of terrorism; and/or 22 FY 2021 HSGP NOFO Back to the Top
Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an act of terrorism or other catastrophic incidents. If not included in the application, SHSP and UASI recipients must submit complete project-level information for each SHSP and UASI IJ as part of the Biannual Strategy Implementation Report (BSIR) due by January 30, 2022. This includes IJs for the five 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 2021 BSIR. DHS/FEMA will not reduce FY 2021 HSGP awards based on the effectiveness review but will work with recipients to ensure compliance with the National Priority Area requirements based on the results of the effectiveness review. Recipients and subrecipients will not be permitted to expend funding under the National Priority Areas until the effectiveness of the proposed projects has been reviewed and confirmed by FEMA. II. DEVELOPMENT OF INVESTMENTS AND PROJECTS: SHSP Applicants must propose at least five and may include up to ten investments.Within each investment, applicants must propose at least one project to describe the activities they plan to implement with SHSP funds. There is no limit to the number of projects that may be submitted. Required National Priority Area IJs must include the name of the priority in the investment name for easy identification. Of the proposed SHSP-funded investments, one single project, within the required Intelligence and Information Sharing National Priority Area IJ, must be in support of a designated fusion center. Recipients must coordinate with the fusion center when developing a fusion center project prior to submission. See additional information on how to develop the fusion center projects below and in the Preparedness Grants Manual. All emergency communications investments must describe how such activities align with needs identified in their Statewide Communication Interoperability Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governing Body (SIGB) when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. The investment name must include the words “emergency communications” to easily identify any emergency communications investments. All requested funding must be associated with specific projects. For each project, several pieces of information must be provided to submit the project for consideration in the application, including: o Project name; o Project description; o Subrecipient name, if applicable; o Recipient type (e.g., state or local); o Project location (zip code of the primary location of the project); o Primary core capability the project supports; 23 FY 2021 HSGP NOFO Back to the Top
o Whether the project activities are shareable and deployable; and o Which National Priority Area (if any) the project supports. Projects should describe how the proposed investment supports closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. FEMA encourages states to use any DHS provided assessments, such as those performed by DHS’s Protective Security Advisors and Cybersecurity Advisors, when developing their IJs. III. NATIONAL PRIORITY AREA INVESTMENTS: SHSP States are encouraged to review the Strategic Framework for Countering Terrorism and Targeted Violence when developing investments. Cybersecurity IJ (7.5 percent) At least one investment must be in support of the state’s cybersecurity efforts. The investment must meet or exceed the FY 2021 national priority percentage for cybersecurity and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Cybersecurity investments must support the security and functioning of critical infrastructure and core capabilities as they relate to preventing, preparing for, protecting against, or responding to acts of terrorism. Recipients and subrecipients of FY 2021 HSGP grant awards will be required to complete the 2021 Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The Chief Information Officer (CIO), Chief Information Security Officer (CISO) or equivalent for each recipient should complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment. The NCSR is available at no cost to the user and takes approximately 2-3 hours to complete. The 2021 NCSR is estimated to be open from October – December 2021. The NCSR is an annual requirement for recipients and subrecipients of HSGP funds. Additionally, FEMA recognizes that some subawards will not be issued until after the NCSR has closed. In such cases, such subrecipients will be required to complete the first available NCSR offered after the subaward has been issued by the pass-through entity. Although not required by SLTTs that did not receive HSGP funds, all SLTT agencies with preparedness responsibilities are highly encouraged to participate and complete the NCSR to evaluate their cybersecurity posture. For detailed information and background on the NCSR, please see IB 439. Soft Targets/Crowded Places IJ (5 percent) Soft targets and crowded places are increasingly appealing to terrorists and other extremist actors because of their relative accessibility and the large number of potential targets. This challenge is complicated by the prevalent use of simple tactics and less sophisticated attacks. Segments of our society are inherently open to the general public, and by nature of their purpose do not incorporate strict security measures. Given the increased emphasis by terrorists and other extremist actors to leverage less sophisticated methods to inflict harm in public areas, it is vital that the public and private sectors 24 FY 2021 HSGP NOFO Back to the Top
collaborate to enhance security of locations such as transportation centers, parks, restaurants, shopping centers, special event venues, and similar facilities. Given the increased risk to soft targets and crowded places, at least one investment must be in support of the state’s efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2021 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. Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency. States are encouraged to engaged DHS’ Protective Security Advisors’ security assessments of soft targets to ensure that recommendations from those assessments are taken into consideration when allocating grant funding. Information and Intelligence Sharing and Cooperation IJ (5 percent) Effective homeland security operations rely on access to, analysis of, and the timely sharing of open source, unclassified, and classified information, suspicious activity reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism, threats to life, targeted violence, and other threats within the DHS mission space. Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure partners, stakeholders, and senior leaders receive actionable intelligence and information necessary to inform their decisions and operations. A critical and statutorily charged mission of DHS is to deliver intelligence and information to federal, state, local, and tribal governments and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including counterterrorism – including both international and domestic terrorism, cybersecurity, border security, transnational organized crime, immigration enforcement, economic security, and other areas 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, at least one investment must be in support of the state’s efforts to enhance information sharing and cooperation with DHS and other federal agencies. As noted above, this requirement must include at least one dedicated fusion center project. Additional instructions on development of the fusion center project can be found below. Applicants must justify persuasively how they 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 2021 national priority percentage for information sharing and cooperation with DHS and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis. 25 FY 2021 HSGP NOFO Back to the Top
Domestic Violent Extremism IJ (7.5 percent) As stated in the October 2020 DHS Homeland Threat Assessment, domestic violent extremists, including ideologically motivated lone offenders and small groups, present the most persistent and lethal terrorist threat to the Homeland. These violent extremists capitalize on social and political tensions, which have resulted in an elevated threat environment. They utilize social media platforms and other technologies to spread violent extremist ideologies that encourage violence and influence action within the United States. The COVID-19 pandemic has further created an environment that may lead to accelerated mobilization to targeted violence and/or radicalization to domestic terrorism, including driving lawful protests to incite violence, intimidate targets, and promote their violent extremist ideologies. Given the rise of domestic violent extremism in recent years, at least one investment must be in support of the state’s efforts to combat the rise, influence, and spread of domestic violent extremism. Additionally, the proposed investment must meet or exceed the FY 2021 national priority percentage for domestic violent extremism and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Please note that there currently is not a “Domestic Violent Extremism” Investment Type option in the Grant Reporting Tool (GRT). Instead applicants should select the “Standard” Investment Type and clearly name the IJ as “Domestic Violent Extremism Priority Area” to ensure it is appropriately accounted for during FEMA’s administrative and effectiveness reviews. Emerging Threats IJ (5 percent) The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead. Terrorists, criminal actors, and foreign adversaries continue to utilize open source and other technologies to spread misinformation and sow discord in the United States. These actors also remain intent on acquiring WMD capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market. Due to the proliferation of such information and technologies, rogue nations and non-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of UASs, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests. Given the increased risk of these emerging threats, at least one investment must be in support of the state’s efforts to address emerging threats. Additionally, the proposed investment must meet or exceed the FY 2021 national priority percentage for emerging threats and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency. 26 FY 2021 HSGP NOFO Back to the Top
IV. DEVELOPMENT OF INVESTMENTS AND PROJECTS: UASI Applicants must propose at least five and may include up to ten investments. Within each investment, urban areas must propose at least one project to describe the activities they are planning to implement with UASI funds. There is no limit to the number of projects that may be submitted. Required National Priority Area IJs must include the name of the priority in the investment name for easy identification. Of the proposed projects, urban areas are required to propose one single project, as part of the required intelligence and information sharing IJ, in support of a designated fusion center within the urban area, if applicable. Recipients must coordinate with the fusion center when developing a fusion center project prior to submission. See additional information on how to develop fusion center investments below and in the Preparedness Grants Manual. All emergency communications investments must describe how such activities align with the needs identified in their SCIP. Recipients must coordinate with their SWIC and/or SIGB when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. The investment name must include the words “emergency communications” to easily identify any emergency communications investments. All requested funding must be associated with specific projects. For each project, several pieces of information must be provided to submit the project for consideration in the application, including: oProject name; oProject description oSubrecipient name, if applicable; o Recipient type (e.g., state or local); o Project location (zip code of the primary location of the project); o Primary core capability the project supports; o Whether the project activities are shareable and deployable; and o Which National Priority Area (if any) the project supports. Projects should describe how the proposed investment supports closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. FEMA encourages states to use any DHS provided assessments, such as those performed by DHS’s Protective Security Advisors and Cybersecurity Advisors, when developing their IJs. V. PRIORITY INVESTMENTS: UASI High-risk urban areas are encouraged to review the Strategic Framework for Countering Terrorism and Targeted Violence when developing investments. Cybersecurity IJ (7.5 percent) At least one investment must be in support of the urban area’s cybersecurity efforts. The investment must meet or exceed the FY 2021 national priority percentage for cybersecurity and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Cybersecurity investments must support the security and 27 FY 2021 HSGP NOFO Back to the Top
functioning of critical infrastructure and core capabilities as they relate to preventing, preparing for, protecting against, or responding to acts of terrorism. Recipients and subrecipients of FY 2021 HSGP awards will be required to complete the 2021 Nationwide Cybersecurity Review, enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The CIO, CISO or equivalent for each recipient should complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment. The NCSR is available at no cost to the user and takes approximately 2- 3 hours to complete. The 2021 NCSR is estimated to be open from October – December 2021. The NCSR is an annual requirement for recipients and subrecipients of HSGP funds. Additionally, FEMA recognizes that some subawards will not be issued until after the NCSR has closed. In such cases, such subrecipients will be required to complete the first available NCSR offered after the subaward has been issued by the pass-through entity. Although not required by SLTTs that did not receive HSGP funds, all SLTT agencies with preparedness responsibilities are highly encouraged to participate and complete the NCSR to evaluate their cybersecurity posture. For detailed information and background on the NCSR, please see IB 439. Soft Targets/Crowded Places IJ (5 percent) Soft targets and crowded places are increasingly appealing to terrorists and other extremist actors because of their relative accessibility and the large number of potential targets. This challenge is complicated by the prevalent use of simple tactics and less sophisticated attacks. Segments of our society are inherently open to the general public, and by nature of their purpose do not incorporate strict security measures. Given the increased emphasis by terrorists and other extremist actors to leverage less sophisticated methods to inflict harm in public areas, it is vital that the public and private sectors collaborate to enhance security of locations such as transportation centers, parks, restaurants, shopping centers, special event venues, and similar facilities. Given the increased risk to soft targets and crowded places, at least one investment must be in support of the urban area’s efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2021 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. Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency. Information and Intelligence Sharing and Cooperation IJ (5 percent) Effective homeland security operations rely on access to, analysis of, and timely sharing of open source, unclassified, and classified information, suspicious activity reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism,threats to life, targeted violence, and other threats within the DHS mission space. Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure partners, stakeholders, and senior 28 FY 2021 HSGP NOFO Back to the Top
leaders receive actionable intelligence and information necessary to inform their decisions and operations. A critical and statutorily charged mission of DHS is to deliver intelligence and information to federal, state, local, and tribal governments and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including counterterrorism, – including both international and domestic terrorism, cybersecurity, transnational organized crime, economic security, border security, immigration enforcement, and other areas is critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism, and other threats to life and criminal acts of targeted violence.Given the importance of information sharing and collaboration to effective homeland security solutions, at least one investment must be in support of the urban area’s efforts to enhance information sharing and cooperation with DHS and other federal agencies. As noted above, this requirement must include at least one dedicated fusion center project. Additional instructions on development of the fusion center project can be found below. Applicants must justify persuasively how they will contribute to the information sharing and collaboration purposes of the investment and a culture of national preparedness. Additionally, the proposed investment must meet or exceed the FY 2021 national priority percentage for information sharing and cooperation with DHS and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis. Domestic Violent Extremism IJ (7.5 percent) As stated in the October 2020 DHS Homeland Threat Assessment, domestic violent extremists, including ideologically motivated lone offenders and small groups, present the most persistent and lethal terrorist threat to the Homeland. These violent extremists capitalize on social and political tensions, which have resulted in an elevated threat environment. They utilize social media platforms and other technologies to spread violent extremist ideologies that encourage violence and influence action within the United States. The COVID-19 pandemic has further created an environment that may lead to accelerated mobilization to targeted violence and/or radicalization to domestic terrorism, including driving lawful protests to incite violence, intimidate targets, and promote their violent extremist ideologies. Given the rise of domestic violent extremism in recent years, at least one investment must be in support of the urban area’s efforts to combat the rise, influence, and spread of domestic violent extremism. Additionally, the proposed investment must meet or exceed the FY 2021 national priority percentage for domestic violent extremism and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Please note that there currently is not a “Domestic Violent Extremism” Investment Type option in the GRT. Instead applicants should select the “Standard” Investment Type and clearly name the IJ as “Domestic Violent Extremism Priority Area” to ensure it is appropriately accounted for during FEMA’s administrative and effectiveness reviews. 29 FY 2021 HSGP NOFO Back to the Top
Emerging Threats IJ (5 percent) The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead. Terrorists, criminal actors, and foreign adversaries continue to utilize open source and other technologies to spread misinformation and sow discord in the United States. These actors also remain intent on acquiring WMD capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market. Due to the proliferation of such information and technologies, rogue nations and non-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of UASs, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests. Given the increased risk of these emerging threats, at least one investment must be in support of the urban area’s efforts to address emerging threats. Additionally, the proposed investment must meet or exceed the FY 2021 national priority percentage for emerging threats and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency. VI. DEVELOPMENT OF FUSION CENTER PROJECTS: SHSPAND UASIIf applicable, each applicant must identify a fusion center project that will: Indicate alignment to a designated Fusion Center; Provide both a brief narrative description and funding itemization for the proposed project activities that directly support the designated fusion center; and The descriptive narrative and the financial itemization should align improvement or sustainment requests with fusion center activities as they relate to the Fusion Center Performance Measures found in the Preparedness Grants Manual. Sample Fusion Center Funding ItemizationA sample project description and funding itemization are below. For the itemized projects, clearly identify the anticipated fusion center performance improvement or sustainment as a result of the proposed funding. The X Fusion enhancement project will fund: Salaries, benefits, and training for X number of Fusion Center intelligence analysts Travel costs associated with fusion center analyst training This project will directly sustain the Center’s current capabilities and performance and directly aligns with performance measures 2021.XXX We anticipate seeing an improvement in the quality and quantity of analytic production and responses to requests for information as a direct result of the funding of this project 30 FY 2021 HSGP NOFO Back to the Top
The funding itemization for a fusion center project should include the amount and percent of each relevant solution area. As an example: Solution Area and Amount of Proposed Funding Percent of Proposed Funding Planning: $10,000 2% Organization: $200,000 48% Equipment: $200,000 48% Training:$10,0002%Exercises:$00%Total:$420,000 100%VII. COMPLETING IJS IN THE GRANT REPORTING TOOL (GRT): SHSPAND UASI In the Related Documents section of the Grants.gov posting, applicants can find the IJ template and instructions for collecting the required information for investments and projects. Additionally, applicants should utilize the Project Worksheet located in Grants.gov posting to assemble the information required for each project, which will facilitate the input of that information into the GRT. Applicants must ensure the appropriate National Priority Area “Investment Type” (Overview Tab – Investment Information Section) is selected for the corresponding National Priority Area (Cybersecurity, Soft Targets/Crowded Places, Information and Intelligence Sharing and Cooperation, and Emerging Threats). Important note: there currently is not a “Domestic Violent Extremism” Investment Type option. Applicants should instead select the “Standard” Investment Type and clearly name the IJ as “Domestic Violent Extremism Priority Area” to ensure it is appropriately accounted for during FEMA’s administrative and effectiveness reviews. All non-National Priority Area IJs should have the “Standard” Investment Type option selected. VIII. DEVELOPMENT OF CONCEPT OF OPERATIONS FOR OPSG As part of the FY 2021 OPSG application process, each eligible local unit of government at the county or federally recognized tribal government level must develop a strategic plan called a Concept of Operations (CONOP)/Application, which is a formal proposal of action to address a specific situation and forms the basis for Operations Orders, in coordination with state and federal law enforcement agencies, to include, but not limited to CBP/USBP. CONOPs that are developed at the county level should be inclusive of city, county, tribal, and other local law enforcement agencies that are eligible to participate in OPSG operational activities, and the CONOP/Application should describe participating agencies in the Executive Summary. CONOP/Application details should include the names of the agencies, points of contact, and individual funding requests. All CONOPs/Applications must be developed in collaboration with the local USBP sector office, the SAA, and the local unit of government. Requests for funding in CONOPs/Applications must be based on risks and the operational enforcement support requirements of its corresponding USBP Sector, as well as the national priorities identified below. USBP Sector offices will forward the CONOPs to USBP Headquarters for 31 FY 2021 HSGP NOFO Back to the Top
vetting and coordination. Applicants will forward corresponding OPSG Applications to the SAA for submission to FEMA. USBP Headquarters will reconcile all submitted CONOPs with the OPSG Applications. FEMA will review and evaluate all CONOPs and OPSG Applications and funding will be allocated based on the review and selection criteria identified in this NOFO. OPSG Applicants will be required to clearly articulate and identify how the CONOPs will address the national priorities identified below. Information and Intelligence Sharing and Cooperation Effective border security operations rely on access to, analysis of, and the timely sharing of open source, unclassified, and classified information, suspicious activity reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism, threats to life, targeted violence, and other threats within the DHS mission space. Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure partners, stakeholders, and senior leaders receive actionable intelligence and information necessary to inform their decisions and operations. One critical, statutorily required mission of DHS is to deliver intelligence and information to federal, state, local, and tribal governments and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including both international and domestic terrorism, cybersecurity, transnational organized crime, economic security, border security, immigration enforcement, and other areas 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. Emerging Threats The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead. Terrorists, criminal actors, and foreign adversaries continue to utilize open source and other technologies to spread misinformation and sow discord in the United States. These actors also remain intent on remain intent on acquiring WMD capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market. Due to the proliferation of such information and technologies, rogue nations and non-state actors have more opportunities to develop, acquire, and use WMDs 32 FY 2021 HSGP NOFO Back to the Top
than ever before. Similarly, the proliferation of UASs, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests. Given the increased risk of these emerging threats, the CONOP must be in support of the recipient’s efforts to address emerging threats. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency. IX. DETAILEDBudget Applicants must provide budget summary worksheets for all funds requested at the time of application. The budget summary worksheets must be complete, reasonable, and cost-effective in relation to the proposed project and should provide the basis of computation of all project-related costs (including management and administrative costs) and any appropriate narrative. FEMA must be able to thoroughly evaluate the projects being submitted based on the information provided. FEMA must be able to determine how much funding is being passed through to subrecipients for each sub-program (UASI, SHSP, OPSG). Consequently, applicants must provide an appropriate level of detail within the budget summary worksheets to clarify what will be purchased and spent. Sample budget summary worksheets are available on the grants.gov posting for the HSGP in the Related Documents tab and may be used as a guide to assist applicants in the preparation of budgets and budget narratives. 11. Other Submission Requirements Emergency Communications Investments If an entity uses HSGP funding to support emergency communications investments, the applicant must describe in the investment how proposed communications investments align to needs identified in their SCIP. Effective project alignment will require advance coordination with the SWIC and consultation with governing bodies such as the SIGB or Statewide Interoperability Executive Committee (SIEC), as they serve as the primary steering group for the statewide interoperability strategy. Additionally, recipients should consult subject matter experts serving on governance bodies, such as broadband experts, chief information officers, representatives from utilities, or legal and financial experts, when developing proposals. 12. Intergovernmental Review An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372 (See https://www.archives.gov/federal-register/codification/executive-order/12372.html; https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf).13. Funding Restrictions and Allowable CostsAll costs charged to awards covered by this NOFO must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, the terms and conditions of the award, or the Preparedness Grants Manual. This includes, among other requirements, that costs must be 33 FY 2021 HSGP NOFO Back to the Top
incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards under this program is the same as the period of performance). Federal funds made available through this award may be used for the purpose set forth in this NOFO, the Preparedness Grants Manual, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity. See the Preparedness Grants Manualfor more information on funding restrictions and allowable costs.a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.326, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons. Additional guidance is available in FEMA Policy #405-143-1 Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim).Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to: (1) Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; (2) Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or (3) Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. I. REPLACEMENT EQUIPMENT AND SERVICES FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of the NOFO and the Preparedness Grants Manual. 34 FY 2021 HSGP NOFO Back to the Top
II. DEFINITIONS Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means: i. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities); ii. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities); iii. Telecommunications or video surveillance services provided by such entities or using such equipment; or iv. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China. Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of “covered telecommunications equipment or services.” See 2 C.F.R. § 200.471. b. Pre-Award Costs Pre-award costs are allowable only with the prior written approval of DHS/FEMA and as included in the award agreement. To request pre-award costs, a written request must be included with the application, signed by the AOR of the entity. The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval. c. Management and Administration (M&A) Costs Management and administration (M&A) activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent of HSGP funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also retain a maximum of up to five percent of the funding passed through by the state solely for M&A purposes associated with the HSGP award. Recipients or subrecipients may apply or credit M&A funding toward the recipient’s requirement to allocate funding toward the five National Priority Areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its enhancing cybersecurity investment, the recipient may credit that funding toward its requirement to allocate at least 7.5 percent of its award to the enhancing cybersecurity National Priority Area. 35 FY 2021 HSGP NOFO Back to the Top
A state’s HSGP funds for M&A calculation purposes includes the total of its SHSP, UASI, and OPSG awards. While the SAA may retain up to five percent of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum 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 percent of the OPSG allocation, which must be withheld from the pass-through to each subrecipient county or tribe in an equal percentage. The SAA may also retain additional funding from its SHSP award to manage and administer the OPSG award, but that additional amount is also capped at an amount equal to 2.5 percent of the OPSG award. Examples applying this principle: SAA 1: SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000 M&A Maximum: $300,000 (5 percent of $6,000,000) Maximum M&A for SHSP = $50,000 Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5 percent) may be retained from the OPSG allocation, and the other $62,500 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $50,000 available to manage the SHSP allocation. Maximum M&A for UASI = $125,000 SAA 2: SHSP: $3,500,000 OPSG: $1,000,000 M&A Maximum: $225,000 (5 percent of $4,500,000) Maximum M&A for SHSP = $175,000 Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5 percent) may be retained from the OPSG allocation, and the other $25,000 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $175,000 available to manage the SHSP allocation. HSGP recipients are also reminded that any M&A charged to a recipient’s or subrecipient’s UASI funding must be directly allocable to administration of the UASI grant program and cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding. Similarly, any M&A charged to a recipient’s or subrecipient’s SHSP or OPSG funding cannot be used to cover M&A costs directly allocable to UASI funding. Additionally, if a state/territory receives Nonprofit Security Grant Program (NSGP) funding, it may use SHSP M&A funding to cover M&A costs related to the management of NSGP-State awards, and UASI M&A funding to cover M&A costs related to the management of NSGP-Urban Area awards. Please note, IB 365: Management and Administration Costs in the Homeland Security Grant Program and DHS/FEMA Policy 207-087-1 do not apply to awards made in FY 2021 under this NOFO. Please also reference IB 416 for additional clarification on OPSG M&A, 36 FY 2021 HSGP NOFO Back to the Top
but to the extent that there is any conflict between IB 416 and this NOFO, the requirements of this NOFO will apply to FY 2021 awards made under this NOFO. d. Indirect Facilities & Administrative (F&A) Costs Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the FEMA Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon on the de minimis rate or cost allocation plan, as applicable. f. Funds Transfer Restriction 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. e. Other Direct Costs I. PLANNING Planning costs are allowed under this program. Please see the Preparedness Grants Manual for more information.II.ORGANIZATIONOrganization costs are allowed under this program. Please see the Preparedness Grants Manualfor more information. III. EQUIPMENTEquipment costs are allowed under this program. Please see the Preparedness Grants Manual for more information. General Purpose Equipment HSGP allows expenditures on general purpose equipment if it aligns to and supports one or more core capabilities identified in the Goal and has a nexus to terrorism preparedness. General purpose equipment, like all equipment funded under the HSGP, must be sharable 37 FY 2021 HSGP NOFO Back to the Top
through the EMAC2 and allowable under 6 U.S.C. § 609, and any other applicable provision of the Homeland Security Act of 2002, as amended. Examples of such general-purpose equipment may include: o Law enforcement vehicles; o Emergency medical services (EMS) equipment and vehicles; o Fire service equipment and vehicles, to include hose, pump accessories, and foam concentrate for specialized CBRNE response;o Interoperability of data systems, such as computer aided dispatch (CAD) and record management systems (RMS); and o Office equipment for staff3 engaged in homeland security program activity. Controlled EquipmentFor decades, the federal government has provided equipment to state, local, and tribal law enforcement agencies (LEAs) through federal grants. Some federal grant programs have assisted LEAs as they carry out their critical missions to keep the American people safe. The equipment acquired by LEAs through these programs includes administrative equipment, such as office furniture and computers. Some federal grant programs also may include military and military-styled equipment, firearms, and tactical vehicles provided by the federal government, including property covered under 22 C.F.R. Part 121 and 15 C.F.R. Part 774 (collectively, "controlled equipment"). However, not all equipment that is considered controlled equipment is allowable under the HSGP. As discussed further below, there are certain “prohibited equipment” that are not allowable under HSGP. And for the procurement of certain controlled equipment that is allowable under the HSGP, there are additional submission requirements and reviews that must be met before DHS/FEMA will permit funding to be used for this purpose. 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. Grant funds under this program may not be used for the purchase of equipment not approved by DHS/FEMA. The purchase of weapons and weapons accessories, including ammunition, is not allowed with HSGP funds. Grant funds under this program must also comply with IB 426 and may not be used for the purchase of the following equipment: 1) firearms; 2) 2 Except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. 3 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 38 FY 2021 HSGP NOFO Back to the Top
ammunition; 3) grenade launchers; 4) bayonets; or 5) weaponized aircraft, vessels, or vehicles of any kind with weapons installed. IV. TRAINING Training costs are allowed under this program. Please see the Preparedness Grants Manualfor more information. V. EXERCISES Exercise costs are allowed under this program. Please see the Preparedness Grants Manualfor more information. VI. PERSONNEL Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, organization, training, exercise, and equipment activities. Under OPSG, overtime costs are allowable only in so far as they meet the intent of the program. All recipients and subrecipients of HSGP funds, including SHSP, UASI, and OPSG allocations, may not use more than 50 percent of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50 percent personnel cap, please see FEMA IB 421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412) – the PRICE Act. Please see the Preparedness Grants Manualfor more information. VII. OPERATIONAL OVERTIME Operational overtime costs are allowed under this program. Prior to use of funds for operational overtime, recipients must receive approval from DHS/FEMA. Operational overtime costs are also subject to the 50 percent personnel cap. Please see the Preparedness Grants Manual for more information. VIII. TRAVELDomestic 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. Applicants must use the Environmental Planning and Historical Preservation (EHP) approval process. Limits on the total amount of grant funding that may be used for construction or renovation may apply. Additionally, recipients are required to submit SF-424C and SF-424D. Please see the Preparedness Grants Manual for more information.X. MAINTENANCE AND SUSTAINMENTMaintenance- and sustainment-related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees, are allowable. Please see the 39 FY 2021 HSGP NOFO Back to the Top
Preparedness Grants Manual for more information. XI. CRITICAL EMERGENCY SUPPLIESCritical emergency supplies are allowed under this program. Please see the Preparedness Grants Manual for more information. XII. SECURE IDENTIFICATION Secure Identification costs are allowed under this program. Please see the Preparedness Grants Manual for more information. Allowable Cost Matrix The following matrix provides allowable cost activities that fall under each of the cost categories noted above. Recipients and subrecipients must follow all applicable requirements in 2 C.F.R. Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. HSGP funds may be used to cover the costs for evaluating the impact of these grants on the state or urban area’s core capabilities and capability gaps. This list is not exhaustive, therefore, if there are any questions regarding allowable costs, please contact the appropriate HQ FEMA Preparedness Officer. For additional information on allowable costs, see the Preparedness Grants Manual. Allowable Program Activities SHSP UASI OPSG Allowable Planning CostsDeveloping hazard/threat-specific annexes Y Y NDeveloping and implementing homeland security support programs and adopting ongoing DHS/FEMA nationalinitiatives Y Y N Developing related terrorism and other catastrophic event prevention activities Y Y NDeveloping and enhancing plans and protocols Y Y NDeveloping or conducting assessments Y Y NHiring of full- or part-time staff or contract/consultants to assist with planning activities Y Y NMaterials required to conduct planning activities Y Y NTravel/per diem related to planning activities Y Y YOvertime and backfill costs (in accordance with operational Cost Guidance)YYYIssuance of Western Hemisphere Travel Initiative-compliant Tribal identification cardsY N NActivities to achieve planning inclusive of people with disabilities and others with access and functional needs and limited English proficiency. Y Y N Coordination with Citizen Corps Councils for public information/education and development of volunteer programs Y Y N Update governance structures and processes and plans for emergency communications Y Y NDevelopment, and review and revision of continuity of operations plans Y Y NDevelopment, and review and revision of the THIRA/SPR continuity of operations plansY Y N Allowable Organizational ActivitiesNote: Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Program managementY Y NDevelopment of whole community partnerships Y Y NStructures and mechanisms for information sharing between the public and private sector Y Y N 40 FY 2021 HSGP NOFO Back to the Top
Allowable Program Activities SHSP UASI OPSG Implementing models, programs, and workforce enhancement initiatives YYNTools, resources, and activities that facilitate shared situational awareness between the public and private sectorsY Y N Operational support Y Y NUtilization of standardized resource management conceptsY Y NResponding to an increase in the threat level under the National Terrorism Advisory System (NTAS), or needs in resulting from a National Special Security EventY Y N Reimbursement for select operational expenses associated with increased security measures at critical infrastructure sites incurred (up to 50 percent of the allocation) Y Y Y Overtime for information, investigative, and intelligence sharing activities (up to 50 percent of the allocation)YYYHiring of new staff positions/contractors/consultants for participation in information/intelligence analysis and sharing groups or fusion center activities (up to 50 percent of the allocation).Y Y Y Cost of migrating online services to the “.gov” domainY Y N Allowable Equipment Categories Personal Protective EquipmentY Y YAllowable Equipment Categories Explosive Device Mitigation and Remediation EquipmentY Y NCBRNE Operational Search and Rescue Equipment Y Y NInformation Technology Y Y YCybersecurity Enhancement Equipment Y Y NInteroperable Communications Equipment Y Y YDetectionY Y YDecontamination Y Y NMedical countermeasuresY Y YPower (e.g., generators, batteries, power cells)Y Y YCBRNE Reference Materials Y Y NCBRNE Incident Response Vehicles Y Y NTerrorism Incident Prevention Equipment Y Y YPhysical Security Enhancement EquipmentYY YInspection and Screening Systems YY YAnimal Care and Foreign Animal Disease YY NCBRNE Prevention and Response Watercraft Y Y NCBRNE Prevention and Response Unmanned AircraftYYNCBRNE Aviation EquipmentYYNCBRNE Logistical Support EquipmentY Y NIntervention Equipment (e.g., tactical entry, crime scene processing) Y Y YCritical emergency supplies Y Y NVehicle acquisition, lease, and rental N N Y Other Authorized EquipmentY Y YAllowable Training Costs Overtime and backfill for emergency preparedness and response personnel attending DHS/FEMA-sponsored and approved training classes Y Y N Overtime and backfill expenses for part-time and volunteer emergency response personnel participating in DHS/FEMA trainingY Y N Training workshops and conferences YY YActivities to achieve training inclusive of people with disabilities and others with access and functional needs and limited English proficiency Y Y N Full- or part-time staff or contractors/consultants YY Y TravelYY Y 41 FY 2021 HSGP NOFO Back to the Top
Allowable Program Activities SHSP UASI OPSG Supplies YY N Instructor certification/re-certificationYY N Coordination with Citizen Corps Councils in conducting training exercisesYY N Interoperable communications training YY N Activities to achieve planning inclusive of people with limited English proficiency YYNImmigration enforcement training YYYAllowable Exercise Related CostsDesign, Develop, Conduct, and Evaluate an ExerciseYY N Full- or part-time staff or contractors/consultants YY N Overtime and backfill costs, including expenses for part-time and volunteer emergency response personnel participating in DHS/FEMA exercises Y Y N Implementation of HSEEPYY N Activities to achieve exercises inclusive of people with disabilities and others with access and functional needs Y Y N Travel YY N SuppliesYY N Interoperable communications exercises YY N Allowable Exercise Related Costs Activities to achieve planning inclusive of people with limited English proficiency YY N Allowable M&A Costs Hiring of full- or part-time staff or contractors/consultants to assist with the management of the respective grant program, application requirements, and compliance with reporting and data collection requirements Y Y Y Development of operating plans for information collection and processing necessary to respond to DHS/FEMA data callsY Y Y Overtime and backfill costsYY Y TravelYY Y Meeting related expenses YY Y Authorized office equipmentYY Y Recurring expenses such as those associated with cell phones and faxes during the period of performance of the grant program Y Y N Leasing or renting of space for newly hired personnel during the period of performance of the grant programY Y N LETPA Costs Integration and interoperability of systems and data, such as CAD and RMS, to facilitate the collection,Y Y N Maturation, enhancement, and sustainment of designated state and major Urban Area fusion centers Y Y N Coordination between fusion centers and other operational analytic, and investigative effortsY Y N Implementation, maintenance, and sustainment of the Nationwide Suspicious Activity Reporting Initiative Y Y N Implementation of the "If You See Something, Say Something®" campaignYY N Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at criticalY Y N Building and sustaining preventive radiological and nuclear detection capabilitiesYY N E. Application Review Information 1. Application Evaluation Criteria a. Programmatic Criteria 42 FY 2021 HSGP NOFO Back to the Top
I. RISK METHODOLOGY The risk methodology determines the relative risk of terrorism faced by a given area considering the potential risk of terrorism to people, critical infrastructure, and economic security. The analysis includes, but is not limited to, threats from violent domestic extremists, international terrorist groups, and individuals inspired by terrorists abroad. See the Preparedness Grants Manual for additional information on the risk methodology. NOTE: The THIRA/SPR process is separate from the risk methodology and its results do not affect grant allocations. The Risk Methodology is used to inform allocations under HSGP. For more information on the SHSP, UASI, and OPSG allocation processes, please see Section B.1 of this NOFO, “Available Funding for the NOFO.”II. APPLICATION EVALUATION CRITERIA FEMA will evaluate the FY 2021 HSGP applications for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments. FEMA’s review will include verification that each IJ and project: Aligns with at least one core capability identified in the Goal; Demonstrates how investments support 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. In addition to the above, FEMA will evaluate whether proposed projects are: 1) both feasible and effective at reducing the risks for which the project was designed; and 2) able to be fully completed within the three-year period of performance. FEMA will use the information provided in the application and after the submission of the first BSIR to determine the feasibility and effectiveness of a grant project. To that end, IJs should include: An explanation of how the proposed project(s) will achieve objectives as identified in the SPR, including expected long-term impact where applicable, and which core capability gap(s) it helps to close and how; A summary of the status of planning and design efforts accomplished to date (e.g., included in a capital improvement plan); and A project schedule with clear milestones. Recipients are expected to conform, as applicable, with accepted engineering practices, established codes, standards, modeling techniques, and best practices, and participate in the development of case studies demonstrating the effective use of grant funds, as requested. FEMA will also review any submitted National Priority Area-aligned IJs and projects to ensure they meet the minimum spend requirement. Further information on how the National Priority Area IJs and projects will be reviewed for effectiveness is included in the Review and Selection Process section below. 43 FY 2021 HSGP NOFO Back to the Top
b. Financial Integrity Criteria Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as amended by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant: i. Financial stability. ii. Quality of management systems and ability to meet management standards. iii. History of performance in managing federal award. iv. Reports and findings from audits. v. Ability to effectively implement statutory, regulatory, or other requirements. c. Supplemental Financial Integrity Criteria and Review Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000: i. FEMA is required to review and consider any information about the applicant, including information on the applicant’s immediate and highest-level owner, subsidiaries, and predecessors, if applicable, that is in the designated integrity and performance system accessible through the System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System(FAPIIS).ii. An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered. iii. FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.206. 2. Review and Selection Process a.SHSP and UASI All proposed investments will undergo a federal review by DHS/FEMA to verify compliance with all administrative and eligibility criteria identified in the NOFO. The federal review will be conducted by FEMA HQ Preparedness Officers. FEMA HQ Preparedness Officers will use a checklist to verify compliance with all administrative and eligibility criteria identified in the NOFO. Recipients must be able to demonstrate how investments support closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. IJs will be reviewed at both the investment and project level. 44 FY 2021 HSGP NOFO Back to the Top
Emergency communications investments will be jointly reviewed by FEMA and the DHS Office of Emergency Communications (OEC) to verify compliance with SAFECOM guidance. FEMA and OEC will coordinate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance. Additional Effectiveness Evaluation Criteria for the National Priority Areas FEMA will evaluate the FY 2021 HSGP IJs and projects submitted in support of the National Priority Areas for anticipated effectiveness. FEMA’s review will include verification that each IJ or project meets the National Priority Area required spend percentages. Cybersecurity investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO. Soft Targets/Crowded Places investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO. Information Sharing and Cooperation Investments will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO. For additional information on Fusion Center requirements, please see the Preparedness Grants Manual. Domestic violent extremism investments will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the scoring criteria set forth in this NOFO. Emerging threats investments will be reviewed by DHS/FEMA, DHS Countering Weapons of Mass Destruction Office, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO. FEMA will determine whether the proposed approach is clear, logical, and reasonable to address the priority areas of interest and contribute to a culture of national preparedness. This part considers factors such as the objectives and strategies proposed to address the priority area, how the objectives and strategies overcome legal, political, or practical obstacles to reduce overall risk, the process and criteria to select additional relevant projects, and the approach to monitor awards to satisfy the funding percentage allocations. 45 FY 2021 HSGP NOFO Back to the Top
For applicants that elect to submit IJs and project-level details for the National Priority Areas at the time of application, effectiveness will be evaluated prior to award. If the projects are found to not sufficiently align with the National Priority Area(s), applicants may have funds placed on hold (up to 30 percent) until the projects are revised to satisfactorily address the National Priority Areas. For applicants that elect to submit IJs and project-level details for the National Priority Areas as part of the December 2021 BSIR, they will have funds placed on hold in the amount of 30 percent (the sum of all National Priority Area). The hold will be released only after their December 2021 BSIR submission has been reviewed, and projects related to the National Priority Areas deemed in alignment by DHS/FEMA. SAAs are still required to meet pass-through requirements even if funds are on hold related to the National Priority Areas. To that end, IJs should include: How the proposed investment addresses the National Priority Area; An explanation of how the proposed projects were selected and will achieve objectives and strategies to build or sustain the core capability gaps identified in the SPR, including expected long-term impact where applicable; A summary of laws, policies and practices that can be enhanced, eliminated, or otherwise changed in order to achieve the goals of the project and foster a culture of national preparedness; and A summary of the collaboration efforts to prevent, prepare for, protect against, and respond to acts of terrorism as well as anticipated outcomes of the project. For FY 2021 SHSP and UASI investments and projects related to the National Priority Areas, effectiveness will be evaluated based on the following five factors: Investment Strategy (30%): Proposals will be evaluated based on the quality and extent to which applicants describe an effective strategy that demonstrates that proposed projects support the program objective of preventing, preparing for, protecting against, and responding to acts of terrorism, to meet its target capabilities, and otherwise reduce the overall risk to the high-risk urban area, the state, or the Nation. Budget (10%): Proposals will be evaluated based on the extent to which applicants describe a budget plan for each investment demonstrating how the applicant will maximize cost effectiveness of grant expenditures. Impact/Outcomes (30%): Proposals will be evaluated on how this investment helps the jurisdiction close capability gaps identified in its 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. 46 FY 2021 HSGP NOFO Back to the Top
Collaboration (30%): Proposals will be evaluated based on the degree to which the proposal adequately details how the recipient will use investments and other means to overcome existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information, cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local governments, as well as other regional and nonprofit partners. Collaboration should improve efforts to prevent, prepare for, protect against, and respond to acts of terrorism, to meet target capabilities, support the national security mission of DHS and other federal agencies, and to otherwise reduce the overall risk to the high-risk urban area, the state, or the Nation. In evaluating applicants under this factor FEMA will consider the information provided by the applicant and may also consider relevant information from other sources. Past Performance (additional consideration): Proposals will be evaluated based on the applicants demonstrated capability to execute the proposed investments. In evaluating applicants under this factor FEMA will consider the information provided by the applicant and may also consider relevant information from other sources. b. OPSG Applications will be reviewed by the SAA and USBP Sector Headquarters for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the Operations Orders. For more information on Operations Orders and other requirements of OPSG, see the Preparedness Grants Manual. DHS/FEMA will verify compliance with all administrative and eligibility criteria identified in the NOFO and required submission of Operations Orders and Inventory of Operations Orders by the established due dates. DHS/FEMA and USBP will use the results of both the risk analysis and the federal review by DHS/FEMA to make recommendations for funding to the Secretary of Homeland Security. FY 2021 OPSG funds will be allocated competitively based on risk-based prioritization using the OPSG Risk Assessment described above. Final funding allocations are determined by the Secretary of Homeland Security, who may consider information and input from various law enforcement offices or subject-matter experts within the Department. Factors considered include, but are not limited to threat, vulnerability, miles of the border, and other border-specific law enforcement intelligence, as well as the feasibility of FY 2021 Operations Orders to designated localities within border states and territories.F. Federal Award Administration Information1. 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 Manualas well as any specific terms and conditions in the Notice of Award to receive an award under this program. See the Preparedness Grants Manual for information on Notice of Award. 47 FY 2021 HSGP NOFO Back to the Top

2. Pass-Through Requirements Awards made to the SAA for HSGP carry additional pass-through requirements. Pass-through is defined as an obligation on the part of the SAA to make funds available to local units of government, combinations of local units, tribal governments, or other specific groups or organizations. Four requirements must be met to pass-through grant funds: The SAA must make a firm written commitment to passing through grant funds to subrecipients; The SAA’s commitment must be unconditional (i.e., no contingencies for the availability of SAA funds); There must be documentary evidence (i.e., award document, terms, and conditions) of the commitment; and The award terms must be communicated to the subrecipient.Timing and AmountThe SAA must pass-through at least 80 percent of the funds awarded under the SHSP and UASI to local or tribal units of government within 45 calendar days of receipt of the funds. “Receipt of the funds” occurs either when the SAA accepts the award or 15 calendar days after the SAA receives notice of the award, whichever is earlier. SAAs are sent notification of HSGP awards via the GPD’s ND Grants system. If an SAA accepts its award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45-calendar days pass-through period will start on the date the SAA accepted the award. Should an SAA not accept the HSGP award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45-calendar days pass-through period will begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system. It is important to note that the 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 September 20, 2021, while the period of performance dates for that award are October 1, 2021, through September 30, 2024. In this example, the 45-day pass-through period will begin on the date the SAA accepts the HSGP award or October 5, 2021 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The period of performance start date of October 1, 2021 would not affect the timing of meeting the 45-calendar day pass-through requirement. Other SHSP and UASI Pass-Through RequirementsThe signatory authority of the SAA must certify in writing to DHS/FEMA that pass-through requirements have been met. A letter of intent (or equivalent) to distribute funds is not considered sufficient. The pass-through requirement does not apply to SHSP awards made to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands, or the Commonwealth of the Northern Mariana Islands. The Commonwealth of Puerto Rico is required to comply with the pass-through requirement, and its SAA must also obligate at least 80 percent of the funds to local units of government within 45 calendar days of receipt of the funds. 48 FY 2021 HSGP NOFO Back to the Top
Under SHSP, the SAA may retain more than 20 percent of funding for expenditures made by the state on behalf of the local unit(s) of government. This may occur only with the written consent of the local unit of government, specifying the amount of funds to be retained and the intended use of funds. States shall review their written consent agreements yearly and ensure that they are still valid. If a written consent agreement is already in place from previous fiscal years, DHS/FEMA will continue to recognize it for FY 2021, 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.Additional OPSG Requirements The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county-level or equivalent Operational Order/Fragmentary Operations Order budget has been reviewed and approved through an official electronic mail notice issued by DHS/FEMA removing this special programmatic condition. 3. Administrative and National Policy Requirements In addition to the requirements of in this section and in this NOFO, FEMA may place specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200. In addition to the information regarding DHS Standard Terms and Conditions and Ensuring the Protection of Civil Rights, see the Preparedness Grants Manual for additional information on administrative and national policy requirements, including the following: EHP Compliance FirstNetNIMS Implementation SAFECOM a. DHS Standard Terms and Conditions All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at DHS Standard Terms and Conditions.The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.b. Ensuring the Protection of Civil Rights As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients and subrecipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations. 49 FY 2021 HSGP NOFO Back to the Top
Federal civil rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA. The DHS Standard Terms and Conditions include a fuller list of the civil rights provisions that apply to recipients. These terms and conditions can be found in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at https://www.fema.gov/about/offices/equal-rights. Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws are also authorized pursuant to 44 C.F.R. Part 7. c. EHP ComplianceAs a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP laws, Executive Orders, regulations, and policies, as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties. In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. Federal law requires EHP review to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders, regulations, and policies. DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders. The GPD EHP screening form is located at https://www.fema.gov/media-library/assets/documents/90195. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1, available at https://www.fema.gov/media-library/assets/documents/85376. 50 FY 2021 HSGP NOFO Back to the Top
d. NIMS Implementation In expending funds under this program, recipients that are state, local, tribal, or territorial governments must ensure and maintain adoption and implementation of NIMS. The state, local, tribal, or territorial government must show adoption of NIMS during any point of the period of performance. The list of objectives used for progress and achievement reporting is at https://www.fema.gov/emergency-managers/nims/implementation-training. Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Using standardized resource management concepts such as typing, credentialing, and inventorying, promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management, NIMS resource typing definitions, job titles, and position qualifications is on FEMA’s website at https://www.fema.gov/emergency-managers/nims/components. FEMA developed the National Incident Management System Guideline for the National Qualification System to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools which Federal Emergency Response Officials and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses. Although state, local, tribal, and private sector partners (including nongovernmental organizations) are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so to leverage the federal investment in the Federal Information Processing Standards 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction. Additional information about NIMS in general is available at https://www.fema.gov/emergency-managers/nims. e. Emergency Communications InvestmentsIf an entity uses HSGP funding to support emergency communications investments, the following requirements shall apply to all such grant-funded communications investments in support of the emergency communications priorities and recognized best practices: The signatory authority for the SAA must certify in writing to DHS/FEMA their compliance with the SAFECOM Guidance. The certification letter should be coordinated with the SWIC for each state and must be uploaded to ND Grants at the time of the first Program Performance Report (PPR) submission. All states and territories must designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government, to include establishing statewide plans, policies, and procedures, and coordinating decisions on communications investments funded through federal grants. Note that the designated full-time SWIC may also be the state’s or territory’s cybersecurity point of contact. SWIC status 51 FY 2021 HSGP NOFO Back to the Top
information will be maintained by CISA and will be verified by FEMA GPD through programmatic monitoring activities. By the period of performance end date, all states and territories must update the SCIP, with a focus on communications resilience/continuity, to include assessment and mitigation of all potential risks identified in the SCIP: natural disasters, accidental damage (human failures), intentional damage (sabotage, terrorism), cybersecurity, etc. Following the initial update, the SCIP should be updated on an annual basis. SCIP status information will be maintained by CISA and will be verified by FEMA GPD through programmatic monitoring activities. All states and territories must test their emergency communications capabilities and procedures (as outlined in their operational communications plans) in conjunction with regularly planned exercises (separate/addition emergency communications exercises are not required) and must submit an After Action Report/Improvement Plan (AAR/IP) to the Homeland Security Exercise and Evaluation Program’s (HSEEP) electronic message inbox at [email protected] within 90 days of exercise completion. Exercises should be used to both demonstrate and validate skills learned in training and to identify gaps in capabilities. Resilience and continuity of communications should be tested during training and exercises to the greatest extent possible. Further, exercises should include participants from multiple jurisdictions, disciplines, and levels of government and include emergency management, emergency medical services, law enforcement, interoperability coordinators, public health officials, hospital officials, officials from colleges and universities, and other disciplines and private sector entities, as appropriate. Findings from exercises should be used to update programs to address gaps in emergency communications as well as emerging technologies, policies, and partners. Recipients are encouraged to increase awareness and availability of emergency communications exercise opportunities across all levels of government. States, territories, and other eligible grant recipients are advised that HSGP funding may be used to support communications planning (including the cost of hiring a SWIC, participation in governance bodies and requirements delineated above), training, exercises, and equipment costs. Costs for transitioning to the FirstNet network may also be eligible. More information regarding FirstNet can be found in the Preparedness Grants Manual. 4. Reporting Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. See the Preparedness Grants Manual for information on reporting requirements, as well as the above section, “Emergency Communications Investments,” specific reporting requirements for emergency communications investments. 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 52 FY 2021 HSGP NOFO Back to the Top
any required technical assistance. During site visits or desk reviews, FEMA will review recipients’ files related to the award. As part of any monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-related records and to interview the organization’s staff and contractors regarding the program. Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award. See the Preparedness Grants Manual for information on monitoring and oversight. G. DHS Awarding Agency Contact Information 1. Contact and Resource Information a. Program Office Contact FEMA has assigned state-specific Preparedness Officers for the HSGP. If you do not know your Preparedness Officer, please contact CSID by phone at (800) 368-6498 or by email at [email protected], Monday through Friday, 9:00 AM – 5:00 PM ET. b. Centralized Scheduling and Information Desk (CSID) CSID is a non-emergency comprehensive management and information resource developed by FEMA for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the federal, state, and local levels. When necessary, recipients will be directed to a federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9 AM – 5 PM ET. c. GPD Award Administration Division GPD’s Award Administration Division (AAD) provides support regarding financial matters and budgetary technical assistance. Additional guidance and information can be obtained by contacting the AAD’s Help Desk via e-mail at [email protected]. d. Equal Rights The FEMA Office of Equal Rights (OER) is responsible for compliance with and enforcement of federal civil rights obligations in connection with programs and services conducted by FEMA and recipients of FEMA financial assistance. All inquiries and communications about federal civil rights compliance for FEMA grants under this NOFO should be sent to [email protected]. e. Environmental Planning and Historic Preservation GPD’s EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and communications about GPD projects under this NOFO or the EHP review process, including the submittal of EHP review materials, should be sent to [email protected]. 53 FY 2021 HSGP NOFO Back to the Top

2. Systems Information a. Grants.gov For technical assistance with Grants.gov, call the customer support hotline 24 hours per day, 7 days per week (except federal holidays) at (800) 518-4726 or e-mail at [email protected]. b. Non-Disaster (ND) Grants For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at [email protected] or (800) 865-4076, Monday through Friday, 9:00 AM – 6:00 PM ET. User resources are available at https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-systemc. Payment and Reporting System (PARS) FEMA uses the Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking payments. FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, recipients must complete a Standard Form 1199A, Direct Deposit Form. If you have questions about the online system, please call the Customer Service Center at (866) 927-5646 or email [email protected]. d. Supplemental Information: Reporting SystemsIn addition to ND Grants, the following information systems are used for the submission of required reports: GRT: Information on the GRT can be found in the Preparedness Grants Manual. Unified Reporting Tool (URT): Information on the URT can be found in the Preparedness Grants Manual. 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 54 FY 2021 HSGP NOFO Back to the Top
Record Retention Whole Community Preparedness Other Post-Award Requirements1. Termination Provisions FEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is terminated in whole or in part. To the extent that subawards are permitted under this NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards. a. Noncompliance If a recipient fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non-responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material failure to comply with the award terms and conditions. See also the section on Actions to Address Noncompliance in this NOFO or in the Preparedness Grants Manual. b. With the Consent of the RecipientFEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated. c. Notification by the Recipient The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the award. 2. Period of Performance Extensions Extensions to the period of performance (POP) for this program are allowed. Extensions to the POP identified in the award will only be considered through formal, written requests to the recipient’s FEMA Preparedness Officer and must contain specific and compelling justifications as to why an extension is required. Recipients are advised to coordinate with the FEMA Preparedness Officer as needed when preparing an extension request. Please see the Preparedness Grants Manual for more information.

Fiscal Year 2021 Homeland Security Grant ProgramCalifornia Supplement to the Federal Notice of Funding OpportunitySeptember 2021

SECTION 1—OVERVIEW………………………………………………………………………… 1 Federal Program Announcement Information Bulletins Grant Management Memoranda Purpose of the California Supplement Eligible Subrecipients Tribal Allocations Subrecipient Allocations Supplanting Public/Private Organizations Debarred/Suspended Parties Key Changes to the FY 2021 HSGPSECTION 2—FEDERAL CHANGES AND INITIATIVES ....................................................... 4FY 2021 National Priorities National Campaigns and ProgramsNational Cybersecurity ReviewNIMS ImplementationLaw Enforcement Terrorism Prevention ActivitiesManagement and AdministrationIndirect CostsOrganization Costs – Overtime Personnel CapEquipment Typing/Identification and UseEquipment Maintenance/SustainmentEmergency Communications ProjectsTelecommunications Equipment and Services Prohibitions Small Unmanned Aircraft SystemsEmergency Operations PlansConflict of InterestSECTION 3—STATE CHANGES AND INITIATIVES .......................................................... 13FY 2021 Investments California Homeland Security Strategy GoalsState Initiative Funding“On Behalf Of”Public Alert and WarningSECTION 4—REQUIRED STATE APPLICATION COMPONENTS ...................................... 15Financial Management Forms WorkbookSubrecipient Grants Management AssessmentApplication Attachments Standard AssurancesOperational Areas and Urban AreasOperational Areas Only Urban Areas Only Fusion Centers OnlyState Agencies and Tribes OnlySECTION 5—THE STATE APPLICATION PROCESS .............................................................. 20Application SubmissionLate or Incomplete Application HSGP Contact InformationSubaward ApprovalSECTION 6—POST AWARD REQUIREMENTS .................................................................... 22Payment Request ProcessAdvances and Interest Earned on Advances Semi-Annual Drawdown RequirementsModifications Training Exercises, Improvement Plans, and After-Action ReportingProcurement Standards and Written ProceduresProcurement ThresholdsProcurement Documentation Noncompetitive Procurement Performance BondEnvironmental Planning and Historic PreservationConstruction and Renovation Inventory Control and Property ManagementEquipment DispositionPerformance ReportingExtension RequestsProgress Reports on Grant ExtensionsMonitoring Failure to Submit Required ReportsSuspension/Termination Closeout Records RetentionATTACHMENTSA – FY 2021 HSGP Final Allocations B – FY 2021 HSGP Timeline C – FY 2021 HSGP Application Checklist 1 Section 1Overview | 2021Federal Program AnnouncementIn February 2021, the U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA) issued the Fiscal Year (FY) 2021 Homeland Security Grant Program (HSGP), Notice of Funding Opportunity(NOFO) and theFEMA 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 BulletinsDHS issues Information Bulletins(IBs) to provide updates, clarification, and new requirements throughout the life of the grant. Grant Management MemorandaCal OES issues Grant Management Memoranda(GMMs) which provide additional information and requirements regarding HSGP funds.Purpose of the California SupplementThe FY 2021 HSGP California Supplement to the NOFO (State Supplement) is intended to complement, rather than replace, the NOFO and the FEMA Preparedness Grants Manual. Applicants are highly encouraged to thoroughly read the NOFO and the Preparedness Grants Manual before referring to the State Supplement. The State Supplement will emphasize differences between the FY 2020 and FY 2021 HSGP and highlight additional California policies and requirements applicable to FY 2021 HSGP.Eligible SubrecipientsEligible 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 AllocationsThe NOFO strongly encourages Cal OES to provide HSGP funds directly to tribes in California. To implement this requirement, a special Request for Proposal will be issued to California’s federally-recognized tribes. All Subrecipients are encouraged to coordinate with tribal governments to ensure that tribal needs are considered in their grant applications. 2 Section 1Overview | 2021Subrecipient AllocationsFY 2021 HSGP Subrecipient final allocations are provided in Attachment A and reflect reductions to Subrecipients who did not submit minimum thresholds for National Priority Areas, including Subrecipients opting out of the award altogether, andincreases to Subrecipients that are helping meet statewide minimum level National Priority Area requirements.SupplantingGrant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated for the same purpose. Subrecipients may be required to provide supporting documentation that certifies a reduction in non-federal resources that occurred for reasons other than the receipt or expected receipt of federal funds. Supplanting will result in the disallowance of the activity associated with this improper use of federal grant funds.Public/Private OrganizationsSubrecipients may contract with other public or private organizations to perform eligible activities on approved HSGP projects.Debarred/ Suspended PartiesSubrecipients must not make or permit any award (subaward or contract) at any tier, to any party, that is debarred, suspended, or otherwise excluded from, or ineligible for, participation in federal assistance programs. Subrecipients must obtain documentation of eligibility beforemaking any subaward or contract using HSGP funds and must be prepared to present supporting documentation tomonitors/auditors.Before entering into a Grant Subaward, the Subrecipient must notify Cal OES if it knows if any of the principals under the subaward fall under one or more of the four criteria listed at 2 C.F.R. § 180.335. The rule also applies to Subrecipients who pass-through funding to other local entities.If at any time after accepting a subaward, Subrecipients learn that any of its principals fall under one or more of the criteria listed at 2 C.F.R. § 180.335, immediate written notice must be provided to Cal OES and all grant activities halted until further instructions are received from Cal OES. The rule also applies to subawards passed through by Subrecipients to local entities. 3 Section 1Overview | 2021Key Changes to the FY 2021 HSGPNational Priority Areas: The FY 2021 NOFO added a fifth National Priority Area: Combating Domestic Violent Extremism, including an increase to minimum allocations for select National Priority Areas. National Priority areas must now reserve a minimum of 30% of the total award amount. Minimum allocations to each of the five National Priority Areas, are as follows:Enhancing information and intelligence sharing and cooperation with federal agencies, including DHS – 5%; Enhancing the protection of soft targets/crowded places – 5%; Enhancing cybersecurity – 7.5%; Addressing emerging threats [e.g., transnational criminal organizations, weapons of mass destruction (WMDs), unmanned aerial systems (UASs), etc.] – 5%; and[NEW]Combating domestic violent extremism through enhanced intelligence collection & analysis, training, and community resilience – 7.5%.Election Security Projects:Election security projects are no longer required, as a part of the Cybersecurity and Soft Targets/Crowded Places investments. Investment Justifications: Investments are updated for FY 2021.California Homeland Security Strategy: Updated to reflect new goals of the 2021-2024 California Homeland Security Strategy.Updates to Title 2 of the Code of Federal Regulations:The Office of Management and Budget (OMB) published revisions to various sections of Title 2 of the Code of Federal Regulations (2 C.F.R.) as they relate to federal financial assistance. While some revisions were effective on August 13, 2020, most of the changes took effect on November 12, 2020. We highly encourage all Subrecipients to familiarize themselves with these changes. Information on all 2 C.F.R. revisions can be found at the Federal Register’s Guidance for Grants and Agreements webpage. Performance Bonds:Cal OES will require a performance bond for equipment over $250,000, or any vehicle, aircraft, or watercraft that has been paid with HSGP funds prior to receiving the final product(s). 4 Section 2 Federal Changes and Initiatives | 2021FY 2021 National PrioritiesDHS/FEMA annually publishes the National Preparedness Report(NPR) to report national progress in building, sustaining, and delivering the core capabilities outlined in the goal of a secure and resilient nation. This analysis provides a national perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of concern. HSGP Subrecipients are required to prioritize grant funding to demonstrate how investments support closing capability gaps or sustaining capabilities identified in the Threat Hazard Identification and Risk Assessment (THIRA)/Stakeholder Preparedness Review (SPR) process.DHS/FEMA continually assess changes to the threat landscape to further the National Preparedness Goal (NPG) of a secure and resilient nation. The following are national priority areas for FY 2021, including the corresponding percentage of funds each subrecipient is required to allocate to each area: Enhancing information and intelligence sharing and cooperation with federal agencies, including DHS – 5%; Enhancing the protection of soft targets/crowded places - 5%; Enhancing cybersecurity – 7.5%; Addressing emerging threats (e.g., transnational criminal organizations, WMDs, UASs, etc.) – 5%; andCombating domestic violent extremism through enhanced intelligence collection & analysis, training, and community resilience – 7.5%. Subrecipients are required to allocate minimum amounts of their subaward towards projects that fall within each of the national priority areas, totaling 30% of their subaward. Election security projects are no longer required, as a part of the Cybersecurity and Soft Targets/Crowded Places investments.National Priority projects will be reviewed for effectiveness by DHS/FEMA and must be deemed effective prior to the obligation or expenditure of funds. Project costs incurred prior to DHS/FEMA project approval will not be allowable. 5 Section 2 Federal Changes and Initiatives | 2021FY 2021 National Priorities (cont.) Projects requiring additional information for DHS/FEMA to determine effectiveness of the project, or projects deemed ineffective, will have a hold placed on their subaward pending submission of requested information and DHS/FEMA approval. Once a project is approved by DHS/FEMA, modifications to the project will require DHS/FEMA approval.Effectiveness will be evaluated by DHS/FEMA, Cybersecurity and Infrastructure Security Agency, DHS Office of Intelligence and Analysis, DHS Countering Weapons of Mass Destruction Office, 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 five factors:Investment Strategy (30%):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 (10%):Projects will be evaluated based on the extent to which a budget plan for each investment demonstrates how grant expenditures maximize cost effectiveness. Impact/Outcomes (30%):Projects will be evaluated on how this investment helps the jurisdiction close capability gaps identified in its Stakeholder Preparedness Review and addresses national priorities outlined in the FY 2021 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 improvements are measured and/or evaluated. 6 Section 2 Federal Changes and Initiatives | 2021FY 2021 National Priorities (cont.) Collaboration (30%):Projects will be evaluated based on the degree to which the proposal adequately details howinvestments and other means are used to overcome existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information,cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local governments, as well as other regional and nonprofit partners in efforts to prevent, prepare for, protect against, and respond to acts of terrorism. FEMA will consider the information provided by the Subrecipient and may also consider relevant information from other sources.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 national priority is included in the FY 2021 HSGP NOFO (Page 6-8).National Campaigns and ProgramsWhole Community Preparedness – Subrecipients should engage with the whole community to advance individual and community preparedness and to work as a nation to build and sustain resilience. In doing so, Subrecipients are encouraged to consider the needs of individuals with access and functional needs and limited English proficiency in the activities and projects funded by the grant. Subrecipients should utilize established best practices for whole community inclusion and engage with stakeholders to advance individual and jurisdictional preparedness and resilience. Subrecipients are encouraged to consider the necessities of all Californians in the activities and projects funded by the grant, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. 7 Section 2 Federal Changes and Initiatives | 2021National Campaigns and Programs (cont.) Active Shooter Preparedness – DHS developed a comprehensive Active Shooter Preparedness website, which strives to enhance national preparedness through a whole-community approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. Subrecipients are encouraged to review the referenced active shooter resources and evaluate their preparedness needs.Soft Targets and Crowded Places – States, territories, UAs, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs and challenges related to protecting locations or environments that are easily accessible to large numbers of people on a predictable or semi-predictable basis that have limited security or protective measures in place, including town centers, shopping malls, open-air venues, outside hard targets/venues perimeters, and other places of meeting and gathering . For more information, please see DHS’s Hometown Security Program.Community Lifelines – FEMA created Community Lifelines to reframe incident information and impacts using plain language and unity of effort to enable the integration of preparedness efforts, existing plans, and identifies unmet needs to better anticipate response requirements. Additional information may be found at the Community Lifelines Implementation Toolkit website. Strategic Framework for Countering Terrorism and Targeted Violence – DHS adopted the DHS Strategic Framework for Countering Terrorism and Targeted Violencewhich explains how the department will use the tools and expertise that have protected and strengthened the country from foreign terrorist organizations to address the evolving challenges of today.National Cybersecurity ReviewThe National Cybersecurity Review (NCSR)is a required assessment for all Subrecipients of State Homeland Security Program (SHSP) and Urban Areas Security Initiative (UASI) funding to be completed between October and December 2021. The NCSR is a no-cost, anonymous, and annual self-assessment designed to measure gaps and capabilities of state, local, tribal, territorial, nonprofit, and private sector agencies’ cybersecurity programs. 8 Section 2 Federal Changes and Initiatives | 2021National Cybersecurity Review (cont.) Additionally, FEMA recognizes that some subawards will not be issued until after the NCSR has closed. In these cases, Subrecipients will be required to complete the first available NCSR offered after the subaward has been issued by Cal OES.The Chief Information Officer (CIO), Chief Information Security Officer (CISO), or equivalent should complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment. Additional information may be found in IB 439and 429a.NIMS Implementation Prior to the allocation of any federal preparedness awards, Subrecipients must ensure and maintain the adoption and implementation of the National Incident Management System(NIMS).Law Enforcement Terrorism Prevention ActivitiesA minimum of 25 percent of the total subaward amount must be dedicated to Law Enforcement Terrorism Prevention Activities (LETPA). Activities outlined in the National Prevention Framework and National Protection Framework are eligible for use of LETPA-focused funds. All other terrorism prevention activities proposed for funding under LETPA must be formally pre-approved by FEMA. Refer to IB 412for additional information.Management and AdministrationThe Management and Administration (M&A) allowance for Subrecipients is set at a maximum of 5% for FY 2021 HSGP.Indirect CostsIndirect costs are allowable under the FY 2021 HSGP Grant Award. Subrecipients who claim indirect costs may do so, provided they use one of the following two methods:1. Subrecipients with an indirect cost rate approved by theircognizant federal agency may claim indirect costs based on the established rate. Indirect costs claimed must be calculated using the base approved in the indirect cost negotiation agreement. A copy of the approved negotiation agreement is required at the time of application. 2. Subrecipients who have never received a negotiated indirect cost rate and receive less than $35 million in direct federal funding per year may claim the 10 percent de minimis indirect cost rate based on Modified Total Direct Costs (MTDC) as defined in 2 C.F.R. § 200.1and Subpart E. 9 Section 2 Federal Changes and Initiatives | 2021Indirect Costs(cont.)Indirect costs are in addition tothe M&A allowance and must be included in the Grant Award application as a “Project” and reflected in the Financial Management Forms Workbook (FMFW) on the Indirect cost category ledger if being claimed under the award. Indirect costs must be based on the claimed direct project costs, excluding equipment expenditures and other distorting items. Up to $25,000 of each subaward may be included as a direct project cost when calculating indirect costs based on MTDC. Indirect costs must be claimed no more than once annually, and only at the end of the Subrecipient’s fiscal year. An exception to this rule applies if there is a mid-year change to the approved indirect cost rate; in this case, costs incurred to date must be claimed. At that time, a Grant Subaward Modification reflecting the rate change must also be submitted to Cal OES, along with a copy of the new indirect cost rate agreement.Organization Costs - Overtime Operational overtime costs are allowable for increased security measures at critical infrastructure sitesif associated with detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events. Pursuant to page A-3 of the Preparedness Grants Manual, all operational overtime requests must clearly explain how the request meets the criteria of one or more of the categories listed in Table 2: Authorized Operational Overtime Categories. Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explains how the overtime activity is responsive to the threat. Post-event operational overtime requests will only be considered on a case-by-case basis, where it is demonstrated exigent circumstances prevented submission of a request in advance of the event or activity. Requests for overtime costs must be submitted to Cal OES via the Request for Operational Overtime Format the time of application, if the activity will occur within one year of the final application submission. All subsequent requests must be submitted at least 60 days in advance of the activity. All operational overtime costs must be formally pre-approved in writing by DHS/FEMA. 10 Section 2 Federal Changes and Initiatives | 2021Personnel CapPursuant to 6 U.S.C. § 609(b), SHSP and UASI funds may be used for personnel costs, totaling up to 50 percent of each fund source. A Subrecipient may request this requirement be waived by DHS/FEMA, via Cal OES. Requests for personnel cap waivers must be submitted separately for each fund source in writing to the Program Representative on official letterhead, with the following information:Documentation explaining why the cap should be waived;Conditions under which the request is being submitted; and A budgetandmethod of calculation of personnel costs both in percentages of the Grant Award andin total dollar amount(waivers must be calculated separately for SHSP and UASI, outlining salary, fringe benefits, and any M&A costs).Subrecipient requests to exceed the personnel cap must be received by Cal OES at the time of application. Subaward modifications impacting the personnel cap will be reviewed on a case-by-case basis and may require the submittal of the above-mentioned information.Please see IB 421bfor more information on the waiver process.Equipment Typing/ Identification and UseAllowable HSGP equipment is listed on the FEMA Authorized Equipment List(AEL) website. Subrecipients that allocate HSGP funds towards equipment are required to type and identify the capability associated with that equipment. The FEMA Resource Typing Library Tool (RTLT)can be used to help determine the type and capability.Per FEMA policy, the purchase of weapons and weapon accessories are not allowed with HSGP funds. Special rules apply to pharmaceutical purchases, medical countermeasures, and critical emergency supplies; refer to page A-10 of the Preparedness Grants Manual for additional information.Expenditures for general purpose equipment are allowable if they align to and support one or more core capabilities identified in the NPG, and in addition, are deployable/sharable through the Emergency Management Assistance Compact and allowable under 6 U.S.C. § 609. Refer to the NOFO and Preparedness Grants Manual for examples of allowable general-purpose equipment. 11 Section 2 Federal Changes and Initiatives | 2021Equipment Maintenance/ SustainmentUse of HSGP funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable as described in FEMAIBs 336and 379, as well as Grant Programs Directorate (GPD) Policy FP-205-402-125-1.Emergency Communications ProjectsAll Subrecipient emergency communications projects must comply with the SAFECOM Guidance on Emergency Communications Grants and describe in their FMFW how such activities align with the goals of the Statewide Communications Interoperability Plan.Telecom Equipment and Services ProhibitionsEffective August 13, 2020, section 889(f)(2)-(3) of the John S. McCain National Defense Authorization Act for FY 2019 (NDAA)and 2 C.F.R. § 200.216 prohibits DHS/FEMA Recipients and Subrecipients (including their contractors and subcontractors)from using any FEMA funds under open or new awards for the following telecommunications equipment or services: 1) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities); 2) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities); 3) Telecommunications or video surveillance services provided by such entities or using such equipment; or 4) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China. 12 Section 2 Federal Changes and Initiatives | 2021Small Unmanned Aircraft SystemsAll requests to purchase Small Unmanned Aircraft Systems (SUAS) with FEMA grant funding must comply with IB 426and include copies of the policies and procedures in place to safeguard individuals’ privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to, or otherwise use the SUAS equipment. The Authorized Equipment Listing for 03OE-07-SUASdetails ten questions that must be included in the Aviation Request justification. Please reference Presidential Memorandum: Promoting Economic Competitiveness While Safeguarding Privacy, Civil Rights, and Civil Liberties in Domestic Use of Unmanned Aircraft Systemsand contact your Program Representative for additional information.Emergency Operations PlansSubrecipients must update their Emergency Operations Plan at least once every two years to remain compliant with the Comprehensive Preparedness Guide 101 version 2.0. Conflict of InterestTo eliminate and reduce the impact of conflicts of interest in the subaward process, Subrecipients and pass-through entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when making subawards. Subrecipients and pass-through entities are also required to follow any applicable federal, state, local, and tribal statutes or regulations governing conflicts of interest in the making of subawards.Subrecipients must disclose to their Program Representative, in writing, any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations, which may arise during the administration of the HSGP subaward within five days of learning of the conflict of interest. 13 Section 3State Changes and Initiatives | 2021FY 2021 InvestmentsThe State prioritized the following investment strategies for the FY 2021 subawards:1. Enhance Information and Intelligence Sharing and Cooperation with Federal Agencies, including DHS (National Priority); 2. Enhance the Protection of Soft Targets/Crowded Places (National Priority); 3. Enhance Cybersecurity (National Priority); 4. Address Emergent Threats (National Priority); 5. Combating Domestic Violent Extremism through Enhanced Intelligence Collection & Analysis, Training, and Community Resilience (National Priority); 6. Strengthen Emergency Communications Capabilities Through Planning, Governance, Technology, and Equipment; 7. Enhance Medical and Public Health Preparedness; 8. Strengthen Information Sharing and Collaboration (non-Fusion Center); 9. Enhance Community Capabilities through Multi-Jurisdictional/ Inter-Jurisdictional All-Hazards Incident Planning, Response & Recovery Coordination, including Partnerships with Volunteers and Community Based Organizations and Programs; and10.Protect Critical Infrastructure and Key Resources (includes Food and Agriculture).California Homeland Security Strategy GoalsThe State prioritized the following California Homeland Security Strategy Goals for the FY 2021 subawards: 1. Enhance Information Collection, Analysis, and Sharing, in Support of Public Safety Operations Across California;2. Protect Critical Infrastructure and Key Resources from All Threats and Hazards;3. Strengthen Security and Preparedness Across Cyberspace;4. Strengthen Communications Capabilities through Planning, Governance, Technology, and Equipment;5. Enhance Community Preparedness;6. Enhance Multi-Jurisdictional/Inter-Jurisdictional All-Hazards Incident Catastrophic Planning, Response, and Recovery Capabilities; 7. Improve Medical and Health Capabilities;8. Enhance Incident Recovery Capabilities;9. Strengthen Food and Agriculture Preparedness; and10.Enhance Homeland Security Exercise, Evaluation, and Training Programs. 14 Section 3State Changes and Initiatives | 2021State Initiative FundingFor FY 2021, Cal OES shall retain 20 percent of the SHSP and 18.5percent of the UASI funding for state initiatives.“On Behalf Of”Cal OES may, in conjunction with local approval authorities, designate funds “on behalf of” local entities who choose to decline or fail to utilize their subaward in a timely manner.Public Alert and WarningCal OES encourages Subrecipients to consider the use of this funding to assist their jurisdiction’s alignment with the State of California Alert and Warning Guidelines, developed pursuant to Senate Bill 833 of the 2018 Legislative Session. 15 Section 4Required State Application Components | 2021Financial ManagementForms WorkbookThe FY 2021 Cal OES FMFW includes:Grant Subaward Face Sheet – Use the Grant Subaward Face Sheet to apply for grant programs. The Grant Subaward Face Sheet must be signed and printed in portrait format.Authorized Body of 5 – Provide the contact information of Authorized Agents (AA), delegated via the GBR or Signature Authorization Form, including staff related to grant activities. More than one person is recommended for designation as the AA; in the absence of an AA, an alternate AA can sign requests.Project Ledger – The project ledger is used in the application process to submit funding information and is used for submitting cash requests, grant subaward modifications, and assists with the completion of the Biannual Strategy Implementation Report (BSIR).Planning Ledger – Provides detailed information on grant-funded planning activities with a final product identified.Organization Ledger – Provides detailed information on grant-funded organizational activities.Equipment Ledger – Detailed information must be provided under the equipment description for all grant-funded equipment. AEL numbers must be included for all items of equipment. Always refer to the AEL for a list of allowable equipment and conditions, if any.Training Ledger – Provides detailed information on grant-funded training activities. All training activities must receive Cal OES approval prior to starting the event, including a Training Feedback number. The Training Request Formmust be submitted and approved to obtain a Training Feedback number. Exercise Ledger – Provides detailed information on grant-funded exercises. M&A Ledger – Provides information on grant-funded M&A activities.Indirect Costs Ledger – Provides information on indirect costs. 16 Section 4Required State Application Components | 2021Financial ManagementForms Workbook(cont.)Consultant-Contractor Ledger – Provides detailed information on grant-funded consultants and contractors.Authorized Agent Page – The AA Page must be submitted with the application, all cash requests, and Grant Subaward Modifications. The AA Page must include a valid signature on file with Cal OES and the date.Subrecipient Grants Management AssessmentPer 2 C.F.R. § 200.332, Cal OES is required to evaluate the risk of non-compliance with federal statutes, regulations, and grant terms and conditions posed by each Subrecipient of pass-through funding. The Subrecipient Grants Management Assessment Formcontains questions related to an organization’s experience in the management of federal grant awards. It is used to determine and provide an appropriate level of technical assistance, training, and grant oversight to Subrecipients during the subaward. The questionnaire must be completed and returned with the grant application. Application AttachmentsFederal Funding Accountability and Transparency Act (FFATA) Financial Disclosure – Use the FFATA Financial Disclosure Formtoprovide the information required by the Federal Funding Accountability and Transparency Act of 2006.Certification Regarding Lobbying – Use the Certification Regarding Lobbying Formto certify lobbying activities, as stipulated by the Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352.Intelligence Analysts Certificates – Pursuant to the Preparedness Grants Manual, Cal OES must have certificates for completion of training for fusion center analytical personnel. Please provide copies of certificates for each intelligence analyst, if applicable.UASI Footprint (UASIs Only) – The Urban Area Working Group (UAWG) establishes the ‘footprint’ of the UA. A map or list defining the footprint must be included with the application. UAWG Member Roster (UASIs Only) – A list of all current UAWG members with positions or titles.Indirect Cost Rate Agreement – If claiming indirect costs at a federally-approved rate, please provide a copy of the approved indirect cost rate agreement. 17 Section 4Required State Application Components | 2021Standard AssurancesThe Standard Assurances list the requirements to which the Subrecipients will be held accountable. All Applicants will be required to submit a signed,original of theFY 2021 Standard Assurancesas part of their FY 2021 HSGP application. The required Standard Assurances can be found only in PDF format on the Cal OES website. NOTE: Self-created Standard Assurances will not be accepted.Operational Areas and Urban Areas Governing Body Resolution – The GBR appoints AAs (identified by the individual’s name or by a position title) to act on behalf of the governing body and the Applicant by executing any actions necessary for each application and subaward. All Applicants are required to submit a copy of an approved GBR with their grant application. Resolutions may be valid for up to three grant years given the following:The resolution identifies the applicable grant program (e.g., EMPG and/or HSGP);The resolution identifies the applicable grant years, (e.g., FY 2020, FY 2021, FY 2022); andAdheres to any necessary elements required by local protocols, rules, etc., if applicable.Resolutions that only identify a single grant program will only be valid for that single program. Resolutions that do not identify applicable grant years will only be valid for the grant year in which the resolution was submitted. Authorized Agent Information – For each person or position appointed by the governing body, identify the individual in the Authorized Body of 5 ledger of the FMFW.All changes in AA and contact information must be provided to Cal OES in writing. If the GBR identifies the AA by name, a new Resolution is needed when changes are made. If the GBR identifies the AA by position and/or title, changes may be made by submitting a request on the entity’s letterhead, signed by an existing AA. Cal OES will not accept signatures of an AA’s designee, unless authorized by the Governing Body's resolution. A change to an AA's designee must be submitted on agency letterhead and signed by the AA, announcing the change to their designee. 18 Section 4Required State Application Components | 2021Operational 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 ServicesCounty Fire Chief or Chief of Fire AuthorityMunicipal Fire Chief (selected by the OA Fire Chiefs)County SheriffChief of Police (selected by the OA Police Chiefs) Urban Areas OnlyUrban Area Working Groups (UAWGs) – Membership in the UAWGmust provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined UA. It also must be inclusive of local Citizen Corps Council and tribal representatives. The UAWG should also ensure the integration of local emergency management, public health, and health care systems into a coordinated sustained local capability to respond effectively to a mass casualty incident. Additional group composition criteria is found in the FEMA Preparedness Grants Manual. THIRA – Subrecipients are required to submit a THIRA for all 32 core capabilities. Beginning in 2019, UAs are required to submit a THIRA every three years. An annual capability assessment will still be required. SPR – The SPR is an annual grant requirement for all states, territories, and UAs. It is an annual capability assessment, whichhelps jurisdictions identify capability gaps and prioritize investment requirements to reach the targets set in their THIRA. 19 Section 4Required State Application Components | 2021Fusion Centers OnlyAll projects included in the fusion center investment (IJ #1) must align to, and reference, specific performance areas of the assessment that the funding is intended to support.Fusion Centers are also required to follow all Reporting and Administrative Metrics for California Fusion Centers, as set forth in the Governor’s Homeland Security Advisor/Cal OES Director’s letter dated March 16, 2016. These operational and administrative metrics set forth an integrated and coordinated approach for regular and proactive information and intelligence sharing between all fusion centers in the California State Threat Assessment System (STAS).State Agencies and Tribes OnlyState Agencies, and federally-recognized tribes may submit the Signature Authorization Form in lieu of a GBR, signed by the most senior ranking official, such as the Secretary, Director, President, Chancellor, or Chairperson. 20 Section 5State Application Process | 2021Application SubmissionSubrecipients must submit an electronic copy of their completed FMFW to their Program Representative for review. After the application is approved, a completed hardcopy of the FMFW, along with all other application components must be mailed, with original signatures, by the application due date. During the application process, if it is determined not all allocated funds canbe expended by the end of the period of performance, please inform a Program Representative as soon as possible. The completed application should be received by Cal OES no later than the date provided in the FY 2021 HSGP Timeline, referenced as Attachment B.Late or Incomplete ApplicationLate or incomplete applications may be denied. If an application is incomplete, the Program Representative may request additional information. Requests for late submission of applications must be made in writing to the Program Representative prior to the application due date. Cal OES has sole discretion to accept or reject a late or incomplete grant application.HSGP Contact InformationAll Subrecipient application materials, questions, comments, and correspondence should be directed to:California Governor’s Office of Emergency Services ATTN: Grants Management (Building E)Homeland Security Grants Unit3650 Schriever AvenueMather, CA 95655Darlene Arambula (916) 845-8427 Christopher Camacho (916) 845-8789 Laura Halverstadt (916) 845-8367 Antoinette Johnson (916) 845-8260 Jim Lane (916) 845-8428 Vidal Lopez (916) 845-8744 Miguel Ramirez (916) 328-7466Abigayle Tirapelle (916) 845-8400The Program Representative Regional Assignments Map is available at the Cal OES website under “Regional Assignments”. 21 Section 5State Application Process | 2021Subaward ApprovalSubrecipients will receive a formal notification of award no later than 45 days after Cal OES receives the federal grant award. The award letter must be signed, dated, and returned to Cal OES within 20 calendar days. Once the completed application, along with the signed award letter, is received and approved, reimbursement of eligible subaward expenditures may be requested using the Cal OES FMFW. 22 Section 6Post Award Requirements | 2021Payment Request ProcessTo request an advance or cash reimbursement of HSGP funds, Subrecipients must first complete a payment request using the Cal OES FMFW, returning it to the appropriate Program Representative. Subrecipients who fail to follow the workbook instructions may experience delays in processing the payment request. Payments can only be made if the Subrecipient has submitted a completed and approved application. Advances and Interest Earned on AdvancesAn Advance payment is a payment that is requested before Subrecipients have disbursed the funds for program purposes. Subrecipients may be paid an advance, provided they maintain a willingness and ability to maintain procedures to minimize the time elapsing between the receipt of funds and their disbursement. The timing and amount of advance payments must be as close as administratively feasible to the actual disbursements by the Subrecipient for project costs. Federal rules require advances to be deposited in interest-bearing accounts. Interest earned amounts up to $500 per year may be retained by Subrecipients for administrative expenses; any additional interest earned on federal advance payments must be returned annually to Cal OES.Semi-Annual Drawdown RequirementsAll Subrecipients should be reporting expenditures and requesting funds at least semi-annually throughout the period of performance. Semi-annual drawdowns should be occurring by March and October of each calendar year following final approval of the subaward application, except for the final cash request, which must be submitted within 20 calendar days after the end of the period of performance. Subrecipients not in compliance with this requirement will be required to submit all supporting documentation for subsequent cash requests.ModificationsPost-award budget, scope, and time modifications must be requested using the Cal OES HSGP FMFW v1.21, signed by the Subrecipient’s AA, and submitted to the Program Representative.The Subrecipient may implement grant modification activities, and incur associated expenses, only after receiving written final approval of the modification from Cal OES. 23 Section 6Post Award Requirements | 2021Modifications(cont.)Subrecipients must provide a written justification with all modification requests. The justification may be included in the body of the e-mail transmitting the request, or in a document attached to the transmittal e-mail. Please reference GMM 2018-17for additional information regarding modification requests.A modification request for any project within the national priority areas must receive DHS/FEMA prior approval. These requests include, but are not limited to, a change in project scope, any change to the project budget, and re-programming of funds. DHS/FEMA and Cal OES may request additional information to validate project effectiveness.TrainingAll grant-funded training activities must receive Cal OES approval prior to starting the training event. Cal OES shall allow Subrecipients to develop a “placeholder” for future training conferences when an agenda has not been established at the time Subrecipient applications are due. Please work with a Program Representative and the Training Branch to identify a possible “placeholder” for these types of training activities. When seeking approval of non-DHS/FEMA developed courses, course materials must be submitted with the approval requests. Conditional approvals are not offered. Subrecipients must complete a Training Request Formand submitit electronically to the Cal OES Training Branch to be approved with a Training Feedback Number before beginning any training activities. This includes project components like travel to, materials for, or attendance in training courses. Training Feedback Numbers must be obtained no later than 30 days before the first day of the training or related activities. Training Feedback numbers must be included on the FMFW Training Ledger to be considered for reimbursement.For more information on this or other training-related inquiries, contact the Cal OES Training Branchat (916) 845-8752.Exercises, Improvement Plans, and After-Action Reporting Subrecipients should engage stakeholders to identify long-term training and exercise priorities. These priorities should address capability targets and gaps identified through the THIRA and SPR process, real-world events, previous exercises, and national areas for improvement identified in the NPR. 24 Section 6Post Award Requirements | 2021Exercises, Improvement Plans, and After-Action Reporting(cont.)Subrecipients must report on all exercises conducted with HSGP grant funds. An After-Action Report (AAR)/Improvement Plan (IP) or Summary Report (for Seminars and Workshops) must be completed and submitted to Cal OES within 90 days after exercise/seminars/workshops are conducted. It is acceptable to submit an Exercise Summary Report for Seminars and Workshopsin lieu of a full AAR/IP.Please e-mail AAR/IPs and Summary Reports to:[email protected] [email protected] [email protected] exercise-related issues and/or questions, please email the Cal OES Exercise Team at [email protected]. Exercise costs will not be considered for reimbursement until an AAR/IP is received by Cal OES.Procurement Standards and Written ProceduresSubrecipients must conduct procurement utilizing documented local government procurement standards and procedures, or the federal procurement standards found in 2 C.F.R. Part 200, whichever is more strict. Procurement standards must also contain a written conflict of interest policy which reflect applicable federal, state, local, and tribal laws.Procurement ThresholdsEffective June 20, 2018, the micro-purchase threshold was increased from $3,500 to $10,000 and the simplified acquisition threshold was increased from $150,000 to $250,000. These increases apply to all Subrecipient procurements executed on or after June 20, 2018. Refer toIB 434for additional information.Procurement DocumentationPer 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price. For any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Examples of the types of documents that would cover this information include, but are not limited to:
25 Section 6Post Award Requirements | 2021Procurement Documentation(cont.)Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals; Responses to solicitations, such as quotes, bids, or proposals; Pre-solicitation independent cost estimates and post- solicitation cost/price analyses on file for review by federal personnel, if applicable; Contract documents and amendments, including required contract provisions; and Other documents required by federal regulations applicable at the time a grant is awarded to a Subrecipient.Noncompetitive ProcurementAll noncompetitive procurements exceeding the simplified acquisition threshold requires Cal OES priorwritten approval to be eligible for reimbursement. This method of procurement must be approved by the local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent’s approval must be included with the Cal OES Request for Noncompetitive Procurement Authorizationform. Cal OES may request additional documentation that supports the procurement effort.Cal OES will not reimburse for any noncompetitive procurement contracts for any terrorism-related training, regardless of the cost of the training. Exceptions to this policy may be approved in limited circumstances, e.g., related to a procurement effort that has resulted in inadequate competition. Please refer to GMM2017-01Aand GMM2021-05for additional guidance.Performance BondDue to the risks associated with delays in vendor delivery of large equipment procurements, DHS/FEMA allows Subrecipients to obtain a “performance bond” for items that are paid for up front to ensure delivery of the equipment within the grant performance period. Cal OES requires Subrecipients obtain a performance bond for any equipment item over $250,000 orany vehicle, aircraft, or watercraft that has been paid with HSGP fundspriorto receiving the final product(s). Subrecipients must provide a copy of all performance bonds to their Program Representative no later than the time of reimbursement.Performance Bond Waivers may be granted on a case-by-case basis and must be submitted to Cal OES prior to procurement. 26 Section 6Post Award Requirements | 2021Environmental Planning and Historic PreservationDHS/FEMA is required to ensure all activities and programs that are funded by the agency comply with federal Environmental Planning and Historic Preservation (EHP) regulations. Subrecipients proposing projects or activities (including, but not limited to, training, exercises, the installation of equipment, and construction or renovation projects) that have the potential to impact the environment or a historic structure must participate in the EHP screening process. EHP Screening Memos must include detailed project information, explain the goals and objectives of the proposed project, and include supporting documentation. DHS/FEMA may also require the Subrecipient to provide a confidential California Historical Resources Information System (CHRIS) report in addition to the EHP Screening Form. Determination on the necessity of a CHRIS report is based upon information disclosed on the form. Program Representatives will provide additional instructions should this report be required. EHP Screening Requestsshould be submitted to Cal OES as early as possible. All projects/activities triggering EHP must receive DHS/FEMA written approval prior to commencement of the funded activity.Updated information may be referenced in the FEMA GPD EHP Policy Guidance.Construction and RenovationWhen applying for construction activity at the time of application, including communication towers, Subrecipients must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits, and a notice of federal interest. Additionally, Subrecipients are required to submit an SF-424C Budget and Budget Detail that cites project costs. Communication tower construction requests also require evidence that the Federal Communications Commission’s Section 106 review process was completed.Subrecipients using funds for construction projects must comply with the Davis-Bacon Act. Subrecipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character like the contract work in the civil subdivision of the state in which the work is to be performed. 27 Section 6Post Award Requirements | 2021Construction and Renovation(cont.)Project construction using SHSP and UASI funds may not exceed $1,000,000 or 15 percent of the grant subaward (For the purposes of limitations on funding levels, communications towers are not considered construction).Written approval for construction must be provided by DHS/FEMA prior tothe use of any HSGP funds for construction or renovation.Inventory Control and Property ManagementSubrecipients must use standardized resource management concepts for resource typing and credentialing, in addition to maintaining an inventory by which to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.Subrecipients must have an effective inventory management system, to include:Property records that document description, serial/ID number, fund source, title information, acquisition date, cost, federal cost share, location, use, condition, and ultimate disposition;A physical inventory conducted at least every two years;A control system to prevent loss, damage, and theft of grant purchased equipment and supplies; andAdequate maintenance procedures to keep the property in good condition.Equipment DispositionWhen original or replacement equipment acquired under the HSGP is no longer needed for program activities, the Subrecipient must contact the Program Representative to request disposition instructions. See 2 C.F.R. § 200.313(e).PerformanceReportingSubrecipients must complete a BSIR each Winter and Summer using the DHS/FEMA Grants Reporting Tool(GRT) for the duration of the subaward period of performance or until all grant activities are completed and the subaward is formally closed by Cal OES. Failure to submit a BSIR could result in subaward reduction, suspension, or termination. 28 Section 6Post Award Requirements | 2021PerformanceReporting (cont.) Access to the BSIR may be obtained through the GRT. To create a new account, please click the link that reads, “Register for an account” and follow the instructions provided. The Subrecipient will be required to ensure up-to-date project information is entered. The Project Ledger in the FMFW may assist with the BSIR data entry process. For additional assistance with the GRT, please contact your Program Representative.Extension RequestsExtensions to the initial period of performance identified in the subaward will only be considered through formal, written requests to your Program Representative. Upon receipt of the extension request, Cal OES will: 1. Verify compliance with performance reporting requirements by confirming the Subrecipient has submitted all necessary performance reports; 2. Confirm the Subrecipient has provided sufficient justification for the request; and 3. If applicable, confirm the Subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES. Extension requests will be granted only due to compelling legal, policy, or operational challenges, and will only be considered for the following reasons:1. Contractual commitments with vendors that prevent completion of the project within the period of performance;2. The project must undergo a complex environmental review which cannot be completed within this timeframe;3. Projects are long-term by design and therefore, acceleration would compromise core programmatic goals; and4. Where other special circumstances exist.To be considered, extension requests must be received no later than 60 days prior to the end of the Subrecipient’s period of performance and must contain specific and compelling justifications as to why an extension is required. All extension requests must address the following:
29 Section 6Post Award Requirements | 2021Extension Requests (cont.) 1. Grant program, fiscal year, and award number;2. Reason for delay;3. Current status of the activity/activities; 4. Approved period of performance termination date and new project completion date;5. Amount of funds drawn down to date;6. Remaining available funds, both federal and non-federal; 7. Budget outlining how remaining federal and non-federal fundswill be expended;8. Plan for completion, including milestones and timeframes for each milestone and the position/person responsible for implementing the plan for completion; and9. Certification the activity/activities will be completed within the extended period of performance without any modification to the original Statement of Work.General questions regarding extension requirements and the extension request form, should be directed to your Program Representative. For additional information, please see IB 379. Extension requests for personnel and salaries do not meet the requirements of IB 379 and will not be granted. Subrecipients are expected to complete all grant-funded personnel activity by the end of the subaward period of performance.Progress Reports on Grant ExtensionsAll Subrecipients that receive Cal OES approval to extend their FY 2021 grant subaward period of performance may be required to submit progress reports indicating completed and future project milestones on all extended projects. Progress reports must be submitted electronically to the Subrecipient’s Program Representative. Deadlines for the submission of progress reports will be established at the time of extension approval.MonitoringCal OES Grants Monitoring actively monitors Subrecipients, through day-to-day communications, programmatic site visits, and desk and on-site compliance assessments. The purpose of the compliance assessment is to ensure Subrecipients are in compliance with applicable state and federal regulations, grant guidelines, and programmatic requirements. Monitoring activities may include, but are not limited to:Verifying that entries recorded on the FMFW categories are properly supported with source documentation;Eligibility of and support for expenditures, typically covering two to three years of data; 30 Section 6Post Award Requirements | 2021Monitoring(cont.)Comparing actual Subrecipient activities to those approved in the grant application and subsequent modifications, including the review of timesheets and invoices as applicable;Procurements and contracts; Ensuring equipment lists are properly maintained and physical inventories are conducted;Ensuring advances have been disbursed in accordance with applicable guidelines; andConfirming compliance with:oStandard Assurances, andoInformation provided on performance reports and payment requestsNOTE: It is the responsibility of all Subrecipients that pass down grant funds to other entities, to maintain and utilize a formal process to monitor the grant activities of their subawards. This requirement includes, but is not limited to, on-site verification of grant activities, as required. It is common for Subrecipients to receive findings in a programmatic site visit or compliance assessment, which require a Corrective Action Plan (CAP) to be submitted by Subrecipients. Those Subrecipients who fail to submit a CAP, as required, shall have a “hold” placed on any future reimbursements until the “finding” is resolved.Failure to Submit Required ReportsPeriodic reporting is required by the grant. Subrecipients who miss a single reporting deadline may receive a letter addressed to their Board of Supervisors informing them of the failure to report. County OAs and tribes who fail to report twice in a row may have subsequent awards reduced by 10 percent until timely reporting is reestablished; UASIs may have a “hold” placed on any future reimbursements.Suspension/ TerminationCal OES may suspend or terminate grant funding, in whole or in part, or other measures may be imposed for any of the followingreasons: Failure to submit required reports.Failure to expend funds in a timely manner consistent with thegrant milestones, guidance, and assurances.Failure to comply with the requirements or statutory progress toward the goals or objectives of federal or state law.Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipient application. 31 Section 6Post Award Requirements | 2021Suspension/ Termination(cont.)Failure to follow Grant Subaward requirements or Special Conditions. Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding.False certification in the application or document.Failure to adequately manage, monitor, or direct the grant funding activities of their Subrecipients.Before taking action, Cal OES will provide the Subrecipient reasonable notice of intent to impose corrective measures and will make every effort to informally resolve the problem.Closeout Cal OES will close-out Subrecipient awards when it determines all applicable administrative actions and all required work of the federal award have been completed.Subawards will be closed after:All funds have been requested and reimbursed, or disencumbered;Receiving all applicable Subrecipient reports indicating all approved work has been completed, and all funds have been distributed;Completing a review to confirm the accuracy of reported information; Reconciling actual costs to subawards, modifications, and payments; andVerifying the Subrecipient has submitted a final BSIR showing all grant funds have been expended.Records RetentionThe records retention period is three years from the date of the Cal OES Grant Closeout letter, or until any pending litigation, claim, or audit started before the expiration of the three-year retention period has been resolved and final action is taken. For indirect cost rate proposals, cost allocation plans, or other rate computation records, the start of the record retention period is dependent on whether the proposal, plan, or other computation is required to be submitted to the federal government (or to the pass-through entity) for negotiation purposes. See 2 C.F.R. § 200.334(f). 32 Section 6Post Award Requirements | 2021Records Retention (cont.) In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). The Cal OES Grant Closeout Letter will notify the Subrecipient of the start of the records retention period for all programmatic and financial grant-related records. If the State Administrative Agency’s award remains open after the Subrecipient’s submission of the final BSIR, Cal OES will complete any additional BSIR reporting required under the award on behalf of the Subrecipient. Closed grants may still be monitored and audited. Failure to maintain all grant records for the required retention period could result in a reduction of grant funds, and an invoice to return costs associated with the unsupported activities. If documents are retained longer than the required retention period, FEMA, the DHS Office of Inspector General, Government Accountability Office, and pass-through entity have the right to access these records as well. See 2 C.F.R. §§ 200.333, 200.336.

Attachment A FY 2021 HSGP Final Allocations | 2021 State Homeland Security Program (SHSP) Operational Area Total Award Operational Area Total Award ALAMEDA 1,718,273ORANGE3,216,641 ALPINE 72,317PLACER472,051 AMADOR 98,048 PLUMAS92,959 BUTTE 281,822 RIVERSIDE2,477,018 CALAVERAS 119,280 SACRAMENTO 1,604,710 COLUSA 91,715 SAN BENITO 136,324 CONTRA COSTA 1,209,532 SAN BERNARDINO 2,219,568 DEL NORTE 101,848SAN DIEGO3,363,206 EL DORADO 265,040SAN FRANCISCO957,996 FRESNO 1,081,477 SAN JOAQUIN 835,871 GLENN 240,480 SAN LUIS OBISPO347,687 HUMBOLDT 206,104 SAN MATEO 835,489 IMPERIAL 260,662 SANTA BARBARA 555,589 INYO 93,278 SANTA CLARA 2,004,605 KERN 977,418 SANTA CRUZ 341,759KINGS 226,074 SHASTA212,592 LAKE 103,488 SIERRA 78,149 LASSEN 90,437 SISKIYOU118,727 LOS ANGELES10,192,647 SOLANO507,962 MADERA 230,538 SONOMA 701,838MARIN331,528 STANISLAUS623,510 MARIPOSA92,770 SUTTER 174,089MENDOCINO 161,494 TEHAMA -MERCED353,846 TRINITY 88,324 MODOC 84,412 TULARE 547,060MONO 88,241 TUOLUMNE 129,010 MONTEREY508,867 VENTURA 903,983NAPA - YOLO380,796 NEVADA171,496 YUBA -*Total 43,380,645*SHSP allocations reflect National Priority Area project adjustments Attachment A FY 2021 HSGP Final Allocations | 2021 Fusion Centers Region Total Award SAN FRANCISCO BAY AREA1,792,050SACRAMENTO/CENTRAL VALLEY AREA2,565,000GREATER LOS ANGELES AREA2,983,500SAN DIEGO AREA 2,047,500ORANGE AREA835,000*Total 10,223,050* SHSP allocations reflect National Priority Area project adjustments Urban Areas Security Initiative (UASI) *A minimum of 25% of UASI funding must be for Law Enforcement Terrorism Prevention Urban Area Federal Allocation to State Allocation to UASI State Initiatives ANAHEIM/SANTA ANA AREA5,250,0004,278,750 971,250BAY AREA 37,500,00030,562,500 6,937,500LOS ANGELES/LONG BEACH AREA68,000,00055,420,000 12,580,000RIVERSIDE AREA 3,900,0003,178,500 721,500SACRAMENTO AREA 3,800,0003,097,000 703,000SAN DIEGO AREA 16,900,00013,773,500 3,126,500Total135,350,000110,310,250 25,039,750 Attachment B: FY 2021 HSGP Timeline | 2021 DHS/FEMA Announcement of 20201HSGP February 25, 2021CalOES Application Due to DHSMay14, 2021DHS Award to CaliforniaSeptember2021Subrecipient period of performance begins September 1, 20212021HSGP California Supplement releaseSeptember 2021Subrecipient WorkshopsSeptember2021Subrecipient Awards (45 days from DHS award) November 2021Subrecipient Final Applications Due to CalOES December 31, 2021 Subrecipient period of performance ends May 31, 2024 Final Cash Requests dueto Cal OES Within twenty (20) calendar days after end of grant CalOES’s period of performance ends August 31, 2024 Attachment C: FY 2021 HSGP Application Checklist | 2021 DUNS LETPA 25% or > M&A 5% or <
Subrecipient: FIPS#: Program Representative: Financial Management Forms Workbook: Grant Award Face Sheet Authorized Body of 5 Project Ledger Planning LedgerOrganization LedgerEquipment LedgerTraining Ledger Exercise LedgerConsultant/Contractor Ledger Management & Administration Ledger Indirect Cost LedgerAuthorized Agent Sheet Attachments: Original Counter-Signed Award LetterGoverning Body Resolution (Certified) Standard Assurances (Signed Originals) FFATA Certification Lobbying Certification Subrecipient Grant Management Assessment Form Indirect Cost Rate Negotiation Agreement Personnel Cap Waiver (If Applicable) Intelligence Analyst(s) Certificates (If Applicable) UASI Only: UASI Footprint UAWG Roster State Agencies and Tribes Only: Signature Authority Form (in lieu of Governing Body Resolution) For Cal OES Use OnlyReviewed by: Date: Management Approval: Date:

10/29/21

APPROVAL AUTHORITY MEMBERSMember/Alternate Name TitleAddressPhoneE-mailPolice Chief Member- Mike MarquezPolice Chief, City of Woodlake350 N. Valencia Blvd., Woodlake, CA 93286(559) 564-3346mmarquez@Alternate-Municipal Fire Chief Member-Fire Chief, City of(559)Alternate-County Sheriff Member- Mike BoudreauxSheriffVisalia, CA 932(559)-mboudreaux@Alternate-County Fire Chief Member- Charles NormanFire Chief(559)Alternate-Division ChiefCounty Public Health Officer Member- Dr. Karen HaughtHealth Officer5957 S. Mooney Blvd.Visalia, CA 93277(559) 624-8481khaught@tulareAlternate- 20 APPROVAL AUTHORITY MEMBERSHOMELAND SECURITY GRANT PROGRAM

SYSTEM FOR AWARD MANAGEMENT (SAM) REQUIREMENTS If your agency is using HSGP grant funds to contract with anyone, you MUST verify that they are NOT debarred on the System for Award Management by checking the website: http://www.sam.gov Checks must be performed at the time of the Project Proposal, if there is a vendor change, and before payment. Locate the SEARCH RECORDS menu item. You may search by . Enter the requested information (i.e. individual, firm, or DUNS Number or CAGE Code). Click on search. The search will display the results. -and print the search results. If the search leads you to any Active Exclusion Records for that person or entity, this means they may be debarred or suspended and may NOT be eligible to receive any grant funds. Attach the search results to your reimbursement request. The printed search results are very important because the date will be printed on the report and it must be prior to the date you contract with anyone. This report must accompany your reimbursement request to be eligible for reimbursement. If the contractor is listed on the website as debarred or suspended and you use their services, you will NOT be eligible for reimbursement from Tulare County OES. Contractors are only allowed a maximum reimbursement of eight (8) hours per day.

Preparedness Grants Manual | February 2021 1
FEMA Preparedness Grants Manual FEMA Grant Programs Directorate Version 2, February 2021 Preparedness Grants Manual | February 20212
Table of ContentsTable of Contents 2About the Federal Emergency Management Agency (FEMA) 7Overview of FEMA 7Overview of Preparedness Grant Programs 7Homeland Security Grant Program (HSGP) 7Tribal Homeland Security Grant Program (THSGP) 7Nonprofit Security Grant Program (NSGP) 8Transit Security Grant Program (TSGP) 8Intercity Bus Security Grant Program (IBSGP) 8Intercity Passenger Rail (IPR) Program Amtrak 8Port Security Grant Program (PSGP) 8Emergency Management Performance Grant (EMPG) Program 8Foreword 9The National Preparedness Goal 9Pre-Award Application and Submission 10Pre-Submission Information 10Agreeing to Terms and Conditions of the Award 10Address to Request Application Package 11Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application 11Electronic Delivery 12How to Register to Apply through Grants.gov 12How to Submit an Initial Application to DHS/FEMA via Grants.gov 14Submitting the Final Application in ND Grants 16Timely Receipt Requirements and Proof of Timely Submission 16Content and Form of Application Submission 17Intergovernmental Review 17Funding Restrictions and Allowable Costs 17Award Determination and Obligation 20Allocations 20Risk Methodology 20Application Evaluation Criteria 20Supplemental Financial Integrity Review 21Review and Selection Process 21Federal Award Administration Information 21Notice of Award 21Pass-Through Requirements 22 Preparedness Grants Manual | February 20213
Administrative and National Policy Requirements 22Post-Award Management and Implementation 26Reporting 26Federal Financial Reporting Requirements 26Federal Financial Report (FFR) 26Financial Reporting Periods and Due Dates 26Program Performance Reporting Requirements 27Performance Progress Report (PPR) 27Program Performance Reporting Periods and Due Dates 27Additional Programmatic Reporting Requirements and Information 27Biannual Strategy Implementation Report (BSIR) 27Closeout Reporting Requirements 28Administrative Closeout 28Disclosing Information per 2 C.F.R. § 180.335 29Reporting of Matters Related to Recipient Integrity and Performance 29Single Audit Report 29Additional Information 30Monitoring and Oversight 30Overview 30Financial Monitoring Overview and Approach 31Programmatic Monitoring Overview and Approach 33Environmental Planning and Historic Preservation (EHP) 34Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations 34Conflicts of Interest in the Administration of Federal Awards or Subawards 35Procurement Integrity 35Important Changes to Procurement Standards in 2 C.F.R Part 200 36Competition and Conflicts of Interest 36Supply Schedules and Purchasing Programs 37Termination Provisions 39Period of Performance (POP) Extensions 39Actions to Address Noncompliance 41Audits 42Payment Information 43Disability Integration 43National Campaigns and Programs 45Whole Community Preparedness 45Active Shooter Preparedness 45Soft Targets and Crowded Places 46Community Lifelines 46Strategic Framework for Countering Terrorism and Targeted Violence 47Program Appendix A: Homeland Security Grant Program (HSGP) A-1Alignment of HSGP to the National Preparedness System A-1 Preparedness Grants Manual | February 20214
HSGP Funding Guidelines A-2Reporting on the Implementation of the National Preparedness System A-20Identifying and Assessing Risk and Estimating Capability Requirements A-20Building and Sustaining Capabilities A-21National Incident Management System (NIMS) Implementation A-21Planning to Deliver Capabilities A-22Validating Capabilities A-22Fusion Centers A-23Fusion Center Performance Measures A-25Continuity of Operations A-26Governance A-27Supplemental SHSP and UASI Guidance A-31Supplemental OPSG Program Guidance A-34OPSG Operational Guidance A-36HSGP Supplemental Material A-42Supplemental Emergency Communications Guidance A-44Program Appendix B: Tribal Homeland Security Grant Program (THSGP) B-1Alignment of THSGP to the National Preparedness System B-1THSGP Funding Guidelines B-4THSGP Priorities B-4Allowable Costs B-4THSGP Investment Modifications Changes in Scope or Objective B-12Program Appendix C: Nonprofit Security Grant Program (NSGP) C-1NSGP Funding Guidelines C-1NSGP Priorities C-1Allowable Costs C-1NSGP Investment Modifications Changes in Scope or Objective C-7Pass-Through Requirements C-8DUNS/SAM Requirements for Recipients and Subrecipients C-8Program Appendix D: Transit Security Grant Program (TSGP) D-1TSGP Funding Guidelines D-1Pre-Award Costs D-1TSGP Priorities D-1Security Plan Requirements D-1Allowable Direct Costs D-2Allowable Indirect Costs D-12Unallowable Costs D-12Maintenance and Sustainment Costs D-12Encouraged Use of Certain Products Produced in the United States D-13Program Appendix E: Intercity Bus Security Grant Program (IBSGP) E-1IBSGP Priorities E-1Pre-Award Costs E-1 Preparedness Grants Manual | February 20215
Allowable Direct Costs E-1Indirect Costs (Facilities and Administration [F&A]) E-7Unallowable Costs E-8Other Allowable Costs E-8Encouraged Use of Certain Products Produced in the United States E-9Program Appendix F: Intercity Passenger Rail (IPR) Program F-1IPR Funding Guidelines F-1IPR Priorities F-1Security Plan Requirements F-1Allowable Costs F-2Operational Activities F-2Funding Availability for OPacks F-4Specific Guidance on EDCT F-5EDCT Submission Requirements F-5Requirements for Small Unmanned Aircraft Systems F-7Cybersecurity Projects F-8Capital (Construction) Projects Guidance F-8Training and Awareness Campaigns F-9Management and Administration (M&A) F-11Indirect Costs F-12Unallowable Costs F-12Maintenance and Sustainment Costs F-12Encouraged Use of Certain Products Produced in the United States F-13Program Appendix G: Port Security Grant Program (PSGP) G-1PSGP Funding Guidelines G-1PSGP Priorities G-1Limitations on Funding G-1Allowable Direct Costs G-2Allowable Indirect Costs G-14Unallowable Costs G-14Maintenance and Sustainment Costs G-15Port-Wide Risk Management Plans G-16Sample Memorandum of Understanding/Agreement (MOU/MOA) G-16Program Appendix H: Emergency Management Performance Grant Program H-1Alignment of the EMPG Program to the National Preparedness System H-1Implementation of the National Preparedness System H-2Logistics Planning H-3Evacuation Planning H-5Disaster Housing Planning H-5State Disaster Recovery Coordinator H-7Disaster Financial Management Policies and Procedures H-7Training and Exercises H-9Reviewing and Updating Planning Products H-12 Preparedness Grants Manual | February 20216
Additional Considerations H-13Program Performance Reporting Requirements H-13EMPG Program Funding Guidelines H-15Allowable Costs H-15Planning H-15Continuity Planning H-17Organization H-17Equipment H-18Training H-19Exercises H-20Construction and Renovation H-21Acquisition of Real Property H-23Leasing of Real Property H-23Maintenance and Sustainment H-24Unallowable Costs H-24EMPG Program Work Plan H-25 Preparedness Grants Manual | February 20217
About the Federal Emergency Management Agency (FEMA)Overview of FEMAFEMA has helped people before, during, and after disasters for more than 40 years. FEMA remains committed to building and developing a culture of preparedness across the country and unifying all levels of community and government in an integrated approach to emergency management. FEMA is part of a larger team of federal agencies, state, local, tribal, and territorial (SLTT) governments, and non-governmental partners that share responsibility for emergency management and national preparedness. Those closest to impacted areas are the true first responders during any emergency or disasterfederal resources to supplement SLTT capabilities. FEMA does this by coordinating through the levels of government, meaning that states and their local political subdivisions, tribes, and territories are our primary partners. Overview of Preparedness Grant ProgramsFEMA has the statutory authority to deliver numerous disaster and non-disaster financial assistance programs in support of its mission, and that of the Department of Homeland Security, largely through grants and cooperative agreements. These programs account for a significant amount of the federal funds for which FEMA is accountable. FEMA officials are responsible and accountable for the proper administration of these funds pursuant to federal laws and regulations, Office of Management and Budget circulars, and federal appropriations law principles. FEMA has developed this Manual to provide additional direction on grant policy and implementation for the following grant programs:Homeland Security Grant Program (HSGP)The HSGP includes a suite of risk-based grants to assist SLTT efforts in preventing, preparing for, protecting against, and responding to acts of terrorism. The grants under HSGP include:State Homeland Security Program (SHSP)SHSP assists state, local, tribal, and territorial efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism.Urban Area Security Initiative (UASI)UASI assists high-threat, high-density urban areasefforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against and respond to acts of terrorism.Operation Stonegarden (OPSG) OPSG supports enhanced cooperation and coordination among Customs and Border Protection (CBP), United States Border Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies to improve overall border security. OPSG provides funding to support joint 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 own law enforcement authorities to support the border security mission and do not receive any additional authority as a result of participation in OPSG.Tribal Homeland Security Grant Program (THSGP)The THSGP provides funding directly to eligible tribes to strengthen their capacity to prevent, prepare for, protect against, and respond to potential terrorist attacks.

Preparedness Grants Manual | February 20218
Nonprofit Security Grant Program (NSGP)The NSGP provides funding for physical security enhancements and other security-related activities to nonprofit organizations that are at high risk of a terrorist attack. The NSGP also seeks to integrate the preparedness activities of nonprofit organizations with broader state and local preparedness efforts.Transit Security Grant Program (TSGP)The TSGP provides funds to eligible public transportation systems (which include intra-city bus, ferries, and all forms of passenger rail) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.Intercity Bus Security Grant Program (IBSGP)The IBSGP provides funds to eligible private operators of intercity over-the-road bus transportation systems to protect critical transportation infrastructure and travelling public from acts of terrorism, and to increase transportation infrastructure resilience.Intercity Passenger Rail (IPR) Program AmtrakThe IPR provides funds to the National Railroad Passenger Corporation (Amtrak) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.Port Security Grant Program (PSGP)The PSGP provides funding to port authorities, facility operators, and state and local agencies for activities associated with implementing Area Maritime Security Plans, facility security plans, and other port-wide risk management efforts.Emergency Management Performance Grant (EMPG) ProgramThe EMPG Program provides funds to assist state, local, tribal, and territorial emergency management agencies in obtaining the resources required for implementation of the National Preparedness System and the National Preparedness Goal of a secure and resilient nation.

Preparedness Grants Manual | February 20219
ForewordFEMA has developed thisPreparedness Grants Manualto guide applicants and grant recipients on how to manage their grants and other resources. Recipients seeking guidance on policies and procedures for managing preparedness grants should reference this Manual for further information on both program-specific information as well as overall guidance on rules and regulations that guide the proper management of FEMA grants. The National Preparedness GoalTheNational Preparedness Goal(the Goal) issecure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.See Department of Homeland Security, National Preparedness Goal, Second Edition, 1 (Sept. 2015). The Goal essentially defines what it means for all communities to be prepared collectively for the threats and hazards that pose the greatest risk to the nation. The Goal identifies 32 distinct activities, called core capabilities, needed to address the risks. The Goal organizes these core capabilities into five categories, called mission areas. Some core capabilities apply to more than one mission area. For example, the first three core capabilitiesPlanning, Public Information and Warning, and Operational Coordinationare cross-cutting capabilities, meaning they apply to each of the five mission areas. The Goaldescribes the five mission areas as follows: Prevention:Prevent, avoid or stop an imminent, threatened or actual act of terrorism. Protection:Protect our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations and way of life to thrive. Mitigation:Reduce the loss of life and property by lessening the impact of future disasters. Response:Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an incident. Recovery:Recover through a focus on the timely restoration, strengthening and revitalization of infrastructure, housing and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by an incident. The mission areas and core capabilities organize the activities and tasks performed before, during, and after disasters into a framework for achieving the goal of a secure and resilient Nation. Resilience is the desired outcome, defined in the Goal asability to adapt to changing conditions and withstand and Id.at A-2. For more information about the Goal, go to https://www.fema.gov/national-preparedness-goal.Recipients will use the National Preparedness System to build, sustain, and deliver these core capabilities. The components of the National Preparedness System are: Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at http://www.fema.gov/national-preparedness-system. Additional details regarding the National Preparedness System and how it is supported by these grant programs can be found in the program-specific appendices.

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Pre-Award Application and SubmissionPre-Submission InformationThese instructions apply to the following programs:Homeland Security Grant Program1Tribal Homeland Security Grant ProgramNonprofit Security Grant Program Transit Security Grant Program Intercity Bus Security Grant Program Intercity Passenger Rail ProgramPort Security Grant ProgramEmergency Management Performance Grant ProgramAll applications mustbe received by the established deadlineFunding Opportunity (NOFO). 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, FEMA will not review applications that are received after the deadline nor will it consider these late applications for funding.FEMA may, however, extend the application deadline on request for an applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an 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 the respective FEMA Preparedness Officer or Program Manager as soon as possible and before the application deadline.Failure to timely notify FEMA of the issue that prevented the timely filing of the application ing: prior to the application deadline and within 48 hours after the applicant became aware of the issue.For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or [email protected]. The ND Grants Service Desk is available Monday through Friday, 9:00 a.m. 6:00 p.m. ET. For programmatic or grants management questions, please contact your Preparedness Officer or Program Manager. If applicants do not know their FEMA Preparedness Officeror if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 a.m. 5:00 p.m. ET.Agreeing to Terms and Conditions of the AwardBy submitting an application, the applicant agrees to comply with the requirements of the applicable NOFO, this Manual, and the applicable appendix to this Manual, as well as the terms and conditions of its award should it receive an award. 1Under this program, these instructions apply to SHSP, UASI, and OPSG.

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Address to Request Application Package Initial applications are processed through the Grants.govportal. Final applications are completed and ND Grants System. Application forms and instructions are available on Grants.gov;hard copies of the NOFO and associated application materials are not available. To access these materials, go tohttp://www.grants.gov. In order to obtain the application package,. Enter the Assistance Listing (formerly CFDA) and/or the funding opportunity number located on the cover of ths In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice and all relevant NOFOs is (800) 462-7585. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an ApplicationApplying for an award under the programs covered by this Manual is a multi-step process and requires time to complete. Applicants are encouraged to register early. The registration process can take four or more weeks to be completed. Therefore, registration should be done with enough sufficient time to ensure it does not impact the applicants ability to meet required submission deadlines. Failure of an applicant to comply with any of the required steps in submitting an application before the deadline may disqualify thatapplication from funding consideration. In order to apply for an award, all applicants must: 1. Apply for, update, or verify their Data Universal Numbering System (DUNS) number from Dun & Bradstreet and Employer Identification Number (EIN) from the Internal Revenue Service; 2. In the application, provide a valid DUNS number, which is currently the unique entity identifier; 3. Have an account with login.gov;4. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;5. Create a Grants.gov account;6. Add a profile to a Grants.gov account;7. Establish an Authorized Organizational Representative (AOR) in Grants.gov;8. Register in ND Grants;9. Submit an initial application in Grants.gov;10.Submit the final application in ND Grants, including electronically signing applicable forms; and11. Continue to maintain an active SAM registration with current information at all timesduring which it has an active federal award or an application or plan under consideration by a federal awarding agency. Specific instructions on how to apply for, update, or verify a DUNS number or SAM registration or establish an AOR are included in the steps below for applying through Grants.gov. Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable DUNS and application, but also during the application review period and when FEMA is ready to make a federal application, expires during application review, or expires any other time before award, FEMA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

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Electronic Delivery FEMA is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. FEMA requires applicants to submit their initial applications online through Grants.gov and to submit their final applications through ND Grants. How to Register to Apply through Grants.gov 1.Instructions: Registering and applying for an award under these programs is a multi-step process and requires time to complete. Read the instructions below about registering to apply for FEMA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information. The registration process can take up to four weeks to complete.To ensure an application meets the deadline, applicants are advised to start the required steps well in advance of their submission.Organizations must have a DUNS Number, EIN, and an active SAM registration. Organizations must also have a Grants.gov account to apply for an award under these programs.Creating a Grants.gov account can be completed online in minutes, but DUNS and SAM registrations may take several weeks. Therefore, an organizations registration should be done in the required application submission deadlines. Complete organizational instructions can be found on Grants.gov.If individual applicants are eligible to apply for a grant funding opportunity, refer to https://www.grants.gov/web/grants/applicants/registration.htmlto create an account with Grants.gov.2.Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a DUNS number from Dun & Bradstreet. Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form. For more detailed instructions for obtaining a DUNS number, refer to https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html. -requested in, and assigned by, SAM.gov. This new identifier is being called the Unique Entity Identifier (UEI), or the Entity ID. Grants.gov has begun preparing for this transition by educating users about the upcoming changes and updating field labels and references to the DUNS Number (the current identifier) within the Grants.gov system. Users should continue using the DUNS Number in UEI fields until further visit https://gsa.gov/entityid.3.Obtain Employer Identification Number: In addition to having a DUNS number, all entities applying for funding must provide an EIN. The EIN can be obtained from the IRS by visiting:https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online.

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4.Create a login.gov account: Applicants must have a login.gov account in order to register with SAM or update their SAM registration. Applicants can create a login.gov account here: https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3. Applicants only have to create a login.gov account once. For applicants that are existing SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked.For more information on the login.gov requirements for SAM registration, refer to: https://www.sam.gov/SAM/pages/public/loginFAQ.jsf. 5.Register with SAM: In addition to having a DUNS number, all organizations applying online through Grants.gov must register with SAM. Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually. For more detailed instructions for registering with SAM, refer to https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html.immediate and highest-level owner, subsidiaries, and predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable. a. Additional SAM RemindersExisting SAM.gov SAM registration should be completed at the very beginning of the application period and should be renePlease allow plenty of time before the grant application submission deadline to obtain a DUNS number and then to register in SAM. It may be four weeks or more after an applicant submits the SAM registration before the registration is active in SAM, and then it may be an additional 24 hours before It is imperative that the information applicants provide is correct and current. Please ensure that ss, DUNS number, and EIN are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. registration.b. Help with SAMThe SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk at https://www.fsd.gov/fsd-gov/home.door call toll free (866) 606-8220.6.Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their or their organizations DUNS number to complete this process.

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For more information, follow the on-screen instructions or refer to https://www.grants.gov/web/grants/applicants/registration.html.7.Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e. an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to oneGrants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the DUNS Number for the organization in the DUNS field while adding a profile. For more detailed instructions about creating a profile on Grants.gov, refer to https://www.grants.gov/web/grants/applicants/registration/add-profile.html. 8.EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization request for Grants.gov roles and access are sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role. For more detailed instructions about creating a profile on Grants.gov, refer to https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html. 9.Track Role Status: To track your role request, refer to https://www.grants.gov/web/grants/applicants/registration/track-role-status.html. 10.Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC mustauthorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR. Please ensure you have been authorized by the EBiz POC as this step is often missed, and it is crucial for valid and timely submissions. How to Submit an Initial Application to DHS/FEMA via Grants.gov Standard Form 424 (SF 424) is the initial application form.Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each NOFO, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.govat leastseven days before the application deadline.In Grants.gov, applicants need to submit the following forms:SF-424, Application for Federal AssistanceGrants.gov Lobbying Form, Certification Regarding LobbyingBelow is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using a workspace, refer to: https://www.grants.gov/web/grants/applicants/workspace-overview.html Preparedness Grants Manual | February 202115

1. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting. 2. Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. 3. Adobe Reader: If you decide not to apply by filling out web forms, you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS/FEMA forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, and then accessed through Adobe Reader. NOTE: Visit the Adobe Software Compatibility page on Grants.govto download the appropriate version of the software at https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. 4. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application. 5. Complete SF-424 Fields First:The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms. 6. Submit a Workspace: An application may be submitted through workspace by clicking the recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission. 7. Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace. Additional Training and Applicant Support: For additional training resources, including video tutorials, refer to https://www.grants.gov/web/grants/applicants/applicant-training.html.Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at [email protected]. For questions related to a specific grant contact the number listed in the NOFO ofthe grant for which you are applying. If you are experiencing difficulties with your submission, it is best to call the Grants.govSupport Center and get a ticket number. The Support Center ticket number will assist FEMA with tracking your issue and understanding background information on the issue.

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Submitting the Final Application in ND Grants After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of the NOFO announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.Applicants needing assistance registering for the ND Grants system should contact [email protected] (800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please seehttps://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system.In ND Grants, applicants will be prompted to submit the standard application information required as describedbelow. The Standard Forms(SFs) are auto-generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: 1) a current employee, personnel, official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application.Further, the AOR must be a duly authorized current employee, personnel, official, staff or leadership of the recipient and provide an email address unique to the recipient at the time of application and upon any change in assignment during the period of performance. Consultants or contractors of the recipient are not permitted to be the AOR of the recipient. For program-specific application submission requirements, please refer to the applicable program NOFOand applicable appendix to this Manual.Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt, a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application.This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants.Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants system. Please allow 24 hours for your ND Grants application tracking number to migrate.All applications must be received in ND Grants by 5:00 PM ETon 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.

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Content and Form of Application Submission Standard Required Application Forms and InformationFor all programs, the following forms or information are required to be submitted in either Grants.gov or ND Grants. The SFs are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs athttps://www.grants.gov/web/grants/forms/sf-424-family.html.Grants.gov:SF-424, Application for Federal Assistance, submitted through Grants.govGrants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.govND Grants:SF-424A, Budget Information (Non-Construction),submitted via the forms generated by ND GrantsoFor 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-424ASF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND GrantsoFor construction under an award, submit: SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424BSF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND GrantsIndirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposalprogram NOFO and the section below on indirect costs for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available, or contact the relevant Preparedness Officer or Program Manager for further instructions.Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non-construction work under these programs need to submit both the construction and non-construction forms.Intergovernmental ReviewAn intergovernmental review may be required. Applicants must contact their stateContact to comply with the state.See https://www.archives.gov/federal-register/codification/executive-order/12372.html;https://www.whitehouse.gov/wp-content/uploads/2020/01/spoc_1_16_2020.pdf.Funding Restrictions and Allowable CostsAll costs charged to awards covered by this Manual must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated Preparedness Grants Manual | February 202118
in this Manual, the applicable program NOFO, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA preparedness grant awards is the same as the period of performance).Federal funds made available through these awards may be used for the purposes set forth in this Manual, the applicable program NOFO, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity. In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability principles for selected items of cost. More specifically, except as otherwise stated in the applicable program appendix to this Manual, the program NOFO, or the terms and condition of an award, costs charged to awards covered by this Manual must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award. policies, NOFOs, and requirements in this Manual as well as with the terms and conditions of the award. If FEMA staff identify costs that are inconsistent with any of these requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent with applicable laws, regulations, and policies.As part of those requirements, grant recipients and subrecipients may only use federal funds or funds applied to a cost share for the purposes set forth in this Manual, applicable NOFOs, and the terms and conditions of the award and must be consistent with the statutory authority for the award.Specific investments made in support of the funding priorities discussed in the appendices to this Manualgenerally fall into one of the following eight allowable expense categories:1. Construction2. Equipment3. Exercises4. Management & Administration (M&A)5. Organization6. Operational Activities7. Planning8. TrainingPlease refer to the relevant program-specific appendix for more information on funding restrictions, funding priorities, and these categories.Authorized Equipment ListThe Authorized Equipment List (AEL)preparedness grant programs. The intended audience of this tool is emergency managers, first responders, and other homeland security professionals. The list consists of equipment categories divided into categories, sub-categories and then individual equipment items.

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Prohibitions on Expending Grant or Cooperative Agreement Funds for Certain Telecommunications and Video Surveillance Services or EquipmentRecipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.326, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons. For additional guidance, please refer to FEMA Policy #405-143-1,Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim).

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Award Determination and ObligationAllocations Risk Methodology adverse outcome assessed as a function of hazard/threats, assets and their vulnerabilities, and consequences.See DHS Lexicon Terms and Definitions: 2017 EditionRevision 2, (Oct. 2017). The FEMA risk methodology is focused on three elements:Threat:the likelihood of an attack being attempted by an adversaryVulnerability: the likelihood that an attack is successful, given that it is attemptedConsequence:the effect of an event, incident, or occurrencePlease see the applicable appendix of this Manual for each award program for specific information on the risk methodology applied for each program.Application Evaluation Criteria Programmatic CriteriaSee the Manual appendices and relevant program NOFOs for specific information on the application criteria specific to each program.Financial Integrity CriteriaPrior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as amended by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant: i. Financial stability. ii. Quality of management systems and ability to meet management standards.iii. History of performance in managing federal award. iv. Reports and findings from audits.v. Ability to effectively implement statutory, regulatory, or other requirements.All investments selected for recommendation will also undergo an additional risk review conducted by the FEMA Grants Management Specialist to evaluate the risk for noncompliance in carrying out the federal award. Using their subject-matter expertise, the questions the FEMA Grants Management Specialist may assess include, but are not limited to:Is the applicant on any exclusion lists as identified in SAM.gov?If the applicant has received federal funding in the past, has the applicant performed all audits required by the Single Audit requirements under 2 C.F.R. Part 200, Subpart F?Has the applicant provided sufficient budget information and justification as required by the NOFO?Are the costs proposed by the applicant in the budget information and justification allowable and reasonable based on the criteria set forth in this Manual and the applicable appendix, NOFO, and regulations? Preparedness Grants Manual | February 202121
Is the budget representative of the total cost of performance of the projects?If indirect costs are included, is the applicant required to have an approved indirect cost rate agreement? If so, has the applicant provided an approved indirect cost rate agreement?Is the applicant delinquent on any federal debt? Has the applicant had substandard performance in a prior award?Is the applicant on the Do Not Pay List?Based on the outcome of this review, FEMA may determine that it will not make an award to an applicant that poses a risk of noncompliance. FEMA may also determine that it will make an award to an at-risk applicant, subject to additional terms and conditions as described in 2 C.F.R. § 200.208.Supplemental Financial Integrity Review Prior to making a federal award where the anticipated federal share will be greater than the simplified acquisition threshold, currently $250,000:FEMA is required to review and consider any information about the applicant in the designated integrity and performance system accessible through SAM, which is currently the FederalAwardee Performance and Integrity Information System(FAPIIS) and is accessible through the SAMwebsite.An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered.FEMA will consider any comments by the applicant, in addition to the other information in performance under federal awards when completing the review of risk posed by applicants, as described in 2 C.F.R. § 200.206.Review and Selection ProcessFEMA will follow all applicable statutes, rules, and requirements and will take into consideration materials accompanying the annual appropriations acts, such as the Joint Explanatory Statement, as appropriate, in reviewing and selecting recipients. Please see the applicable NOFO for the review and selection process for that program.Federal Award Administration Information Notice of Award Before accepting the award, the AOR and recipient should carefully review the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in the applicable program NOFO as well as this Manual, in addition to any special terms and conditions in the Notice of Award to receive an award under the applicable program. Notification of award approval is made through the ND Grants system through an automatic electronic mail to the authorized official listed in the initial application. The award date will be the date that FEMA approves the award. The recipient should follow the directions in the notification to confirm acceptance of the award. 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.

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Recipients must accept their awards no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the Grant Recipient User Guide. Failure to accept a grant award within the 60-day timeframe may result in a loss of funds.Pass-Through Requirements Please see the applicable NOFO and appendix to this Manual for information on pass-through requirements for that program. Administrative and National Policy Requirements All successful applicants for all FEMA grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions.The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. The specific terms and conditions that will apply for the award will be clearly stated in the award package at the time of award.Environmental Planning and Historic Preservation (EHP) Compliance As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP regulations, laws, and Executive Orders, as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, new construction including replacement of facilities, and some training activities, must participate in the FEMA EHP review process.The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties. A GPD EHP screening form and supporting documentation for preparedness projects requiring EHP review should be submitted to [email protected] some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project; otherwise, FEMA may not be able to fund the project due to noncompliance with EHP laws, Executive Orders, regulations, and policies. DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders. The GPD EHP screening form is located at https://www.fema.gov/media-library/assets/documents/90195. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1, available at https://www.fema.gov/media-library/assets/documents/85376.

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Ensuring the Protection of Civil RightsAs the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations. Federal civil rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA. The DHS Standard Terms and Conditions include a fuller list of the civil rights provisions that apply to recipients. These terms and conditions can be found in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at https://www.fema.gov/office-equal-rights. Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws are also authorized pursuant to 44 C.F.R Part 7.FirstNet The Middle Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112-96, as amended (codified in part at 47 U.S.C. §§ 1401-1473) established the First Responder Network Authority (hereinafter FirstNet Authority) as an independent authority within the National Telecommunications and Information Administration (NTIA). 47 U.S.C. § 1424(a).n is to establish a nationwide public safety broadband network (FirstNet). 47 U.S.C. § 1426(b). FirstNet uses the 700 MHz D block spectrum to provide Long-Term Evolution (LTE)-based broadband services and applications to public safety entities. 47 U.S.C. §§ 1401(2), 1421(a). FirstNet became operational in March 2018 and is based on a single, national network architecture that evolves with technological advances and consists of a physically separate evolved packet core (EPC) network and radio access networks (RANs). FirstNet provides public safety entities with mission-critical broadband data capabilities and services including, but not limited to messaging, image sharing, video streaming, group text, voice, data storage, application, location-based services, and Quality of Service, Priority, and Preemption. Public safety entities seeking to enhance their operational capabilities using broadband technology may seek grant funding from appropriate programs to support the following:Planning for integration of information technology (IT) infrastructure, software, and site upgrades necessary to connect to FirstNetHandheld broadband devices including smartphones, feature phones, tablets, wearables, push-to-talk (PTT) devicesVehicle-mounted or otherwise field operated data devices, such as ruggedized laptopsNetwork access devices, including portable Wi-Fi devices, Universal Serial Bus (USB) modems/dongles, trunk-mounted modems, routersCustomer-Owned and Managed (COAM) broadband deployable equipment, enabling public safety to own and dispatch coverage expansion or capacity enhancement equipment within their jurisdictionBroadband device accessories that enable efficient and safe public safety operations such as headsets, belt clips, earpieces, remote Bluetooth sensors, ruggedized casesSubscriber Identification Modules (SIMs)/Universal Integrated Circuit Cards (UICCs) to allow public safety users to update existing devices to operate on public safety prioritized services.

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One-time purchase and subscription-based applications for public safety use which could include, among several other options, enterprise mobility management (EMM), mobile device management (MDM), mobile Virtual Private Network (VPN), identity services, or cloud service toolsAs FirstNet is built out in all 56 states and territories and coverage and capacity for first responders expands, recipients are strongly encouraged to coordinate with the Statewide Interoperability Coordinator (SWIC) and FirstNet on the planning, deployment timelines, and operational availability of the network deployment within a specific state or territory and to ensure that project does not conflict with network planning efforts and complies with all technical requirements. FirstNet requires participating agencies to demonstrate a subscription to public safety-prioritized broadband services to purchase FirstNet broadband devices or applications. FEMA Information Bulletin (IB) #386has been rescinded by prior NOFOs and remains rescinded as the technical requirements and nationwide network architecture has been developed, and FirstNet is operational. Recipients, however, must coordinate with FirstNet in advance of any strategic acquisition of broadband LTE equipment to ensure that purchases adhere to all applicable standards for public safety entities. Recipients with questions on FirstNet should contact [email protected]. Please also refer to the most recent SAFECOM Guidance on Emergency Communications Grantsfor additional guidance.National Incident Management System (NIMS) ImplementationNIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System.The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictionsclarify the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunities. As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at 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. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support the delivery of core capabilities. Additional information on resource management, NIMS resource typing definitions, job titles, and position qualifications is available at https://www.fema.gov/emergency-managers/nims/components. Please also see the individual program appendices in this Manual for additional requirements regarding NIMS implementation for specific programs.FEMA developed the NIMS Guideline for the National Qualification Systemto describe the basic principles of standard qualification, certification, and credentialing processes. This guideline supersedes the NIMS Guideline for the Credentialing of Personnel.The National Qualification System doctrine promotes interoperability by establishing a common language for defining job titles and by enabling jurisdictions and organizations to plan for, request, and have confidence in the capabilities of personnel deployed for disasters and emergencies from other entities through mutual aid agreements and compacts. Following the concepts and processes in this Guideline will enhance national preparedness by expanding the network of qualified incident management and support personnel who can be deployed nationwide.

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State, local, tribal, territorial, and private sector partners (including nongovernmental organizations) are not required but are strongly encouraged to credential their personnel in accordance with the NIMS National Qualification System guidelines. Additional information about NIMS implementation is available at https://www.fema.gov/emergency-managers/nims/implementation-training. SAFECOM Guidance ComplianceAll entities using preparedness grant funding to support emergency communications investments are required to comply with the SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). The SAFECOM Guidance provides current information on emergency communications policies, eligible costs, best practices, and technical standards for SLTT recipients investing federal funds in emergency communications projects. It is also designed to promote and align with the National Emergency Communications Plan (NECP). Conformance with the SAFECOM Guidance helps ensurethat federally funded investments are compatible, interoperable, resilient, and support national goals and objectives for improving emergency communications. Applicants should use the SAFECOM Guidance during planning, development, and implementation of emergency communications projects and in conjunction with other planning documents (e.g., SCIPs). Specifically, Appendix D of the SAFECOM Guidance contains compliance instructions for FEMA grant recipients.Emergency communications investments also will be reviewed jointly by FEMA and the Cybersecurity and Infrastructure Security Agency (CISA) to verify compliance with SAFECOM Guidance. FEMA will coordinate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance.

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Post-Award Management and ImplementationReporting Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. Consultants or contractors are not permitted to be the AOR of the recipient. The AOR, as theAuthorized Official for the award, is responsible for submitting programmatic and financial performance reports, accepting award packages, signing assurances and certifications, and submitting award amendments.Federal Financial Reporting Requirements Federal Financial Report (FFR) Recipients must report obligations and expenditures to FEMA on a quarterly basis through the FFR form (SF-425). Recipients may review the FFR Form (SF-425) at https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1. Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS).Financial Reporting Periods and Due Dates An FFR must be submitted quarterly throughout the period of performance (POP), including partial calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within 90 days after the end of the POP. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate a lack of progress, or are insufficient in detail.Except for the final FFR due at closeout (and the last quarterly FFR) the following reporting periods and due dates apply for the FFR Reporting PeriodReport Due DateOctober 1 December 31 January 30January 1 March 31 April 30April 1 June 30July 30July 1 September 30 October 30Because of a system limitation, if at the end of the POP a recipient still has funds to draw down, PARSrequires an FFR be submitted within 30 days of the end of the POP in order to access those funds. In that case, the recipient will need to submit an FFR within 30 days of the end of the POP in addition to the final FFR within 120 days of the end of the POP. All other recipients who do not need to draw down funds after the end of the POP are only required to submit the final FFR within 120 days after the end of the POP.

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Program Performance Reporting Requirements Performance Progress Report (PPR) Recipients are responsible for providing updated performance reports on a biannual basis as an attachment in ND Grants. The PPR should include the following: A brief narrative of overall project(s) statusA summary of project expendituresA description of any potential issues that may affect project completionNote: This requirement does NOT apply to the EMPG Program, which has different performance reporting requirements. These are described in the EMPG Program Appendix in this Manual.Program Performance Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR:Reporting PeriodReport Due DateJanuary 1 June 30 July 30July 1 December 31 January 30Additional Programmatic Reporting Requirements and Information Biannual Strategy Implementation Report (BSIR)2In addition to the quarterly financial and biannual performance progress reports, recipients are responsible for completing and submitting BSIRs through the Grants Reporting Tool(GRT). The BSIR is due within 30 days after the end of the reporting period: July 30 for the reporting period of January 1 through June 30 (summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show the progress of implementation for every project as well as how expenditures support Planning, Organization, Equipment, Training, and Exercises (POETE). The first BSIR will be due by January 30, or 30 days after the end of the first reporting period of the award. Subsequent BSIR reports will require recipients to report on a project-by-project basis. Recipients also are responsible for completing and submitting a closeout BSIR. OP or the liquidation period ends in the middle of a reporting period, a regularBSIR must be submitted with full accounting of actual project information/expenditures before a Closeout BSIR can be created/submitted. The last regularBSIR is required because the Closeout BSIR does NOT contain full functionality to edit any project information/expenditures. Once the last regularBSIR is approved by GPD, the Closeout BSIR can be created/submitted. Please contact your HQ Preparedness Officer for guidance on the information required for the Closeout BSIR.2BSIR requirements are applicable to the following grant programs: HSGP (SHSP, UASI, and OPSG), THSGP, EMPG, and NSGP.

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Closeout Reporting RequirementsWithin 120 days after the end of the POP for the prime award or after an amendment has been issued to close out an award before the original POP ends, whichever occurs first, recipients must liquidate all financial obligations and submit the following documentation in ND Grants: 1. The final request for payment, if applicable;2. The final FFR (SF-425);3. The final PPR;4. A qualitative narrative summary of the impact of those accomplishments throughout the entire POP submitted to the respective FEMA Preparedness Officer; and5. Other documents required by program guidance, NOFOs, appendices to this Manual, terms and conditions of the award, or other FEMA guidance.In addition, any recipient that issues subawards to any subrecipient is responsible for closing out those subawards as described in 2 C.F.R. § 200.344; subrecipients are still required to submit closeout materials within 90 days of the subaward POP end date. When a subrecipient completes all closeout requirements, pass-through entities must promptly complete all closeout actions for subawards in time for the recipient to submit all necessary documentation and information to FEMA during the closeout of their prime award.After the prime award closeout reports have been reviewed and approved by FEMA, a closeout notice will be completed to close out the grant. The notice will indicate the POP as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the award records for at leastthree years from the date of the final FFR. The record retention period may be longer than three years due to an audit, litigation, for equipment or real property used beyond the period of performance or other circumstances outlined in 2 C.F.R. § 200.334. Recipients are responsible for refunding to FEMA any unobligated cash that FEMA paid that are not authorized to be retained per 2 C.F.R. § 200.344(d). Administrative CloseoutAdministrative closeout is a mechanism for FEMA to unilaterally move forward with closeout of anaward using available award information in lieu of final reports from the recipient per 2 C.F.R. § 200.344(h)-(i). It is a last resort available to FEMA, and if FEMA needs to administratively close an . This mechanism can also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the information it has, which may result in identifying a debt owed to FEMA by the recipient.complete the standard closeout process, FEMA is required under 2 C.F.R. § 200.344(h) to start the administrative closeout process within the regulatory timeframe. FEMA will make at least three written attempts to collect required reports before initiating administrative closeout. If the recipient does not submit all required reports in accordance with 2 C.F.R. § 200.344, the relevant program NOFO, this Manual, and the terms and conditions of the award, FEMA must proceed to administratively close the award with the information available within one year of the POP end date. Additionally, if the recipient does not submit all required reports within one year of the POP end date, per 2 C.F.R. § 200.344(i), the award.

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If FEMA administratively closes an award where no final FFR has been submitted, FEMA uses thatadministrative closeout date in lieu of the final FFR submission date as the start of the three-year record retention period under 2 C.F.R. § 200.334.In addition, if an award is administratively closed, FEMA may decide to impose remedies for noncompliance per 2 C.F.R. § 200.339, consider this information in reviewing future award applications, or apply special conditions to existing or future awards.Disclosing Information per 2 C.F.R. § 180.335 This reporting requirement pertains to disclosing information related to government-wide suspension and debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must notify FEMA if it knows if it or of the four criteria listed at 2 C.F.R. § 180.335:Are presently excluded or disqualified;Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. §180.800(a) or had a civil judgment rendered against it or for one of those offenses within that time period; Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or Have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350.Reporting of Matters Related to Recipient Integrity and PerformancePer 2 C.F.R. Part 200, Appendix I § F.3, the additional post-award reporting requirements in 2 C.F.R. Part 200, Appendix XII may apply to applicants who, if upon becoming recipients, have a total value of currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies that exceeds $10,000,000 for any period of time during the period of performance of an award under these funding opportunities. Recipients that meet these criteria must maintain current information reported in FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting frequency described in paragraph 4 of Appendix XII.Single Audit Report For fiscal years beginning on or after December 26, 2014, recipients that expend $750,000.00 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report, also known as asingle auditreport. The audit must be performed in accordance with the requirements of Government and Accountability https://www.gao.gov/yellowbook/overview, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/text-idx?node=sp2.1.200.f.

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Additional Information Monitoring and OversightOverviewPer 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 and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-must respond in a timely and accurate manner to FEMA requests for information relating to the award.Effective monitoring and oversight help FEMA ensure that recipients use grant funds for their intended purpose(s), verify that projects undertaken are consistent with approved plans, and ensure that recipients make adequate progress towards stated goals and objectives. Additionally, monitoring serves as the primary mechanism to ensure that recipients comply with applicable laws, rules, regulations, program guidance, and requirements. FEMA regularly monitors all grant programs both financially and programmatically in accordance with federal laws, regulations (including 2 C.F.R. Part 200), program guidance, and the terms and conditions of the award. All monitoring efforts ultimately serve to evaluate progress towards grant goals and proactively target and address issues that may threaten grant success during the period of performance. FEMA staff will periodically monitor recipients to ensure that administrative processes, policies and procedures, budgets, and other related award criteria are meeting Federal Government-wide and FEMA regulations. Aside from reviewing quarterly financial and programmatic reports, FEMA may also conduct enhanced monitoring through desk-based reviews, onsite monitoring visits, or both. Enhanced monitoring will involve the review and analysis of financial compliance and administrative processes, policies, activities, and other attributes of each federal assistance award, and it will identify areas where the recipient may need technical assistance, corrective actions, or other supportmonitoring strategy that function together to ensure effective grants management, accountability, and transparency; validate progress against grant and program goals; and safeguard federal funds against fraud, waste, and abuse. Financial monitoring primarily focuses on statutory and regulatory compliancewith administrative grant requirements, while programmatic monitoring seeks to validate and assist in grant progress, targeting issues that may be hindering project goals and ensuring compliance with the purpose of the grant and grant program. Both monitoring processes are similar in that they feature initial reviews of all open awards, and in-depth monitoring of grants requiring additional attention.Recipients and subrecipients who are pass-through entities are responsible for monitoring their subrecipients in a manner consistent with the terms of the federal award at 2 C.F.R. Part 200, including 2 C.F.R. § 200.332. This includes the pass-subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved.

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In terms of overall award management, recipient and subrecipient responsibilities include, but are not limited to: accounting of receipts and expenditures, cash management, maintaining adequate financial records, reporting and refunding expenditures disallowed by audits, monitoring if acting as a pass-through entity, other assessments and reviews, and ensuring overall compliance with the terms and conditions of the award or subaward, as applicable, including the terms of 2 C.F.R. Part 200.Financial Monitoring Overview and ApproachFEapproach to financial monitoring provides a standard monitoring framework that promotes consistent processes across all monitoring staff. There are four core components of the monitoring process: 1.Monitoring Assessment: of pre-determined evaluation criteria. The criteria help assess the recipient and potential challenges to the success of the grant award. 2.Monitoring Selection and Scheduling:Monitoring staff make selection and scheduling decisions in accordance with applicable statutory requirements, such as theHomeland Security Act of 2002, as amended (hereafter HSA), and consider the results of the monitoring assessment process. 3.Monitoring Activities: Monitoring activities include cash analysis, desk reviews, and site visits. Grants Management Specialists are responsible for conducting quarterly or semi-annual reviews of all grants via cash analysis. Desk reviews and site visits are additional monitoring activities conducted on grants where the monitoring assessment process identified the need for additional monitoring and validated the use of FEMA resources for these activities. 4.Post-Monitoring Actions: Monitoring staff may follow up with recipients via post-monitoring actions based on the outcomes of monitoring activities. Post-monitoring actions include conducting additional monitoring; reviewing Corrective Action Plans (CAP) and monitoring the progress of CAP deliverables; documenting the resolution of identified corrective actions and issues; providing technical assistance and recipient training; and debt collection.In addition to the monitoring guidance outlined above, section 2022(a)(2)(A) of the HSA mandates the frequency of monitoring activities for applicable preparedness grants. The applicable section of the HSA reads as follows: Not less than once every 2 years, the Administrator shall conduct, for each state and high-risk urban area receiving a grant administered by the Department, a programmatic and financial review of all grants awarded by the Department to prevent, prepare for, protect against, or respond to natural disasters, acts of terrorism, or other man-made disasters, excluding assistance provided under section 203, title IV, or title V of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5133, 5170 et seq., and 5191 et seq.).The following preparedness grant programs covered by this Manual are subject to HSA monitoring requirements:EMPGHSGPoSHSPoUASI Preparedness Grants Manual | February 202132
oOPSGNSGPTSGPPSGPStandard Monitoring Activity: Cash Analysis Through cash analysis, a Grants Management Specialist assesses and reports-on-hand, expenditures, and unliquidated obligations; gauges potential cost share shortfalls; cash on hand issues; and spend down activities within the POP. The analysis reconciles and compares grant disbursement records with the recipient-submitted FFR. This process identifies recipients that may require additional monitoring due to issues identified with drawdowns or FFR submissions. Enhanced Monitoring Activities: Desk Review, Site Visit Desk reviews and site visits are two forms of additional monitoring that FEMA conducts on a recipient. Table 1 defines the key differences and similarities. Table 1 - Enhanced Financial Monitoring Activities (Desk Review and Site Visit)AttributeDesk ReviewSite VisitLocation/ LogisticsA detailed, paper-based review and evaluation conducted at a FEMA office. Desk reviews do not require travel.A visit by FEMA grants management staff conducted at the site of the operations and/or selected performance sites. Site visits may require travel.Materials ReviewedRequired reports, correspondence, and other documentation, including policies and procedures, to substantiate compliance. Additional documentation available remotely may include information available through the grant file, financial reports, interviews, and other documentation and correspondence to verify compliance.Includes documents listed under the desk review in addition to all applicable documents and required reports necessary to assess recipient capability and progress, validate records, and substantiate compliance with laws, regulations, and policies.Goal of Monitoring Activityreview monitoring activities are, as applicable, to:Review grant files to verify compliance, conduct interviews to confirm adherence to approved program plans, and confirm equipment acquisition, allowable use, and inventory controls;Document that recipient institutions possess adequate internal controls, policies, processes, and systems to manage FEMA grants effectively;Assist the recipient with the grant process and provide guidance to monitoring activities are, as applicable, to:Review grant files to verify compliance, conduct interviews to confirm adherence to approved program plans, and confirm equipment acquisition, allowable use, and inventory controls;Document that recipient institutions possess adequate internal controls, policies, processes, and systems to manage FEMA grants effectively;Assist the recipient with the grant process and provide guidance to improve recipient administrative efficiencies; Preparedness Grants Manual | February 202133
AttributeDesk ReviewSite Visitimprove recipient administrative efficiencies;Identify and analyze relevant problems that might prevent the program from achieving its internal and external objectives; andProvide technical assistance.Identify and analyze relevant problems that might prevent the program from achieving its internal and external objectives; andProvide technical assistance.Programmatic Monitoring Overview and Approach Programmatic monitoring involves oversight throughout the award lifecycle in order for FEMA to verify that programs and projects undertaken by recipients are consistent with approved plans and comply with applicable laws, regulations, program guidance, and the terms and conditions of the award. monitoring approach complies with the monitoring requirements described in section 2022 of the HSA. Programmatic monitoring also plays an important role in ensuring that FEMA preparedness grant funding builds and sustains capabilities at the SLTT levels that advance the National Preparedness Goal. Programmatic monitoring also is an opportunity for FEMA staff to build relationships with recipients and to work collaboratively to identify and mitigate factors that may impede programmatic performance. Programs covered by this Manual that are included in the programmatic monitoring approach are listed below, including the programs subject to section 2022 of the HSA and three additional programs (THSGP, IPR, and IBSGP):EMPGHSGPoSHSPoUASIoOPSGTHSGPNSGPPSGPTSGPIBSGPIPRFEMA uses a risk- and project-based programmatic monitoring framework for its preparedness grant programs that is designed for data-driven grants management and which interacts seamlessly with other aspects of the grant lifecycle. FEMA uses monitoring as a vehicle to validate data previously self-reported by recipients in applications and reporting tools. FEMA does not utilize monitoring as a data collection tool in and of itself. By specializing monitoring in this way, FEMA avoids duplicative data collection, targets its resources more effectively, and provides stronger and more proactive technical assistance to its recipients. The framework also comprehensively documents grant management decisions for resource allocation. This programmatic monitoring approach establishes baseline monitoring of all open awards across the FEMA preparedness grant portfolio using a First Line Review (FLR). The FLR identifies recipients and Preparedness Grants Manual | February 202134
awards with a high potential for noncompliance with regulations or failure to meet project objectives. The FLR uses quantifiable measures (criteria) to prioritize and rank recipients and awards according to identified risks that threaten the success of FEMAprioritization process determine which high-risk recipients and awards will receive advanced monitoring. Post-monitoring actions document and communicate findings and recommendations for resolution to the recipients and FEMA leadership and allow for increasingly cohesive programmatic and financial monitoring processes. Environmental Planning and Historic Preservation (EHP)As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP laws, Executive Orders, regulations, and policies, as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process.The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties. In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. Federal law requires EHP review to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders, regulations, and policies.DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders. The GPD EHP screening form is located at https://www.fema.gov/media-library/assets/documents/90195. Additionally, all preparedness grants recipients are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1, available at https://www.fema.gov/media-library/assets/documents/85376.Please refer to the program appendices for additional program-specific EHP requirements and information.Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations Analyzing the use of grant-funded investments in real-world incidents will improve the ability of FEMA and its SLTT partners to assess the effectiveness of these investments and to better understand how grant funds support improvements in nationwide capability levels. Currently, FEMA conducts case studies with a limited number of grant recipients each year to explore how jurisdictions prioritize grant investments based on risk and capability assessments and the ways specific investments improve SLTT preparedness(https://www.fema.gov/grants/preparedness/about/case-studies). By accepting the award, the recipient agrees to participate in a case study or evaluation if requested.

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Conflicts of Interest in the Administration of Federal Awards or Subawards For conflicts of interest under grant-funded procurements and contracts, refer to the section on Procurement Integrity in the applicable NOFO, this Manual, and 2 C.F.R. §§ 200.317 200.327. To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients and pass-through entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when making subawards. Recipients and pass-through entities are also required to follow any applicable federal or SLTT statutes or regulations governing conflicts of interest in the making of subawards. The recipient or pass-through entity must disclose to the respective Preparedness Officer or Program Manager, in writing, any real or potential conflict of interest that may arise during the administration of the federal award, as defined by the federal or SLTT statutes or regulations or their own existing policies,within five days of learning of the conflict of interest. Similarly, subrecipients, whether acting as subrecipients or as pass-through entities, must disclose any real or potential conflict of interest to the recipient or next-level pass-through entity as required by the recipient or pass-through entityinterest policies, or any applicable federal or SLTT statutes or regulations.Conflicts of interest may arise during the process of FEMA making a federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employees. Procurement Integrity Through audits conducted by the DHS Office of Inspector General (OIG) and FEMA grant monitoring, findings have shown that some FEMA recipients have not fully adhered to the proper procurement requirements when spending grant funds. Anything less than full compliance with federal procurement requirements jeopardizes the integrity of the grant as well as the grant program. To assist with determining whether an action is a procurement or instead a subaward, please consult 2 C.F.R § 200.331.The below highlights the federal procurement requirements for FEMA recipients when procuring goods and services with federal grant funds. FEMApart of the normal monitoring activities. All procurement activity must be conducted in accordance with federal procurement standards at 2 C.F.R. §§ 200.317 200.327. Select requirements under these standards are listed below. The recipient and any of its subrecipients must comply with all requirements, even if they are not listed below. Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states (including territories) must follow the same policies and procedures they use for procurements from their non-federalfunds; additionally, states must now follow 2 C.F.R. § 200.321 regarding socioeconomic steps, § 200.322 regarding domestic preferences for procurements, § 200.323 regarding procurement of recovered materials, and § 200.327 regarding required contract provisions. All other non-federal entities, such as tribes (collectively, non-state entities), must have and use their own documented procurement procedures that reflect applicable SLTT laws and regulations, provided that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200.

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These standards include, but are not limited to, providing for full and open competition consistent with the standards of 2 C.F.R. § 200.319 and § 200.320. Important Changes to Procurement Standards in 2 C.F.R Part 200OMB recently updated various parts of Title 2 of the Code of Federal Regulations, among them, the procurement standards. States are now required to follow the socioeconomic steps in soliciting small and All non-federal entities should also, to the greatest extent practicable under a federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States per 2 C.F.R. § 200.322. The recognized procurement methods in 2 C.F.R. § 200.320 have been reorganized into informal procurement methods, which include micro-purchases and small purchases; formal procurement methods, which include sealed bidding and competitive proposals; and noncompetitive procurements. The federal micro-purchase threshold is currently $10,000, and non-state entities may use a lower threshold when using micro-purchase procedures under a FEMA award. If a non-state entity wants to use a micro-purchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. § 200.320(a)(1)(iii)-(iv). The federal simplified acquisition threshold is currently $250,000, and a non-state entity may use a lower threshold but may not exceed the federal threshold when using small purchase procedures under a FEMA award. See 2 C.F.R. §§ 200.216, 200.471, and Appendix II as well as FEMA Policy #405-143-1, the relevant program NOFO, and this Manual regarding prohibitions on covered telecommunications equipment or services.Competition and Conflicts of Interest Among the requirements of 2 C.F.R. § 200.319(b) applicable to all non-federal entities other than states, in order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing for such procurements. FEMA considers these actions to be an organizational conflict of interest and interprets this restriction as applying to contractors that help a non-federal entity develop its grant application, project plans, or project budget. This prohibition also applies to the use of former employees to manage the grant or carry out a contract when those former employees worked on such activities while they were employees of the non-federalentity. Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both development and execution of specifications (or similar elements as described above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 200.327, federal funds cannot be used to pay a contractor to carry out the work if that contractor also worked on the development of those specifications. This rule applies to all contracts funded with federal grant funds, including pre-award costs, such as grant writer fees, as well as post-award costs, such as grant management fees. Some of the situations considered to be restrictive of competition include but are not limited to:Placing unreasonable requirements on firms in order for them to qualify to do business;Requiring unnecessary experience and excessive bonding;Noncompetitive pricing practices between firms or between affiliated companies;Noncompetitive contracts to consultants that are on retainer contracts;Organizational conflicts of interest; Preparedness Grants Manual | February 202137
describing the performance or other relevant requirements of the procurement; andAny arbitrary action in the procurement process.Per 2 C.F.R. § 200.319(c), non-federal entities other than states must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed SLTT geographical preferences in the evaluation of bids or proposals, except in those cases where applicable federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering services, geographic location may be a selection criterion provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.Under 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written standards of conduct covering conflicts of interest and governing the actions of their employees engaged in the selection, award, and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a federal award if he or she has a real or apparent conflict of interest.Such conflicts of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization thatemploys or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the non-federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-federalentities may set standards for situations in which the financial interest is not substantial, or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-federal entity. If the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary organization that is not a state, local, tribal, or territorial government, the non-federal entity must also maintain written standards of conduct covering organizational conflicts of interest. In this context, organizational conflict of interest means that because of a relationship with a parent company, affiliate, or subsidiary organization, the non-federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. 2 C.F.R. § 200.318(c)(2). The non-federal entity must disclose in writing any potential conflicts of interest to FEMA or the pass-through entity in accordance with applicable FEMA policy. Supply Schedules and Purchasing ProgramsGenerally, a non-federal entity may seek to procure goods or services from a federal supply schedule, state supply schedule, or group purchasing agreement. General Services Administration SchedulesStates, tribes, and local governments, and any instrumentality thereof (such as local education agencies or institutions of higher education) may procure goods and services from a General Services Administration (GSA) schedule. GSA offers multiple efficient and effective procurement programs for state, tribal, and local governments, and instrumentalities thereof, to purchase products and services directly from pre-vetted contractors. The GSA Schedules (also referred to as the Multiple Award Schedules and the FederalSupply Schedules) are long-term government-wide contracts with commercial firms that provide access to millions of commercial products and services at volume discount pricing.Information about GSA programs for states, tribes, and local governments, and instrumentalities thereof,can be found at https://www.gsa.gov/resources-for/programs-for-State-and-local-governmentsand Preparedness Grants Manual | February 202138
https://www.gsa.gov/buying-selling/purchasing-programs/gsa-schedules/schedule-buyers/state-and-local-governments. For tribes, local governments, and their instrumentalities that purchase off of a GSA schedule, this will satisfy the federal requirements for full and open competition provided that the recipient follows the GSA ordering procedures; however, tribes, local governments, and their instrumentalities will still need to follow the other rules under 2 C.F.R. §§ 200.317 200.327, such as solicitation of minority businesses, women, small businesses, or labor surplus area firms (§ 200.321), domestic preferences (§ 200.322), contract cost and price (§ 200.324), and required contract provisions (§ 200.327 and Appendix II). Other Supply Schedules and ProgramsFor non-federal entities other than states, such as tribes, local governments, and nonprofits, that want to procure goods or services from a state supply schedule, cooperative purchasing program, or other similar program, in order for such procurements to be permissible under federal requirements, the following must be true: The procurement of the original contract or purchasing schedule and its use by the non-federal entity complies with state and local law, regulations, and written procurement procedures;The state or other entity that originally procured the original contract or purchasing schedule entered into the contract or schedule with the express purpose of making it available to the non-federal entity and other similar types of entities;The contract or purchasing schedule specifically allows for such use, and the work to be performed for the non-federal entity falls within the scope of work under the contract as to type, amount, and geography;The procurement of the original contract or purchasing schedule complied with all the procurement standards applicable to a non-federal entity other than states under at 2 C.F.R. §§200.317 200.327; andWith respect to the use of a purchasing schedule, the non-federal entity must follow ordering procedures that adhere to applicable state, tribal, and local laws and regulations and the minimum requirements of full and open competition under 2 C.F.R. Part 200.If a non-federal entity other than a state seeks to use a state supply schedule, cooperative purchasing program, or other similar type of arrangement, FEMA recommends the recipient discuss the procurement plans with its FEMA Preparedness Officer or Program Manager.Procurement Documentation Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price. States and territories are encouraged to maintain and retain this information as well and are reminded that in order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).Examples of the types of documents that would cover this information include but are not limited to:Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;Responses to solicitations, such as quotes, bids, or proposals;Pre-solicitation independent cost estimates and post-solicitation cost/price analyses on file for review by federal personnel, if applicable; Preparedness Grants Manual | February 202139
Contract documents and amendments, including required contract provisions; andOther documents required by federal regulations applicable at the time a grant is awarded to a recipient.Termination ProvisionsFEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards.1.Noncompliance. If an applicant fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non-responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the comply with the award terms and conditions.2.With the Consent of the Recipient. FEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated.3.Notification by the Recipient. The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the awardPeriod of Performance (POP) Extensions Extensions to the POP for programs addressed in this Manual are allowed under limited circumstances. Extensions to the initial POP identified in the award will only be considered through formal, written Preparedness Officer or Program Manager and must contain specific and compelling justifications as to why an extension is required. Recipients are advised to coordinate with the FEMA Preparedness Officer or Program Manager as needed when preparing an extension request. All extension requests must address the following: 1. The grant program, fiscal year, and award number;2. Reason for the delayincluding details of the legal, policy, or operational challenges that prevent the final outlay of awarded funds by the deadline;3. Current status of the activity(is);4. Approved POP termination date and new project completion date;5. Amount of funds drawn down to date;6. Remaining available funds, both federal and, if applicable, non-federal; Preparedness Grants Manual | February 202140

7. Budget outlining how remaining federal and, if applicable, non-federal funds will be expended;8. Plan for completion, including milestones and timeframes for achieving each milestone and the position or person responsible for implementing the plan for completion; and9. Certification that the activity(ies) will be completed within the extended POP without any modification to the original statement of work, as described in the investment justification and as approved by FEMA.Extension requests will be granted only due to compelling legal, policy, or operational challenges. Extension requests will only be considered for the following reasons: Contractual commitments by the recipient or subrecipient with vendors prevent completion of the project within the existing POP;The project must undergo a complex environmental review that cannot be completedwithin the existing POP;Projects are long-term by design, and therefore acceleration would compromise core programmatic goals; orWhere other special or extenuating circumstances exist.Recipients should submit all proposed extension requests to FEMA for review and approval at least 120days prior to the end of the POP to allow sufficient processing time. Extensions are typically granted for no more than a six-month period. Recipients are advised to coordinate with the FEMA Preparedness Officer as needed when preparing an extension request.Records RetentionRecord Retention PeriodFinancial records, supporting documents, statistical records, and all other non-federal entity records pertinent to a federal award generally must be maintained for at least three years from the date the final FFR is submitted. See2 C.F.R. § 200.334. Further, if the recipient does not submit a final FFR and the award is administratively closed, FEMA uses the date of administrative closeout as the start of the general record retention period.The record retention period may be longer than three years or have a different start datein certain cases. These include:Records for real property and equipment acquired with federal funds must be retained for threeyears after final disposition of the property. See 2 C.F.R. § 200.334(c). If any litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained untilall litigation, claims, or audit findings involving the records have been resolved and final action taken. See 2 C.F.R. § 200.334(a). The record retention period will be extended if the recipient is notified in writingof the extension by FEMA, the cognizant or oversight agency for audit, or the cognizant agency for indirect costs. See 2 C.F.R. § 200.334(b). Where FEMA requires recipients to report program income after the period of performance ends, the program income record retention period begins at in which program income is earned. See2 C.F.R. § 200.334(e). For indirect cost rate proposals, cost allocation plans, or other rate computations records, the start of the record retention period depends on whether the indirect cost rate documents were submitted for negotiation. If the indirect cost rate documents were submitted for negotiation, Preparedness Grants Manual | February 202141
the record retention period begins from the date those documents were submittedfor negotiation. If indirect cost rate documents were not submitted for negotiation, the record covered by that indirect cost rate.See 2 C.F.R. § 200.334(f).Types of Records to RetainFEMA requires that non-federal entities maintain the following documentation for federally funded purchases: Specifications Solicitations Competitive quotes or proposals Basis for selection decisions Purchase orders Contracts Invoices Cancelled checks Non-federal entities should keep detailed records of all transactions involving the grant. FEMA may at any time request copies of any relevant documentation and records, including purchasing documentation along with copies of cancelled checks for verification. See, e.g., 2 C.F.R. §§ 200.318(i), 200.334,200.337.In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Non-federal entities who fail to fully document all purchases may find their expenditures questioned andsubsequently disallowed.Actions to Address Noncompliance Non-federal entities receiving financial assistance from FEMA are required to comply with requirements in the terms and conditions of their awards or subawards, including the terms set forth in applicable federal statutes, regulations, NOFOs, policies, and this Manual. Throughout the award lifecycle or even after an award has been closed, FEMA or the pass-through entity may discover potential or actual noncompliance on the part of a recipient or subrecipient. This potential or actual noncompliance may be discovered through routine monitoring, audits, closeout, or reporting from various sources.In the case of any potential or actual noncompliance, FEMA may place special conditions on an award per 2 C.F.R. §§ 200.208 and 200.339, FEMA may place a hold on funds until the matter is corrected, or additional information is provided per 2 C.F.R. § 200.339, or it may do both. Similar remedies for noncompliance with certain federal civil rights laws are authorized pursuant to 44 C.F.R Parts 7 and 19.In the event the noncompliance is not able to be corrected by imposing additional conditions or the recipient or subrecipient refuses to correct the matter, FEMA might take other remedies allowed under 2 C.F.R. § 200.339. These remedies include actions to disallow costs, recover funds, wholly or partly suspend or terminate the award, initiate suspension and debarment proceedings, withhold further federalawards, or take other remedies that may be legally available. For further information on termination due to noncompliance, see the section on Termination Provisions in the relevant NOFO.FEMA may discover and take action on noncompliance even after an award has been closed. The as the Preparedness Grants Manual | February 202142
action to disallow costs takes place during the record retention period.See 2 C.F.R. §§ 200.334, 200.345(a). Closeout also does not affect the obligation of the non-federal entity to return any funds due as a result of later refunds, corrections, or other transactions. See 2 C.F.R. § 200.345(a)(2).The types of funds FEMA might attempt to recover include, but are not limited to, improper payments, cost share reimbursements, program income, interest earned on advance payments, or equipment disposition amounts. FEMA may seek to recover disallowed costs through a Notice of Potential Debt Letter, a Remedy Notification, or other letter. The document will describe the potential amount owed, the reason why how the amount can be paid, and the consequences for not appealing or paying the amount by the deadline. If the recipient neither appeals nor pays the amount by the deadline, the amount owed will become final. Potential consequences if the debt is not paid in full or otherwise resolved by the deadline include the assessment of interest, administrative fees, and penalty charges; administratively offsetting the debt against other payable federal funds; and transferring the debt to the U.S. Department of the Treasury for collection.FEMA notes the following common areas of noncompliance for the preparedness grant programs:Insufficient documentation and lack of record retention.Failure to follow the procurement under grants requirements.Failure to submit closeout documents in a timely manner.Failure to follow EHP requirements.Failure to comply with the POP deadline.AuditsFEMA grant recipients are subject to audit oversight from multiple entities including the DHS OIG, the GAO, the pass-through entity, or independent auditing firms for single audits, and may cover activities and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the pass-through entity (if applicable), and FEMA in its oversight capacity, must have access to records pertaining to the FEMA award. Recipients and subrecipients must retain award documents for at least three years from the date the final FFR is submitted, and even longer in many cases subject to the requirements of 2 C.F.R. § 200.334. In the case of administrative closeout, documents must be retained for at least three years from the date of closeout, or longer subject to the requirements of 2 C.F.R. § 200.334. If documents are retained longer than the required retention period, the DHS OIG, the GAO, and the pass-through entity, as well as FEMA in its oversight capacity, have the right to access these records as well. See 2 C.F.R. §§ 200.334, 200.337.Additionally, non-federal entities must comply with the single audit requirements at 2 C.F.R. Part 200, Subpart F. Specifically, non-federal entities, other than for-profit subrecipients, that expend $750,000 or more in federal awards during their fiscal year must have a single or program-specific audit conducted for that year in accordance with Subpart F. 2 C.F.R. § 200.501. A single audit covers all federal funds expended during a fiscal year, not just FEMA funds. The cost of audit services may be allowable per 2 C.F.R. § 200.425, but non-federal entities must select auditors in accordance with 2 C.F.R. § 200.509, including following the proper procurement procedures. For additional information on single audit reporting requirements, see Preparedness Grants Manual | February 202143
The objectives of single audits are to: Determine if financial statements conform to generally accepted accounting principles (GAAP);Determine whether the schedule of expenditures of federal awards is presented fairly;Understand, assess, and test the adequacy of internal controls for compliance with majorprograms; andDetermine if the entity complied with applicable laws, regulations, and contracts or grants.For single audits, the auditee is required to prepare financial statements reflecting its financial position, a schedule of federal award expenditures, and a summary of the status of prior audit findings and questioned costs. The auditee also is required to follow up and take appropriate corrective actions on new and previously issued but not yet addressed audit findings. The auditee must prepare a corrective action plan to address the new audit findings.See 2 C.F.R. §§ 200.508, 200.510, 200.511.Non-federal entities must have an audit conducted, either single or program-specific, of their financial statements and federal expenditures annually or biennially pursuant to 2 C.F.R. § 200.504. Non-federal entities must also follow the information submission requirements of 2 C.F.R. § 200.512, including submitting the audit information to the Federal Audit Clearinghousewithin the earlier of 30 calendar days information to be submitted include the data collection form described at 2 C.F.R. § 200.512(c) and Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(b). The non-federal entity must retain one copy of the data collection form and one copy of the reporting package for three years from the date of submission to the Federal Audit Clearinghouse. 2 C.F.R. § 200.512; see also 2 C.F.R. § 200.517 (setting requirements for retention of documents by the auditor and access to audit records).FEMA, the DHS OIG, the GAO, and the pass-through entity (if applicable), as part of monitoring or as part of an audit, may review a non-federal In cases of continued inability or unwillingness to have an audit conducted in compliance with 2 C.F.R. Part 200, Subpart F, FEMA and the pass-through entity, if applicable, are required to take appropriate remedial action under 2 C.F.R. § 200.339 for noncompliance, pursuant to 2 C.F.R. § 200.505.Payment InformationFEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. Toenroll in the DD/EFT, the recipient must complete the SF-119A, Direct Deposit Form.FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. For additional information, refer to https://isource.fema.gov/sf269/execute/LogIn?sawContentMessage=true.Disability IntegrationPursuant to Section 504 of the Rehabilitation Act of 1973, recipients of FEMA financial assistance must ensure that their programs and activities do not discriminate against other qualified individuals with disabilities.Preparedness grant recipients should engage with the whole community to advance individual and community preparedness and to work as a nation to build and sustain resilience. In doing so, recipients Preparedness Grants Manual | February 202144
are encouraged to consider the needs of individuals with disabilities into the activities and projects funded by the grant. FEMA expects that the integration of the needs of people with disabilities will occur at all levels,including planning; alerting, notification, and public outreach; training; purchasing of equipment and supplies; protective action implementation; and exercises/drills. The following are examples that demonstrate the integration of the needs of people with disabilities in carrying out FEMA awards:Include representatives of organizations that work with/for people with disabilities on planning committees, work groups and other bodies engaged in development and implementation of the grant programs and activities.Hold all activities related to the grant in locations that are accessible to persons with physical disabilities to the extent practicable. Acquire language translation services, including American Sign Language, that provide public information across the community and in shelters.Ensure shelter-Guidance on Planning for Integration of Functional Needs Support Services in General Population Shelters.If making alterations to an existing building to a primary function area utilizing federal funds, complying with the most recent codes and standards and making path of travel to the primary function area accessible to the greatest extent possible.Implement specific procedures used by public transportation agencies that include evacuation and passenger communication plans and measures for individuals with disabilities. Identify, create, and deliver training to address any training gaps specifically aimed toward whole-community preparedness. Include and interact with individuals with disabilities, aligning with the designated program capability. Establish best practices in inclusive planning and preparedness that consider physical access, language access, and information access. Examples of effective communication access include providing auxiliary aids and services such sign language interpreters, Computer Aided Real-time Translation (CART), and materials in Braille or alternate formats. FEMA grant recipients can fund projects towards the resiliency of the whole community, including people with disabilities, such as training, outreach, and safety campaigns, provided that the project aligns with the applicable NOFO, this Manual, applicable appendix to this Manual, and the terms and conditions of the award. For specific guidelines on funding a disability inclusive project, please refer to the program-specific appendix in this Manual.

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National Campaigns and Programs Preparedness grant funding can generally be used to support the following campaigns and programs that have been developed by or in partnership with DHS or FEMA. Whole Community PreparednessPreparedness is a shared responsibility that calls for the involvement of everyonenot just the governmentin preparedness efforts. By working together, everyone can help keep the nation safe from harm and help keep it resilient when struck by hazards, such as natural disasters, acts of terrorism, and pandemics.Whole Community includes:Individuals and families, including those with access and functional needsBusinessesFaith-based and community organizationsNonprofit groupsSchools and academiaMedia outletsAll levels of government, including state, local, tribal, territorial, and federal partnersWhole Coften appears repeatedly in preparedness materials, as it is one of the guiding principles. It means two things:1. Involving people in the development of national preparedness documents.2. Ensuring their roles and responsibilities are reflected in the content of the materials.Additional information on incorporating whole community preparedness is available in the relevantprogram-specific appendix to this Manual, as applicable.Active Shooter Preparedness DHS aims to enhance national preparedness through a whole-community approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. To that end, DHS has developed a comprehensive Active Shooter Preparedness website, which includes informational resources, available athttps://www.cisa.gov/active-shooter-preparedness. An additional resource, the Joint DHS and Federal Bureau of Investigation (FBI) Countering Violent Extremism (CVE) and Active Shooter Web Portal is located within the Homeland Security Information Network (HSIN). The portal provides a restricted-access forum to share Unclassified, For Official Use Only (FOUO), Sensitive but Unclassified (SBU), and Law Enforcement Sensitive (LES) information. The portal provides users and training practitioners with accurate, appropriate, and relevant CVE and Active Shooter training development resources, subject-matter expert information, and outreach initiatives. It also has forums to provide feedback, products useful to others, and allows participants to ask questions concerning CVE or the Active Shooter Program. Persons with a job-related duty, public service interest, or who support a CVE and/or Active Shooter program can request access to this Portal. Additional information can be found at: https://www.dhs.gov/cveas-portal#.

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States and Urban Areas are encouraged to review the referenced active shooter guidance, evaluate their preparedness needs, and consider applying for funding to address any needs identified in this area (please see the most current NOFO for allowable costs). To address training needs associated with active shooter -based training course entitled IS-907: Active Shooter: What You Can Do, available at the following website: https://training.fema.gov/is/courseoverview.aspx?code=is-907. Soft Targets and Crowded Places There are continued and growing threats facing Soft Targets and Crowded Places (ST-CP) throughout the nation. ST-CPs are those locations or environments that are easily accessible to large numbers of people on a predictable or semi-predictable basis that have limited security or protective measures in place. These locations are vulnerable to attack using simple tactics and readily accessible weapons such as small arms, edged weapons, vehicles, improvised explosive devices, and unmanned aircraft systems. ST-CPs can include places such as town centers, shopping malls, open-air venues, outside hard targets/venues perimeters, and other places of meeting and gathering. DHS is committed to reducing the risk of attacks against ST-CPs and the impact of attacks if they do occur. However, the protection and security of ST-CPs is a shared responsibility among whole community partners including the public, ST-CP owners and operators, security industry partners, the Federal Government, and SLTT government partners. States, territories, urban areas, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs of ST-CPs, understanding the unique challenges related to protecting locations that are open to the public. States, territories, urban areas, and public and private sector partners are also encouraged to use resources to instill a culture of awareness, vigilance, and preparedness. For more information and additional resources, please Hometown Security Program.Community LifelinesFEMA created Community Lifelines to reframe incident information, understand and communicate incident impacts using plain language, and promote unity of effort across the whole community to prioritize efforts to stabilize the lifelines during incident response. While lifelines were developed to support response planning and operations, the concept can be applied across the entire preparedness cycle. Efforts to protect lifelines, prevent and mitigate potential impacts to them, and build back stronger and smarter during recovery will drive overall resilience of the nation. Applying the lifelines construct allows decision-makers to:Prioritize, sequence, and focus response efforts towards maintaining or restoring the most critical services and infrastructure;Utilize a common lexicon to facilitate unity of purpose among all stakeholders;Promote a response that facilitates unity of purpose and better communication among the whole community (federal, state, tribal, territorial, and local governments, and private sector and non-governmental entities); andClarify which components of the disaster are complex (multifaceted) or complicated (difficult), requiring cross-sector coordination.Lifelines are used to:Enhance the ability to gain, maintain, and communicate situational awareness for the whole community in responding to disasters; Preparedness Grants Manual | February 202147
Analyze impacts to the various lifelines and develop priority focus areas for each operational period during response;Identify and communicate complex interdependencies to identify major limiting factors hindering stabilization; andUpdate the National Response Framework to reflect use of lifelines in response planning.Lifelines include opportunities to:Enable a true unity of effort between government, non-governmental organizations, and the private sector, including infrastructure owners and operators;Integrate preparedness efforts, existing plans, and identify unmet needs to better anticipate response requirements; andRefine reporting sources and products to enhance situational awareness, best determine capability gaps, and demonstrate progress towards stabilization.For more information on lifelines, please visitCommunity Lifelines | FEMA.govand https://www.fema.gov/media-library/assets/documents/177222. Strategic Framework for Countering Terrorism and Targeted ViolenceThe United States faces increasingly complex threats from terrorism and targeted violence. Both continue to pose a grave threat in ways that have evolved dramatically in the nearly two decades since the 9/11 attacks. Although foreign terrorist organizations remain intent on striking our Homeland, we also face a growing threat from domestic actors. Combating terrorism and targeted violence requires the combined efforts of DHS, our federal and SLTT government partners, and civil society. To address these threats, in September 2019 DHS adopted the DHS Strategic Framework for Countering Terrorism and Targeted Violencewhich explains how the department will use the tools and expertise that have protected and strengthened the country from foreign terrorist organizations to address the evolving challenges of today. DHS has also now finalized a corresponding Public Action Plan. Preparedness grant recipients are encouraged to familiarize themselves with these documents and consider adopting the concepts, principals, and goals they outline.

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Program Appendix A:Homeland Security Grant Program (HSGP) As a reminder, while this appendix contains HSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the HSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.Alignment of HSGP to the National Preparedness SystemThe Nation uses the National Preparedness System to build, sustain, and deliver core capabilities to achieve the National Preparedness Goal(the Goal). Recipients will use the National Preparedness System to support their efforts to build, sustain, and deliver these core capabilities. The components of the National Preparedness System are Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at http://www.fema.gov/national-preparedness-system.As the National Preparedness System matures, we are getting better data on our capabilities as a Nation that can be used to drive our focus and our resources at all levels. States and territories provide annual data on their proficiency across 32 core capabilitiesthrough the Threat and Hazard Identification and Risk Assessment (THIRA), Stakeholder Preparedness Review (SPR), exercise and real world after-action reports, and other preparedness data. This data feeds into the National Preparedness Reportand forms a shared national picture of needs relative to capability gapsincluding what threats and hazards are posing the greatest risks, and what core capabilities are most in need of improvement or sustainment. Communities and federal agencies alike use this data to prioritize, synchronize, and guide programs and activities to build and sustain capabilities. Analytic results help shape prioritization decisions at FEMA and across the nation to make sure we are focusing our time and our resources in the right areas.The HSGP provides financial support to state, local, tribal, and territorial (SLTT) jurisdictions to help them build, sustain, and deliver core capabilities identified in the Goal. A key focus and requirement of the HSGP is to prevent terrorism and other catastrophic events and to prepare the Nation for the threats and hazards that pose the greatest risk to the security of the United States, including risks along the borders. When applicable, funding should support deployable assets that can be used anywhere in the Nation through automatic assistance and mutual aid agreements, including, but not limited to, the Emergency Management Assistance Compact (EMAC).The HSGP supports investments that improve the ability of jurisdictions nationwide to:Prevent a threatened or an actual act of terrorism;Protect citizens, residents, visitors, and assets against the threats that pose the greatest risk to the security of the United States;Mitigate the loss of life and property by lessening the impact of future catastrophic events;Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/orRecover through a focus on the timely restoration, strengthening, accessibility, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, HSGP Appendix | February 2021 Page A-2
historic, and environmental fabric of communities affected by a catastrophic incident, and do so in a manner that engages the whole community while ensuring the protection of civil rights.HSGP Funding GuidelinesRecipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform AdministrativeRequirements, Cost Principles, and Audit Requirements for Federal Awards). In general, recipients should consult with their FEMA HQ Preparedness Officer prior to making any investment that does not clearlymeet the allowable expense criteria. Funding guidelines established within this section support the five mission areasPrevention, Protection, Mitigation, Response, and Recoveryand associated corecapabilities within the Goal. Allowable investments made in support of the national priorities, as well as other capability-enhancing projects must have a nexus to terrorism preparedness and fall into the categories of planning, organization, exercises, training, or equipment, aligned to closing capability gaps or sustaining capabilities identified in the THIRA/SPR. Recipients are encouraged to use grant funds forevaluating grant-funded project effectiveness and return on investment. FEMA encourages recipients to provide the results of that analysis to FEMA.Multiple Purpose or Dual-Use of FundsFor both the State Homeland Security Program (SHSP) and Urban Area Security Initiative (UASI), many activities that support the achievement of core capabilities related to the national priorities and terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. However, all SHSP- and UASI-funded projects must assist recipients and subrecipients in achieving core capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism per section 2008(c) of the Homeland Security Act of 2002(6 U.S.C. § 609(c)).Planning (SHSP and UASI)SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities such as those associated with the development, review, and revision of the THIRA, SPR, continuity of operations plans, and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current Emergency Operations Plan (EOP) that conforms to the guidelines outlined in Comprehensive Preparedness Guide (CPG) 101 v2.Organization (SHSP and UASI)States and high-risk urban areas must justify proposed expenditures of SHSP or UASI funds to support organization activities within their Investment Justification (IJ) submission. Organizational activities include:Program managementDevelopment of whole community partnerships, through groups such as Citizen Corp CouncilsStructures and mechanisms for information sharing between the public and private sectorImplementing models, programs, and workforce enhancement initiatives to address ideologically inspired radicalization to violence in the homelandTools, resources, and activities that facilitate shared situational awareness between the public and private sectorsOperational SupportUtilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident HSGP Appendix | February 2021 Page A-3
Responding to an increase in the threat level under the National Terrorism Advisory System (NTAS) or needs resulting from a National Special Security EventPaying salaries and benefits for personnel to serve as qualified Intelligence Analysts. Per the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act (PRICE Act), Pub. L. No. 110-412, § 2, codified in relevant part, as amended, at 6 U.S.C. §609(a), SHSP and UASI funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by SHSP or UASI funding. See 6 U.S.C. §609(a). To be hired as an intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria:oComplete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or,oPreviously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit.All fusion center analytical personnel must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the State Administrative Agency (SAA)Preparedness Officer upon request.ain.All SAAs are allowed to use up to 50% of their SHSP funding, and all high-risk urban areas are allowed to use up to 50% of their UASI funding, for personnel costs per 6 U.S.C. § 609(b)(2)(A). Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Personnel expenses may include, but are not limited to training and exercise coordinators, program managers and planners, intelligence analysts, and Statewide Interoperability Coordinators (SWICs).At the request of a recipient, the FEMA Administrator (or their designee) may grant a waiver of this 50% limitation under 6 U.S.C. § 609(b)(2)(B). Requests for waivers to the personnel cap must be submitted by the authorized representative of the SAA to FEMA in writing on official letterhead, with the following information:Documentation explaining why the cap should be waivedConditions under which the request is being submittedA budget and method of calculation of personnel costs both in percentages of the grant awardand in total dollar amount.Please see IB 421bfor additional information on the waiver request process.Organizational activities under SHSP and UASI include:Operational Overtime Costs. In support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events, operational overtime costs are allowable for increased protective security measures at critical infrastructure sites or other high-risk locations and to enhance public safety during mass gatherings and high-profile events. In that regard, HSGP recipients are urged to consider using grant funding to support soft target preparedness activities. SHSP or UASI funds may be used to support select operational expenses associated with increased security measures HSGP Appendix | February 2021 Page A-4
in the authorized categories cited in the table below, but this table is not exhaustive. FEMA retains the discretion to approve other types of requests that do not fit within one of the categories of the table. Table 2 - Authorized Operational Overtime CategoriesCategoryDescription1National Terrorism Advisory System (NTAS)Security measures in response to an increase in the threat levelInformation Bulletin No. 367, Impact of National Terrorism Advisory System on Homeland Security Grant Programs, remains applicable; therefore, advance authorization from FEMA is not required. Refer to https://www.dhs.gov/topic/ntasfor additional information on the NTAS.2National Security Special Event (NSSE) Security measures for a designated NSSE. NSSEs are events of national or international significance deemed by DHS to be a potential target for terrorism or other criminal activity.3Special Event Assessment Rating (SEAR) Level 1 through Level 4 EventsSecurity measures required for SEAR Level 1 through Level 4 events as designated by DHS and included in the DHS National Special Events List, as defined below:SEAR 1: A significant event with national and/or international importance that may require extensive federal interagency support.SEAR 2: A significant event with national and/or international importance that may require some level of federal interagency support.SEAR 3: An event of national and/or international importance that requires only limited federal support.SEAR 4: An event with limited national importance that is managed at state and local level. NOTE: In cases where a threat of terrorism can be associated with a SEAR Level 5 event, the event planners should coordinate with their state or territory Homeland Security Advisor to seek re-adjudication of the SEAR rating. Operational overtime for security measures associated with such events will be considered for approval by FEMA if re-adjudication results in a SEAR 1 through 4 rating.4 States of EmergencyDeclarations of states of emergency by the Governor associated with a terrorism-related threat or incident. This excludes Presidentiallydeclared major disasters or emergencies where federal funding support for the proposed grant-funded activity is made available through the FEMA Public Assistance program or other federaldisaster grants.5National Critical Infrastructure Prioritization Program (NCIPP) Protection of Level 1 and Level 2 facilities identified through DHSNCIPP based on a terrorism-related threat to critical infrastructure.6 Directed Transit PatrolsTargeted security patrols in airports and major transit hubs based on aterrorism-related threatto transportation systems.

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CategoryDescription7Other Related Personnel Overtime CostsOvertime costs may be authorized for personnel assigned to directly support any of the security activities relating to the categories above. Examples include firefighters and emergency medical services personnel; public works employees who may be responsible for installing protective barriers and fencing; public safety personnel assigned to assist with event access and crowd control; emergency communications specialists; backfill and overtime for staffing state or major urban area fusion centers; state Active Duty National Guard deployments to protect critical infrastructure sites, including all resources that are part of the standard National Guard deployment package (note: consumable costs, such as fuel expenses, are not allowed except as part of the standard National Guard deployment package); contract security services for critical infrastructure sites; participation in Regional Resiliency Assessment Program activities, increased border security activities in coordination with USBP, etc. 8Operational Support to a Federal AgencyOvertime costs are allowable for personnel to participate in information, investigative, and intelligence sharing activities related to homeland security/terrorism preparedness and specifically requested by a federal agency. Allowable costs are limited to overtime associated with federally requested participation in eligible activities, including anti-terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime Transportation Security Act of 2002), DHS Border Enforcement Security Task Forces, and Integrated Border Enforcement Teams. In addition, reimbursement for operational overtime law enforcement activities related to combating transnational crime organizations in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism is an allowable expense under SHSP and UASI on a case-by-case basis. Grant funding can only be used in proportion to the federal man-hour estimate and only after funding for these activities from other federal sources (i.e., FBI JTTF payments to stateand local agencies) has been exhausted.All allowable operational overtime costs are also subject to the administration requirements outlined in the following subsection.Administration of Operational Overtime RequestsExcept for an elevated NTAS alert, SHSP or UASI funds may only be spent for operational overtime costs upon prior written approval by FEMA. The SAA must submit operational overtime requests in writing to its assigned FEMA Preparedness Officer. FEMA will consider requests for special event activities up to one year in advance. However such requests must be POP and must not result in the need for a request to extend the period of performance. SAAs should contact the Centralized Scheduling and Information Desk (CSID) for Preparedness Officer contact information. CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 a.m. 5:00 p.m. ET.

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All operational overtime requests must clearly explain how the request meets the criteria of one or more of the categories listed in the table above. Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explain how the overtime activity is responsive to the threat. Request letters sent to FEMA must be If explaining the threat will require the sharing of classified information, the letter should state that fact. FEMA will then plan for the sharing of classified information through official channels.Post-event operational overtime requests will only be considered on a case-by-case basis, where it is demonstrated that exigent circumstances prevented submission of a request in advance of the event or activity.Under no circumstances may FEMA grant funding be used to pay for costs already supported by funding from another federal source.States with UASI jurisdictions can use funds retained at the state level to reimburse eligible operational overtime expenses incurred by the state (per the above guidance limitations). Any UASI funds retained by the state must be used in direct support of the high-risk urban area. States must provide documentation to the Urban Area Working Group (UAWG) and FEMA upon request demonstrating how any UASI funds retained by a state would directly support the high-risk urban area.FEMA will consult and coordinate with appropriate DHS components as necessary to verify information used to support operational overtime requests. For example, the review of operational overtime requests for the protection of critical infrastructure will be coordinated with DHS Office of Cyber and Infrastructure Analysis to verify the Level I or Level II NCIPP designation. Also, DHS Office of Intelligence and Analysis will be consulted to validate reported threat information associated with the event or activity.Personnel Costs. Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may include but are not limited to training and exercise coordinators, program managers for activities directly associated with SHSP and UASI funded activities, intelligence analysts, and SWICs.For further details, SAAs should refer to Information Bulletin (IB) #421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public L. No. 110412 the PRICE Act), October 30, 2019, or contact their FEMA Preparedness Officer. HSGP funds may not be used to support the hiring of any personnel to fulfill traditional public health and safety duties nor to supplant traditional public health and safety positions and responsibilities. The following definitions apply to personnel costs:Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable FEMA grant activities as specified in this guidance. This may not include new personnel who are hired to fulfill any non-FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent (FTE) employees.Overtime. These expenses are limited to the additional costs that result from personnel working over and above 40 hours of weekly work time as the direct result of their performance of FEMA-approved activities specified in this guidance. Overtime associated with any other activity is not eligible.Backfill-Related Overtimeovertime costs that result from personnel who are working overtime (as identified above) to perform the duties of other personnel who are temporarily assigned to FEMA-approved activities HSGP Appendix | February 2021 Page A-7
outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees.Supplanting. Grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.Organization (OPSG)Personnel CostsOPSG funds may be used for domestic travel and per diem, including costs associated with the deployment/redeployment of personnel to border areas and for travel associated with law enforcement entities assisting other local jurisdictions in law enforcement activities. In addition, allowable costs include supporting up to six-month deployment of law enforcement personnel to critical Southwest Border locations for operational activities (travel costs must be in accordance with applicable travelregulations).Operational Overtime CostsOPSG funds should be used for operational overtime costs associated with law enforcement activities in support of border law enforcement agencies for increased border security enhancement. Overtime pay is for enhanced patrol for certified public safety officers, along with limited support for other law enforcement direct support personnel (e.g., Communication Officers/Dispatchers, non-sworn patrol pilots, etc.). Overtime shall be reimbursed consistent with the non-federalrequirements as stated below:designated shift.Overtime must be worked to increase patrol capacity and be in support of identified and approved United States Border Patrol (USBP) border security operations.The OPSG overtime hourly rate of pay will be no more than the approved overtime rate per local law and policy and must be in accordance with applicable state and federal regulations.All overtime expenses under OPSG must be reasonable for the services rendered and conform to the non-non-federally funded activities and comply with the other applicable requirements under 2 C.F.R. §§ 200.430-200.431. The non-federalpay that exceeds 16 hours worked in any 24-hour period. Personnel CostsUp to 50% of an OPSG award may be used to pay for all personnel costs (only to the extent that such expenses are for the allowable activities within the scope of the grant). At the request of a recipient or subrecipient, the FEMA Administrator (or designee) may waive the 50% personnel cap. Waiver decisions are at the discretion of the FEMA Administrator and will be considered on a case-by-case basis in accordance with IB 421b. 6 U.S.C. § 609(b)(2). A formal OPSG personnel waiver request should: Be on official letterhead, include a written justification, and be signed by the local jurisdiction.Include a budget and method of calculation of personnel costs both in the percentage of the grant award and in total dollar amount, reflecting the change in scope or objective to the project.Include an approved Operations Order from the USBP Sector office that supports the local .

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Be coordinated with the USBP Sector, SAA, and the DHS/Customs and Border Protection (CBP)Office of the Border Patrol (OBP).200.308(c)(1). If the cost changes are allowable under the grant, a Fragmentary Order (FRAGO) must be § 200.308(c)(1). These modifications will be annotated in the annex section of the FRAGO.OPSG funds may be used to pay additional current part-time law enforcement personnel salaries to bring them to temporary full-time status.redeploy specialized National Guard Units/Package and/or elements of state law enforcement serving as activities. Costs associated with backfill for personnel supporting operational activities are allowable.As with all OPSG personnel costs, OPSG grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.Intelligence SupportOPSG funds may as applicable and operationally beneficial be used to pay salaries and benefits for personnel to serve as qualified Intelligence Analysts. Per 6 U.S.C. § 609(a), OPSG funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable and enhance information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by OPSG funding. Qualified OPSG-funded intelligence analysts can be assigned to an applicable law enforcement facility/intelligence function as long as information/intelligence sharing is maintained. To serve as an OPSG-funded intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria:Complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or,Previously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit.OPSG-funded intelligence analysts must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the SAA and must be made Preparedness Officer upon request. As with all allowable expenditures under HSGP, the SAA or its OPSG subrecipient jurisdictions must agree to and approve the use of funds for this purpose and request to amend applicable grant awards accordingly. Under OPSG, SAAs and subrecipients requesting to use grant funds in this manner must also collaborate regarding prioritization of funds for the provision of allowable associated costs for intelligence analysts with the applicable USBP sector and memorializing the collaboration through an Operations, Fragmentary or Supplemental Operations Order approved by the USBP sector, USBP Headquarters, and the FEMA Grant Programs Directorate.

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Temporary or Term AppointmentsSubrecipients may utilize temporary or term appointments to augment the law enforcement presence on the borders. However, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable.OPSG-funded temporary or term appointments may not exceed the approved period of performance.oFor OPSG purposes, temporary appointments are non-status appointments for less than one year.oFor OPSG purposes, term appointments are non-status appointments for one year, extendable for one year as necessary.OPSG funding for temporary or term appointments may pay for salary only. Benefits are not allowable expenses for term or temporary employees.OPSG remains a non-hiring program. Appropriate uses of temporary or term appointments include:oTo carry out specific enforcement operations work for ongoing OPSG-funded patrols throughout the Sector Area of Operation;oTo staff operations of limited duration; such as OPSG-enhanced enforcement patrols targeting specific locations or criminal activity; and,oTo fill OPSG positions in activities undergoing transition or personnel shortages and local backfill policies (medical/military deployments)OPSG term and temporary appointments must have all necessary certifications and training to enforce state and local laws. OPSG funds will not be used to train or certify term or temporary appointments except as otherwise stated in this Manual and the HSGP NOFO.FEMA provides no guarantee of funding for temporary or term appointments. In addition to the terms of this Manual and the HSGP NOFO, subrecipients must follow their own applicable policies and procedures regarding temporary or term appointments.Management and Administration Management and administration (M&A) activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent of HSGP funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also retain a maximum of up to five percent of the funding passed through by the state solely for M&A purposes associated with the HSGP award.allocate funding toward the four National Priority Areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its enhancing cybersecurity investment, the recipient may credit that funding toward its requirement to allocate at least 7.5 percent of its award to the enhancing cybersecurity National Priority Area. n purposes includes the total of its SHSP, UASI, and OPSG awards. While the SAA may retain up to five percent of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum pass-through requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds withholding any M&A.In retaining these funds, states may retain a maximum of 2.5 percent of the OPSG allocation, which must be withheld from the pass-through to each subrecipient county or tribe in an equal percentage. The SAA HSGP Appendix | February 2021 Page A-10
may also retain additional funding from its SHSP award to manage and administer the OPSG award, but that additional amount is also capped at an amount equal to 2.5 percent of the OPSG award. Examples applying this principle:SAA 1:SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000M&A Maximum: $300,000 (5 percent of $6,000,000)Maximum M&A for SHSP = $50,000Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5 percent) may be retained from the OPSG allocation, and the other $62,500 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $50,000 available to manage the SHSP allocation.Maximum M&A for UASI = $125,000SAA 2:SHSP: $3,500,000 OPSG: $1,000,000M&A Maximum: $225,000 (5 percent of $4,500,000) Maximum M&A for SHSP = $175,000Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5 percent) may be retained from the OPSG allocation, and the other $25,000 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $175,000 available to manage the SHSP allocation.HSGP recipients are also reminded that any M&A charged UASIfunding 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 allocable to UASI fundingAdditionally, if a state/territory receives Nonprofit Security Grant Program (NSGP) funding, it may use SHSP M&A funding to cover M&A costs related to the management of NSGP-State awards, and UASI M&A funding to cover M&A costs related to the management of NSGP-Urban Area awards..Specific for OPSG, subrecipients and friendly forces may retain funding for M&A purposes; however, the total amount retained cannot exceed 5% of the subrecipientsubaward. Friendly forces are local law enforcement entities that are subordinate subrecipients under OPSG. In other words, friendly forces are entities that receive a subaward from a subrecipient under the OPSG program. Friendly forces must comply with all requirements of subrecipients under 2 C.F.R. Part 200.Equipment (SHSP and UASI)The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories for HSGP are listed on the Authorized Equipment List(AEL). Some equipment items require prior approval from FEMA before obligation or purchase of the items. Please reference the grant notes for each equipment item to ensure prior approval is not required or to ensure prior approval is obtained if necessary. Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.Unless otherwise stated, all equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, recipients will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment.

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Investments in emergency communications systems and equipment must meet applicable SAFECOM Guidance. Such investments must be coordinated with the SWIC and the State Interoperability Governing Body (SIGB) to ensure interoperability and long-term compatibility. Grant funds may be used for the procurement of medical countermeasures. Procurement of medical countermeasures must be conducted in collaboration with state, city, or local health departments that administer federal funds from the Department of Health and Human Services for this purpose and with existing Metropolitan Medical Response System committees where available, to sustain their long-term planning for appropriate, rapid, and local medical countermeasures, including antibiotics and antidotes for nerve agents, cyanide, and other toxins. Procurement must have a sound threat-based justification with an aim to reduce the consequences of mass casualty incidents during the first crucial hours of a response. Prior to procuring pharmaceuticals, recipients must have in place an inventory management plan to avoidlarge periodic variations in supplies due to coinciding purchase and expiration dates. Recipients are encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals must include a budget for the dispOP for HSGP. The cost of disposal cannot be carried over to another FEMA grant or grant period.EMS electronic patient care data systems should comply with the most current data standard of the National Emergency Medical Services Information System (www.NEMSIS.org).SHSP and UASI funds can also be used for school hardening measures, including:Bullet resistant doors and glass;Hinge-locking mechanisms;Immediate notification to emergency 911 systems;Mechanisms that provide real time actionable intelligence directly to law enforcement and first responders;Installation of distraction devices or other countermeasures administered by law enforcement; andOther measures determined to provide significant improvements to schoolEquipment (OPSG)OPSG equipment is intended to be incidental to the enhanced border security operations being performed. The grant is not intended to be used to outfit or supply general equipment to SLTT law enforcement agencies. Equipment must be relatable to and justified by the operational benefit it will provide. Each appropriate OPSG sector coordinator is required to keep an inventory of OPSG purchased equipment that includes at a minimum: 1) grant funding year; 2) purchase amount; 3) purchase date; 4) purchase quantity; 5) equipment ID; 6) source of funding for the property, including the Federal Award Identification Number; 7) who holds title to the property; 8) federal share percent of the property; 9) location of the property; 10) use and condition of the property; 11) disposal date; and 12) brief disposal justification information and sale price if sold. Each Operations Order/FRAGO will require that each friendly force submit the equipment inventory for each Operations Order/FRAGO submission.Equipment Marking. Because equipment purchased with OPSG funding is intended to be used to support OPSG activities, itmaybe appropriately marked to ensure its ready identification and primary use for that purpose. When practicable, any equipment purchased with OPSG funding shouldbe prominently marked as follows:"Purchased with DHS funds for Operation Stonegarden Use."Fuel Cost and Mileage Reimbursement. There is no cap for reimbursement of fuel or mileage costs in support of operational activities. Subrecipients and friendly forces may not claim reimbursements for both mileage and fuel/maintenance for the same equipment at the same time.Vehicle and Equipment Acquisition, Including Leasing and Rentals. Allowable purchases HSGP Appendix | February 2021 Page A-12
under OPSG include patrol vehicles and other mission-specific equipment whose primary purposeis to increase operational capabilities on or near a border nexus in support of approved border security operations. A detailed justification must be submitted to the respective FEMA HQPreparedness Officer prior to purchase.Medical Emergency Countermeasures: Allowable purchases under OPSG include narcotic antagonist pharmaceuticals, detection and identification equipment, safe storage and transportation, personnel protective equipment, and initial equipment training, as reflected in the AEL and explained in IB 438.Requirements for Small Unmanned Aircraft System (SHSP, UASI, and OPSG)All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426and IB 438and also include a description of the policies and procedures in place to safeguard otherwise use the sUAS equipment.Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendorsrepresentations of the systemslegality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology-detect-and-mitigate-unmanned-aircraft. Training (SHSP and UASI)Allowable training-related costs under HSGP include the establishment, support, conduct, and attendance of training specifically identified under the SHSP and UASI program and/or in conjunction with emergency preparedness training by other federal agencies (e.g., HHS and Department of Transportation [DOT]). Training conducted using HSGP funds should address a performance gap identified through an Integrated Preparedness Plan (IPP) or other assessments (e.g., National Emergency Communications Plan [NECP]Goal Assessments) and contribute to building a capability that will be evaluated through a formal exercise. Any training or training gaps, including training related to under-represented diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations, should be identified in an IPP and addressed in the state or high-risk urban area training cycle. Recipients are encouraged to use existing training rather than developing HSGP Appendix | February 2021 Page A-13
new courses. When developing new courses, recipients are encouraged to apply the Analyze, Design, Develop, Implement, and Evaluate (ADDIE) model of instructional design. Preparedness Course Catalog. Trainings include programs or courses developed for and delivered by institutions and organizations funded by FEMA. This includes the Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and FEMAContinuing Training Grants (CTG), the National Domestic Preparedness Consortium (NDPC), the Rural Domestic Preparedness Consortium (RDPC), and other partners. scope as well as the increasing training needs of federal, state, local, territorial, and tribal audiences. The catalog can be accessed at http://www.firstrespondertraining.gov.Some training activities require Environmental and Historic Preservation (EHP) Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at: https://www.fema.gov/media-library/assets/documents/90195.Exercises (SHSP and UASI)Exercises conducted with grant funding should be managed and conducted consistent with Homeland Security Exercise and Evaluation Program (HSEEP). HSEEP guidance for exercise design, development, conduct, evaluation, and improvement planning is located athttps://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep.Some exercise activities require EHP review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at https://www.fema.gov/media-library/assets/documents/90195.Maintenance and Sustainment (SHSP, UASI, and OPSG)Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty, and it may only cover equipment purchased with HSGP funds or for equipment dedicated for HSGP-related purposes. As with warranties and maintenance agreements, this extends to licenses and user fees as well. The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Except for maintenance plans or extended warranties purchased incidental to the original purchase of the equipment, the period covered by maintenance or warranty plan must not exceed the POP of the specific grant funds used to purchase the plan or warranty.Grant funds are intended to support the Goal by funding projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from HSGP Appendix | February 2021 Page A-14
those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in FEMAIB 379, Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding, initially for FY 2007-2011,allows for the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the Goal, and (4) shareable through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.Law Enforcement Terrorism Prevention Activities Allowable Costs (SHSP and UASI)Activities eligible for the use of Law Enforcement Terrorism Prevention Activities (LETPA) focused funds include but are not limited to:Maturation, enhancement, and sustainment of designated state and major urban area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and training/ hiring of intelligence analysts;Coordination between fusion centers and other intelligence, operational, analytic, orinvestigative efforts including, but not limited to JTTFs, Field Intelligence Groups (FIGs), High-Intensity Drug Trafficking Areas (HIDTA), Regional Information Sharing Systems (RISS)Centers, criminal intelligence units, real-time crime analysis centers and DHS intelligence, operational, analytic, and investigative entities;Implementation and maintenance of the nationwide Suspicious Activity Reporting (SAR)Initiative (NSI), including training for front-line personnel on identifying and reporting suspicious activities, tips/leads, and online/social media-based threats, as well as the execution and management of threat assessment programs to identify, evaluate, and analyze indicators and behaviors indicative of terrorism, targeted violence, threats to life, and other criminal activity;Management and operation of activities that support the execution of the intelligence process and fusion centers, including but not limited to: Fusion Liaison Officer (FLO) programs, security programs to protect the facility, personnel, and information, and the protection of privacy, civil rights, and civil liberties.Implementation of the If You See Something, Say Something®campaign to raise public awareness of indicators of terrorism and terrorism-related crime and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS If You See Something, Say Something®campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE) to ensure all public awareness materials (e.g., videos, posters, tri-folds, etc.) are consistent with s messaging and strategy for the campaign and compliant with the initiatives trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Campaigns Office ([email protected]), must be facilitated by the FEMA HQ Preparedness Officer;Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical infrastructure sites or at-risk nonprofit organizations;Building and sustaining preventive radiological and nuclear detection capabilities, including those developed through the Securing the Cities initiative; andIntegration and interoperability of systems and data, such as computer aided dispatch (CAD) and record management systems (RMS), to facilitate the collection, evaluation, and assessment of suspicious activity reports, tips/leads, and online/social media-based threats.

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Law Enforcement Readiness (SHSP, UASI, and OPSG)OPSG grant funds may be used to increase operational, material, and technological readiness of SLTTlaw enforcement agencies. The Delegation of Immigration Authority, Section 287(g) of the Immigration and Nationality Act (INA)program allows a state or local law enforcement entity to enter into a partnership with Immigration and Customs Enforcement (ICE), under a joint Memorandum of Agreement (MOA), to receive delegated authority for immigration enforcement within their jurisdictions. SHSP, UASI, or OPSG grant funds may be requested and may be approved on a case-by-case basis for immigration enforcement training in support of the border security mission. Requests for training will be evaluated on a case-by-case basis and can only be used for certification in the section 287(g) program provided by DHS/ICE. SHSP, UASI, or OPSG subrecipients with agreements under section 287(g) of the INA(8 U.S.C. § 1357(g)) to receive delegated authority for immigration enforcement within their jurisdictions may also be reimbursed for section 287(g) related operational activities with approval from FEMA on a case-by-case basis. For OPSG, subrecipients must be authorized by USBP Headquarters and Sectors, and operational activities must be coordinated through a USBP Sector.Regional Border Projects (OPSG)Recipients are encouraged to prioritize the acquisition and development of regional projects on the borders to maximize interoperability and coordination capabilities among federal agencies and with state, local, and tribal law enforcement partners. Such regional projects include:Communications equipmentRadio systems and repeatersIntegration with regional intelligence and information sharing effort (i.e., fusion centers)oIntelligence analystsSituational Awareness equipment:oLicense Plate Reader NetworksoVisual detection and surveillance systemsoSensor SystemsoRadar Systems (for air and/or marine incursions)oAircraft systems (manned or unmanned)Critical Emergency Supplies (SHSP and UASI)Critical emergency supplies, such as shelf stable products, water, and medical equipment and supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state-year viable inventory management plan, which should include a distribution strategy and related sustainment costs if planned grant expenditure is over $100,000.00.If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed by the recipient and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA will establish guidelines and requirements for the purchase of these supplies under UASI and monitor development and status of the stateSAAs (through their Emergency Management Office) are strongly encouraged to consult with their respective FEMA Regional Logistics Chief regarding disaster logistics-related issues. States are further encouraged to share their FEMA approved plan with local jurisdictions and tribes.

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Construction and Renovation (SHSP and UASI)Project construction using SHSP and UASI funds may not exceed the greater of $1,000,000 or 15% of thegrant award. For the purposes of the limitations on funding levels, communications towers are not considered construction. See guidance on communication towers below.All construction and renovation projects require EHP review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected] approval must be provided by FEMA prior to the use of any HSGP funds for construction or renovation. When applying for construction funds, recipients must submit evidence of approved zoningordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C form with budget detail citing the project costs, and an SF-424D Form for standard assurances for the construction project.Recipients using funds for construction projects must comply with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. § 5196(j)(9), which cross-references Davis-Bacon). Recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character like the contract work in the civil subdivision of the statein which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage determinations, is available online at https://www.dol.gov/whd/govcontracts/dbra.htm.Construction and Renovation (OPSG)OPSG funds may not be used for any construction.Communications TowersAll construction of communication towers requires EHP review. When applying for funds to constructcommunication towers, recipients and subrecipients must submit evidence that the Federal Communication CommissionSection 106 of the National Historic Preservation Act, Pub. L. No. 89-665, as amended, review process has been completed and submit all documentation resulting from thatreview to FEMA with a GPD EHP Screening Form and supporting materials for EHP review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening HSGP Appendix | February 2021 Page A-17
Form, can be found online at: https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected] Hemispheric Travel Initiative (SHSP)In addition to the expenditures outlined above, SHSP funds may be used to support the implementation activities associated with the Western Hemisphere Travel Initiative (WHTI), including the issuance ofWHTI-compliant tribal identification cards. Emergency Management Accreditation ProgramStates can encourage their local jurisdictions to pursue assessment and accreditation under the Emergency Management Accreditation Program (EMAP). assessment and accreditation of emergencymanagement organizations against consensus-based,American National Standards Institute (ANSI)-certified standards allows for standardized benchmarking of critical functions necessary for an emergencymanagement organization to meet the core capabilities identified in the Goal. Additional information on the EMAP Standard is available at http://www.emap.org.28 C.F.R. Part 23 GuidanceFEMA requires that any information technology system funded or supported by these funds comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies if this regulation is determined to be applicable. Additionally, please see 28 C.F.R. Part 23 requirements that pertain to fusion centers at http://www.dhs.gov/homeland-security-grant-programs-hsgp. Unallowable Costs (OPSG)OPSG unallowable costs include costs associated with evidence collection, arrest processing, prosecution, and Traffic/DUI checkpoints, such as evidence documentation cameras, fingerprinting supplies, alcohol breathalyzers, portable work lights, traffic barricades, and similar law enforcement expenses. OPSG unallowable costs also include costs associated with staffing and general IT computing equipment and hardware, such as personal computers, faxes, copy machines, modems, etc. OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law enforcement operations or activities not directly related to providing enhanced coordination between local and federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer to IB 421b, or contact their FEMA HQ Preparedness Officer for guidance and clarification. Due to the nature of OPSG, exercise expenses are not allowable costs under OPSG.Unallowable Costs (SHSP, UASI, and OPSG)Per FEMA policy, the purchase of weapons and weapons accessories, including ammunition, is not allowed with HSGP funds.Grant funds may not be used for the purchase of equipment not approved by FEMA. Grant funds must comply with IB 426and may not be used for the purchase of the following equipment: firearms; ammunition; grenade launchers; bayonets; or weaponized aircraft, vessels, or vehicles of any kind with weapons installed.Unauthorized exercise-related costs include:oReimbursement for the maintenance or wear and tear costs of general use vehicles (e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g., fire trucks, ambulances).oEquipment that is purchased for permanent installation and/or use, beyond the scope of the conclusion of the exercise (e.g., electronic messaging sign).

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Indirect (Facilities and Administrative [F&A]) CostsIndirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable. Resources for Planning, Training, and Exercising (SHSP, UASI, and OPSG)Planning Assistanceprovide recipients and subrecipients with specialized expertise to improve and enhance the continuing development of state and local emergency management across the five mission areas of the Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision-makers in open discussion of options to improve plans and planning considering . Although there is no direct cost to approved jurisdictions for FEMA TA, jurisdictions are expected to invest staff resources and take ownership of the resulting products and tools.TA deliveries combine current emergency management best practices with practical consideration of emerging trends, through discussion facilitated by FEMA contract specialists and with the support of FEMA Region operational specialists. Additionally, peer-to-peer representation may also be included from other jurisdictions that have recently addressed the same planning issue. The TA request form can be accessed athttps://www.fema.gov/emergency-managers/nims/implementation-training. Training InformationPerIB 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high-risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high-risk urban area Training . For additional information on review and approval requirements for training courses funded with preparedness grants, please refer to the following policy: http://www.fema.gov/https://www.fema.gov/sites/default/files/2020-09/fema_gpd-review-approval-requirements-training-policy_09-10-13.pdf.FEMA will conduct periodic reviews of all state, local, territory, tribal entities, and high-risk urban area training funded by FEMA. These reviews may include requests for all course materials and physicalobservation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, recipients will be asked to repay grant funds expended in support of those efforts. For further information on developing courses using the instructional design methodology and HSGP Appendix | February 2021 Page A-19
tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED Responder Training Development Center (RTDC) website.Some training and exercise activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at https://www.fema.gov/media-library/assets/documents/90195.DHS/FEMA Provided Training and EducationFEMA offers tuition-free training and education programs and courses through several providers including the Center for Domestic Preparedness, the Emergency Management Institute, and the National Training Defense and Security, National Domestic Preparedness Consortium, Rural Domestic Preparedness Consortium, and training partners through the Continuing Training Grants program. s National Preparedness Course Catalog This online searchable catalog features a wide range of course topics in multiple delivery modes to meet federal, state, local, territorial, and tribal audiences. The catalog can be accessed at http://www.firstrespondertraining.gov. Training Not Provided by DHS/FEMAThese trainings include courses that are either state-sponsored or federal-sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events.State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC.Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. In addition, states, territories, tribes, and high-risk urban areas are encouraged to incorporate the private sector in government- sponsored training and exercises.Additional information on both FEMA provided training and other federal and state training can be found at http://www.firstrespondertraining.gov.-Web-Forms is an electronic data management system built to assist SAA TPOCs and federal agencies with submitting non-NTED provided training courses for inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to ensure each training programs viability and relevance to the Homeland Security mission. Reporting training activities through Web-Forms is not required under present funding. However, the system remains available and can be accessed through the FEMA Toolkitto support recipients in their own tracking of training deliveries.

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Exercise InformationRecipients that use HSGP funds to conduct an exercise(s) are encouraged to complete a progressive exercise series. Exercises conducted by states and high-risk urban areas may be used to fulfill similar exercise requirements required by other grant programs. Recipients are encouraged to invite representatives/planners involved with other federally mandated or private exercise activities. States and high-risk urban areas are encouraged to share, at a minimum, the multi- year training and exercise schedule with those departments, agencies, and organizations included in the plan.Validating Capabilities. Exercises examine and validate capabilities-based planning across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. The extensive engagement of the whole community, including but not limited to examining the needs and requirements for individuals with disabilities, individuals with limited English proficiency, and others with access and functional needs, is essential to the development of an effective and comprehensive exercise program. Exercises are designed to be progressive increasing in scope and complexity and drawing upon results and outcomes from prior exercises and real-world incidents to challenge participating communities. Consistent with HSEEP guidance and tools, the National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Exercises should align with priorities and capabilities identified in a multi-year IPP.Special Event Planning. If a state or high-risk urban area will be hosting a special event (e.g., Super Bowl, G-8 Summit), the special event planning should be considered as a training or exercise activity for the multi-year IPP. States must include all confirmed or planned special events in the multi-year IPP. The state or high-risk urban area may plan to use SHSP or UASI funding to finance training and exercise activities in preparation for those events. States and high-risk urban areas should also consider exercises at major venues (e.g., arenas, convention centers) that focus on evacuations, communications, and command and control.Regional Exercises. States should also anticipate participating in at least one regional exercise annually.Role of Non-Governmental Entities in Exercises. Non-governmental participation in all levels of exercises is strongly encouraged. Leaders from non-governmental entities should be included in the planning, design, and evaluation of an exercise. SLTT jurisdictions are encouraged to develop exercises that test the integration and use of resources provided by non-governmental entities, defined as the private sector and private non-profit, faith-based, and community organizations. Participation in exercises should be coordinated with local Citizen Corps Whole Community Council(s) or their equivalents and other partner agencies.Reporting on the Implementation of the National Preparedness SystemIdentifying and Assessing Risk and Estimating Capability RequirementsBy December 31, 2021, states, territories, and high-risk urban areas are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with CPG 201, Third Edition. Specific guidance on the requirements for each core capability will be forthcoming in 2021, as some core capabilities have fewer reporting requirements than others. Beginning in 2020, jurisdictions began the requirement to respond to a series of planning-related questions as part of the THIRA/SPR. Jurisdictions are required to submit a THIRA every three (3) years to establish a consistent baseline for assessment. While the THIRA will be only required every three years, jurisdictions will continue to be HSGP Appendix | February 2021 Page A-21
required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to Comprehensive Preparedness Guide (CPG) 201, Third Edition. ReportingStates and territories will submit their THIRA and SPR through the Unified Reporting Tool (URT) on Prep Toolkitno later than December 31 of the applicable year (every three years for THIRA and each year for SPR). High-risk urban areas that receive UASI funding will submit their THIRA/SPR through the URT on Prep Toolkitno later than December 31 for the years during which they have UASI funding. States, territories and high-risk urban areas should work collaboratively to create the most accurate THIRA and SPR possible. States, territories, and high-risk urban areas may share scenarios, targets, and assessed capabilities when appropriate.Please contact [email protected] you have questions.Building and Sustaining CapabilitiesStates, territories, and high-risk urban areas must prioritize and align SHSP and UASI grant fundinginvestments in building and sustaining capabilities in areas that align with the national priorities in the annual HSGP NOFO and capability gaps identified in their THIRA and SPR.ReportingIn eachBiannual Strategy and Implementation Report (BSIR), as part of programmatic monitoring, the recipient must describe how expenditures support closing capability gaps or sustaining capabilities identified in the THIRA and SPR. HSGP recipients must, on a project-by-project basis, check one of the following:Building a capability with HSGP fundingSustaining a capability with HSGP fundingNational Incident Management System (NIMS) ImplementationRecipients receiving HSGP funding are required to implement NIMS. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. HSGP recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictionsclarify the NIMS implementation requirements in FEMA preparedness grant NOFOs. As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at https://www.fema.gov/emergency-managers/nims/implementation-training. ReportingRecipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the HSGP NOFO.

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Planning to Deliver CapabilitiesRecipients shall develop and maintain, jurisdiction-wide, all threats and hazards Emergency Operations Plans (EOPs) consistent with Comprehensive Preparedness Guide 101, Version 2.0 (CPG 101 v2), Developing and Maintaining Emergency Operations Plans (November 2010). Recipients must update their EOPs at least once every two years.ReportingRecipients report EOP compliance with CPG 101 v2 by completing the secondary CPG-101 assessment in the URT.Validating CapabilitiesAll recipients will develop and maintain a progressive exercise program consistent with HSEEP guidance in support of the NEP. The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-Strategic Priorities, established by the National Security Council and informed by preparedness data from jurisdictions across the Nation. To develop and maintain a progressive exercise program consistent with HSEEP and in support of the NEP, recipients should engage senior leaders and other whole community stakeholders to identifypreparedness priorities. These priorities should be informed by various factors, including jurisdiction-specific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi-yearIPP. Information related to Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseepand https://preptoolkit.fema.gov/.The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance, tools and resources, enhanced coordination, and the ability to directly influence and inform policy and preparedness programs. If you have any questions, or would like to request assistance through the NEP, please visit the NEP website at: https://www.fema.gov/national-exercise-program,or reach out to the National Exercise Program directly at [email protected] must have a current multi-year IPP that identifies preparedness priorities and activities. The current multi-year IPP must be submitted [email protected] before January 31 of each year. oRecipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.gov/.Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to [email protected] indicate(if applicable). Submission of AAR/IPs must take place no later than December 31 of each year. For exercises that occur within the final quarter of a calendar year, submission of AAR/IPs must occur within 90 days after completion of the single exercise. Regardless of conduct date, recipients are encouraged to submit AAR/IPs within 90 days after completion of the single exercise or progressive series.oRecipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took HSGP Appendix | February 2021 Page A-23
place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions that reflect drills.oIf a recipient endures a significant real-world incident during the calendar year that delays or prevents conduct of a grant-funded exercise, they can submit the AAR from that event in place of the exercise AARs. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to [email protected]. oRecipients can access a sample AAR/IP template at:https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning. Fusion CentersA critical component of the national response to the 9/11 terrorist attacks was the development of a national-level, decentralized, and coordinated terrorism-related information sharing environment (ISE). State and local governments, supported by federal investments from DHS, the Department of Justice (DOJ), Department of Health and Human Services (HHS), and other federal agencies, established the National Network of Fusion Centers (National Network), which became the backbone of the national ISE. This National Network, comprised of 80 state and major urban area fusion centers, collaborates and shares information with partners from all levels of government and the private sector, as well as other field-based information sharing partners, including HIDTAs, RISS Centers, JTTFs, major city/county intelligence units, and real-time crime analysis centers, among others.National Network participation in the Nationwide SAR Initiative (NSI) enables fusion centers to identify, receive and analyze suspicious activity reporting and other tips/leads from frontline public safety personnel, the private sector, and the public, and ensure the sharing of SARs with DHS and the FBIJTTFs for further investigation. In addition to those activities identified in the National Prevention Framework, fusion centers are also required to collaborate with those intelligence, operational, analytic, investigative, and information-sharing focused entities to combat a wide array of threats noted below in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism, targeted violence, and other threats. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers as well as other federal intelligence, operational, analytic, and investigative entities. Applicants should describe their collaboration plan and proposed efforts in their required Fusion Center project as part of the Intelligence and Information Sharing National Priority.including international and domestic terrorism, drugs, gangs, active shooters, targeted violence, transnational organized crime, and cyberrequire federal, state, and local governments to leverage this national capacity to effectively respond to the evolving nature of the various national and homeland security threats confronting our Nation. Ultimately, timely identification and analysis of key indicators from local, state, and federal partners will enable all stakeholders to address emerging threats and develop and implement data-driven strategies to prevent, protect against, mitigate, and respond effectively, while ensuring the protection of privacy, civil rights, and civil liberties.To underscore the importance of the National Network ashomeland security and counterterrorism architecture, FEMA preparedness grants will continue to prioritize support for designated fusion centers (http://www.dhs.gov/fusion-center-locations-and-contact-information) and the maturation of the ISE. Fusion centers mustprioritize the following capabilities to further enable and mature this national asset and strengthen the collective capacity to identify, collect, analyze, and share information, and to disseminate actionable and strategic intelligence to key stakeholders:

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Addressing Emerging Threats: Fusion centers provide a national-level, decentralized, and coordinated ISE across all levels of government and disciplines that can be leveraged and applied to address emerging threats to homeland security, national security, public safety, and/or public health, and especially those threats that may have little or no warning. Fusion centers should leverage and build upon their terrorism-focused analytic and information-sharing capabilities so they can be applied to address threats across the DHS mission space, including threats from both international terrorism and domestic violent extremists, threats to life and targeted violence, transnational organized criminal activity, cyber threats, and natural hazards, among others that require close collaboration with DHS operational, investigative, and analytic entities such asCBP, ICE, United States Secret Service (USSS), Cybersecurity and Infrastructure Security Agency (CISA), the United States Coast Guard (USCG), and FEMA. Analytic Capability: Fusion centers must maintain strong analytic capabilities at tactical, operational, and strategic levels to address a wide array of threats or hazards that could have implications for homeland security or national security. These capabilities directly support operational, investigative, and information sharing efforts across all levels of government. These capabilities include, but are not limited to:oBuilding and sustaining a capable workforce of analysts who have the necessary experience and training; access to open source, unclassified and classified information, products, data, suspicious activity reporting; tips/leads and online/social media-based threats; as well as necessary services and technology to facilitate analytic capabilities and collaboration. oAssessing, evaluating, and deconflicting acts of targeted violence, threats to life, and other criminal or suspicious activity, to include potential indicators and behaviors, for potential connection to or implications for international or domestic terrorism, or other threats within the DHS mission space.oProviding analytic support and responses to requests for information from federal, state, and local partners during no notice emerging threats, attacks, or incidents, as well as other planned events such as NSSEs.oConducting threat assessments within their respective jurisdictions, including the identification of threats, intelligence gaps, and mitigation efforts.oEstablishing, formalizing, and maintaining bi-directional information sharing with federal and other state agencies in accordance with jurisdictional authorities.oLeveraging available resources and capabilities to conduct target and event deconfliction in support of threat identification, officer safety, and information sharing.oMaintaining an ability to routinely support federal government efforts to watchlist terrorists and transnational organized crime actors.oAppropriately planning for, and assessing/forecasting, prioritizing, and executing against both known and emerging threat vectors, and ensuring the safety and security of all operations, while protecting privacy, civil rights, and civil liberties. Fusion centers should also consider their operational capacity when aligning manpower and resources in support of this capability (e.g., the ability to maintain watch and analytic support functions over a 24/7 operational tempo). Technological Integration:Access to data, information, and products is essential for fusion centers and the federal government to effectively identify, collect, analyze, and share information. Just as threats do not stop at jurisdictional borders, fusion centers must be able to effectively access and share appropriate information and data across jurisdictions, agencies, and disciplines. Fusion centers must ensure and certify via the Fusion Center Assessmentthey have the necessary technological capacity to access, analyze, and share information, including criminal intelligence and online/social media threat information, both within their jurisdictions, as well as HSGP Appendix | February 2021 Page A-25
with other fusion centers across the country and with the Federal Government through a variety of systems, databases, tools, and technologies that allow for federated searching and data/information analysis that protects Personally Identifiable Information and includes appropriate security, privacy, civil rights, and civil liberties protections. This includes maintenance of the ability to collect, integrate, evaluate, and assess SAR, tips/leads, data resident in CAD and RMS, and online/social media-based threats from agencies across the jurisdiction. Such approaches should also address the evaluation and use of emerging capabilities, including social network analysis, federated search technology across CAD, RMS, and other data systems, complex data indexing, social media, open source, facial recognition, unmanned aircraft systems, geographic information systems (GIS), license plate reader technologies, and other artificial intelligence technologies. Interagency Collaboration: Fusion centers must maintain strong partnerships to enable intelligence, operational, investigative, and analytic collaboration and deconfliction of threat information with other partners located within their jurisdiction and across their region, including HIDTAs, RISS Centers, DHS intelligence, operational, investigative, and analytic entities, FBI Field Offices, JTTFs, and major city/county intelligence units.State and urban area fusion centers receiving SHSP or UASI grant funds will be evaluated based on compliance with the guidance and requirements for the National Network as set forth by DHS Intelligence and Analysis (I&A) through the annual Fusion Center Assessment.Additional fusion center grant requirements are listed at http://www.dhs.gov/homeland-security-grant-program-hsgp.FEMA approved analyst courses that meet the grant requirement are listed at http://www.dhs.gov/fema-approved-intelligence-analyst-training-courses.Through the Program Performance Report (PPR), fusion centers will report on the compliance with measurement requirements within the fusion centers through the annual Fusion Center Assessment managed by DHS I&A and reported to FEMA. In addition to the activities identified in the National Prevention Framework, fusion centers are also requiredto collaborate with those analytic, investigative, and information-sharing entities focused on preventing, detecting, deterring, and disrupting acts of terrorism and combating transnational criminal organizations. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers, as well as other federal intelligence, operational, analytic, and investigative entities. Applicants will be required to provide information regarding their information sharing partnerships, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing, via the Information and Intelligence National Priority Investment and supporting data via the annual Fusion Center Assessment.Fusion Center Performance MeasuresReference NumberPerformance Measures2021.1Percentage of federal Information Intelligence Reports (IIRs) originating from fusion center information that address a specific Intelligence Community need2021.2Percentage of federal IIRs originating from fusion center information that the Intelligence Community otherwise used in performing its mission (e.g., contained first-time reporting; HSGP Appendix | February 2021 Page A-26
Reference NumberPerformance Measurescorroborated existing information; addressed a critical intelligence gaps; or helped to define an issue or target).2021.3Number of SARs vetted and submitted by fusion centers that result in the initiation or enhancement of an investigation by the FBI2021.4Number of SAR vetted and submitted by fusion centers that involve an individual on the Watchlist 2021.5Percentage of Requests for Information (RFIs) from the Terrorist Screening Center (TSC) for which fusion centers provided information for a TSC case file2021.6Percentage of I&A Watchlist nominations that were initiated or updated existing case files based on information provided by fusion centers2021.7Number of distributable analytic products co-authored by one or more fusion centers and/or federal agencies 2021.8Percentage of fusion center distributable analytic products that address Homeland Security topics2021.9Percentage of fusion center distributable analytic products that address state/local customer information needs2021.10Percentage of key customers reporting that fusion center products are relevant2021.11Percentage of key customers reporting that fusion center services are relevant2021.12Percentage of key customers reporting that fusion center products are timely for mission needs2021.13Percentage of key customers reporting that fusion center services are timely for mission needs2021.14Percentage of key customers reporting that fusion center products influenced their decision making related to threat response activities within their AOR2021.15Percentage of key customers reporting that fusion center services influenced their decision making related to threat response activities within their AOR2021.16Percentage of key customers reporting that fusion center products resulted in increased situational awareness of threats within their AOR2021.17Percentage of key customers reporting that fusion center services resulted in increased situational awareness of threats within their AOR2021.18Number of tips and leads vetted by the fusion center 2021.19Number of tips and leads vetted by the fusion center that were provided to other F/SLTT agencies for follow up action2021.20Number of responses to RFIs from all sources2021.21Number of situational awareness products developed and disseminated by fusion centers2021.22Number of case support and/or tactical products developed and disseminated by fusion centers2021.23Percentage of federally designated special events in which fusion centers played a direct role2021.24Percentage of federally declared disasters in which fusion centers played a direct role2021.25Number of public safety incidents in which fusion centers played a direct roleContinuity of OperationsContinuity planning and operations are an inherent element of each core capability and the coordinating structures that provide them. Continuity operations increase resilience and the probability that organizations can perform essential functions in the delivery of core capabilities that support the mission areas. FEMA is responsible for coordinating the implementation and development, execution, and HSGP Appendix | February 2021 Page A-27
assessment of continuity capabilities among executive departments and agencies. To support this role, FEMA develops and promulgates the Continuity Guidance Circular (CGC) for federal and SLTTgovernments, non-governmental organizations, and private sector critical infrastructure owners and operators. Federal Continuity Directives (FCDs) establish continuity program and planning requirements for executive departments and agencies. This direction and guidance assist in developing capabilities for continuing the essential functions of federal and SLTT governmental entities, as well as public/private critical infrastructure owners, operators, and regulators enabling them.Presidential Policy Directive 40, FCD 1, FCD 2, and CGC outline the overarching continuity requirements and guidance for organizations and provides methodology and checklists. For additional information on continuity programs, guidance, and directives, visit https://www.fema.gov/continuity-guidance-circular-cgcandhttps://www.fema.gov/about/offices/continuity. GovernanceIn keeping with the guiding principles of governance for all FEMA preparedness programs, recipients must coordinate activities across preparedness disciplines and levels of government, including state, territorial, local, and tribal governments. A cohesive planning framework should incorporate FEMAresources as well as those from other federal and SLTT entities, the private sector, and faith-based community organizations. Specific attention should be paid to how available preparedness fundingsources can effectively support a whole community approach to emergency preparedness and management and the enhancement of core capabilities. To ensure this, the SAA must establish or reestablish a unified Senior Advisory Committee. Additionally, urban areas are required to establish UAWGs representative of the counties, cities, towns, and tribes within the high-risk urban area, including,as appropriate, representatives of rural jurisdictions, high-population jurisdictions, and high-threat jurisdictions.Senior Advisory Committee (SAC)The SAC builds upon previously established advisory bodies under the SHSP, UASI program, Nonprofit Security Grant Program (NSGP), Transit Security Grant Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies that should be included on a SAC include UAWGs, SIGB, Area Maritime Security Committees (AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Whole Community Councils, Disability Inclusion Working Groups, and . The membership of the SAC must reflect a statele and theinterests of the five mission areas as outlined in the Goal. Further, the SAC must include representativesthat were involved in the production of the stateTHIRA and SPR. SAC Composition and ScopeSAC membership shall include at least one representative from relevant stakeholders including:Individuals from the counties, cities, towns, and Indian tribes within the state or high-risk urban area, including, as appropriate, representatives of rural, high-population, and high-threat jurisdictions of UASI-funded urban areasRepresentatives that were involved in the production of the stateand SPRState and urban area Chief Information Officers (CIOs) and Chief Information Security Officers (CISOs)SWIC and SIGB membersCitizen Corps Whole Community CouncilsLocal or tribal government officials HSGP Appendix | February 2021 Page A-28
Tribal organizationsEmergency response providers, including representatives of the fire service, law enforcement, emergency medical services, and emergency managersPublic health officials and other appropriate medical practitionersHospitalsIndividuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher educationState and regional interoperable communications coordinators, as appropriateState and major urban area fusion centers, as appropriateNonprofit, faith-based, and other voluntary organizations, such as the American Red CrossAdditionally, program representatives from the following entities should be members of the SAC (as applicable): State Primary Care Association, State Homeland Security Advisor (HSA) (if this role is not also the SAA), State Emergency Management Agency (EMA) Director, State Public Health Officer, StateState Public Safety Officer (and SAA for Justice Assistance Grants, if different), State Coordinator for the DoD 1033 Program (also known as the Law Enforcement Support Office [LESO] Program), State Court Official, State Emergency Medical Services (EMS) Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen Corps Whole Community Council, the State Emergency Medical Services for Children (EMSC) Coordinator, State Education Department, State Human Services Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General.SACs are encouraged to develop subcommittee structures, as necessary, to address the issue or region-specific considerations. The SAC must include whole community intrastate and interstate partners as applicable and have balanced representation among entities with operational responsibilities for terrorism/disaster prevention, protection, mitigation, response, and recovery activities within the state, and include representation from the stakeholder groups and disciplines identified above.The above membership requirement does not prohibit states, urban areas, regional transit and port entities, or other recipients of FEMA preparedness funding from retaining their existing structure under separate programs; however, at a minimum, those bodies must support and feed into the larger SAC. Thecomposition, structure, and charter of the SAC should reflect this focus on building core capabilities, instead of simply joining previously existing advisory bodies under other grant programs. For designated high-risk urban areas, the SAA Point of Contacts (POCs) are responsible for identifying and coordinating with the POC for the UAWG, which should be a member of the SAC. must be provided to FEMA with the grant application. SAAs must work with existing urban areas to ensure that information for current POCs is on file with FEMA.Finally, FEMA recommends that organizations advocating on behalf of youth, older adults, individuals with disabilities, individuals with limited English proficiency and others with access and functional needs, socio-economic factors and cultural diversity be invited to participate in the SAC. Applicants must submit the list of SAC members and the SAC charter at the time of application as an attachment in ND Grants. SAAs will use the URT to verify compliance with SAC charter requirements.SAC ResponsibilitiesThe responsibilities of a SAC include:

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Integrating preparedness activities across disciplines, the private sector, nonprofit, faith-based,and community organizations, and SLTT governments, with the goal of maximizing coordination and reducing duplication of effort;Creating a cohesive planning network that builds and implements preparedness initiatives using FEMA resources, as well as other federal, SLTT, private sector, and faith-based community resources;Management of all available preparedness funding sources to ensure their effective use and to minimize duplication of effort;Ensuring investments support closing capability gaps or sustaining capabilities identified in the THIRA/SPR;Assist in preparation and revision of the state, regional, or local homeland security plan or the threat and hazard identification and risk assessment, as the case may be; andAssist in determining effective funding priorities for SHSP grants.SAC CharterThe governance of the SHSP and UASI programs through the SAC should be directed by a charter. All members of the SAC should sign and date the charter showing their agreement with its content and their representation on the Committee. Revisions to the governassigned FEMA HQ Preparedness Officer. The SAC charter must at a minimum address the following:including how the SAC is informed by the stateurban area/SPR;A description of the frequency at which the SAC will meet;How the committee will leverage existing governance bodies;A detailed description of how decisions on programmatic priorities funded by SHSP and UASI are made and how those decisions will be documented and shared with its members and other stakeholders, as appropriate; andA description of defined roles and responsibilities for financial decision making and meeting administrative requirements.To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness information submitted in a state. SAAs are also encouraged to share their THIRA/SPR data with members of the SAC who are applying for other FEMA preparedness grants to enhance their understanding of statewide capability gaps. The charter should be made available upon request to promote transparency in decision-making related to SHSP and UASI activities.To manage this effort and to further reinforce collaboration and coordination across the stakeholder community, a portion of the 20% holdback of a state or territory award may be utilized by the SAA to support the SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents, protocols, and procedures.Urban Area Working Group (UAWG)UASI program implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention, protection, mitigation, response, and recovery activities within the region. In some instances, high-risk urban area boundaries cross state borders. States must ensure that the identified urban areas take an inclusive regional approach HSGP Appendix | February 2021 Page A-30
to the development and implementation of the UASI program and involve the contiguous jurisdictions, mutual aid partners, port authorities, rail and transit authorities, state agencies, Statewide Interoperability Coordinators, Citizen Corps Whole Community Council(s), and campus law enforcement in their program activities.UAWG Composition and ScopePursuant to section 2003(b) of the Homeland Security Act of 2002(codified as amended at 6 U.S.C. § 604(b)), eligible high-risk urban areas were determined based on an analysis of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by the Office of Management and Budget (OMB). MSAs are used by FEMA to determine eligibility for participation in the program. Geographical areas queried do not equate to minimum mandated membership representation of an urban area, nor does this guarantee funding for geographical areas queried. UAWGs are not required to expand or contract existing urban area participation to conform to MSA composition. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programs-surveys/metro-micro.html.An SAA must confirm a specific POC with the designated high-risk urban area. The SAA POC isresponsible for identifying and coordinating with the POC for the UAWG. This information must be provided to FEMA with the grant application. SAAs must work with existing high-risk urban areas to ensure that information for current POCs is on file with FEMA.Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined high-risk urban area. It must also be inclusive of local Whole Community Citizen Corps Council and tribal representatives. The UAWG should also include at least one representative from each of the following significant stakeholders:Local or tribal government officialsCIO and CISOEmergency response providers, which shall include representatives of the fire service, law enforcement, emergency medical services, and emergency managersPublic health officials and other appropriate medical practitioners, including Health Care Coalitions (HCCs)Individuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher educationState and regional interoperable communications coordinators, as appropriate state and major urban area fusion centers, as appropriateIn addition to representatives from the local jurisdictions and tribes within the state or high-risk urban area, the UAWG should include officials responsible for the administration of Centers for Disease Control and PreventionCDC) and the HHS Assistan(ASPR) cooperative agreements. Finally, it must be inclusive of members advocating on behalf of youth, older adults, individuals with disabilities, individuals with limited English proficiency and others with access and functional needs, socio-economic factors, and cultural diversity.High-risk urban areas will use the URT to verify UAWG structure and membership. The list of UAWG members must also be submitted at the time of application as an attachment in ND Grants. High-risk urban areas must notify the SAA and the FEMA Headquarters Preparedness Officer of any updates to the UAWG structure or membership after the application is submitted.

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UAWG ResponsibilitiesUAWGs must ensure that applications for funding under the UASI program support closing capability gaps or sustaining capabilities identified in the high-risk urban areaTHIRA/SPR. The UAWG should support state efforts to develop the SPR, particularly as it relates to UASI-funded activities. The UAWG, in coordination with the SAA POC, must develop a methodology for allocating funding available through the UASI program. The UAWG must reach consensus on all UASI funding allocations. If consensus cannot be reached within the 45-day period allotted for the state to obligate funds to subrecipients, the SAA must make the allocation determination. The SAA must provide written documentation verifying the consensus of the UAWG or the failure to achieve otherwise on the allocation of funds and submit it to FEMA immediately after the 45-day period allotted for the state to obligate funds to subrecipients. Any UASI funds retained by the state must be used in direct support of the high-risk urban area. States must provide documentation to the UAWG, and FEMA upon request, demonstrating how any UASI funds retained by a state are directly supporting the high-risk urban area.UAWG CharterIn keeping with sound project management practices, the UAWG must ensure that its approach to critical issues such as membership, governance structure, voting rights, grant management and administration responsibilities, and funding allocation methodologies are formalized in a working group charter or another form of standard operating procedure related to the UASI program governance. The charter must also outline how decisions made in UAWG meetings will be documented and shared with UAWG members. The UAWG charter must be submitted at the time of application as an attachment in ND Grants and must be on file with FEMA prior to drawing down UASI funding. It also must be available to all UAWG members to promote transparency in decision making related to the UASI program.Supplemental SHSP and UASI GuidanceCollaborationCollaboration with Other Federal Preparedness ProgramsFEMA strongly encourages states, high-risk urban areas, tribes, and territories to understand other federalpreparedness programs in their jurisdictions and to work with them in a collaborative manner to leverage all available resources and avoid duplicative activities. For example, HHS has two robust preparedness programsPublic Health Emergency Preparedness (PHEP)Hospital Preparedness Program (HPP) cooperative agreementthat focus on preparedness capabilities.4 healthcare preparedness capabilities serve as operational components for many of the core capabilities, and collaboration with the PHEP directors and HPP coordinators can build capacity around shared interests and investments that fall in the scope of these HHS cooperative agreements and the HSGP.States and urban areas should coordinate among the entire scope of federal partners, national initiatives,and grant programs to identify opportunities to leverage resources when implementing their preparedness programs. These may include but are not limited to: Medical Reserve Corps; Emergency Medical Services for Children grants; ASPR HPP; CDC PHEP; CDC Cities Readiness Initiative; Strategic National Stockpile Programs; EMS; DOJ grants; the Department of Defense 1033 Program (also known as theRegional Resilience Assessment Program (RRAP). However, coordination is not limited to grant funding.Assessment for Security Enhancement (BASE), reporting from the Intelligence Community, risk HSGP Appendix | February 2021 Page A-32
information such as Us Maritime Security Risk Analysis Model (MSRAM), and USBP Sector Analysis.Each SHSP- and UASI-funded investment that addresses biological risk, patient care, or health systems preparedness should be implemented in a coordinated manner with other federal programs that support biological and public health incident preparedness such as those administered by HHS ASPR, CDC, and DOTNational Highway Traffic Safety Administration (NHTSA). Collaboration with Health Care Coalitions (HCCs)HCCs are regional entities comprised of health care, public health, emergency management, and emergency medical services organizations that plan and respond together, leverage resources, and address challenges in health care delivery brought on by public health and medical incidents. Given that many of the risks being mitigated include the potential for a range of mass casualties, including those across the chemical, biological, radiological, nuclear, explosive (CBRNE) spectrum, planning efforts should include the participation of HCCs and should take into account the elements and capabilities articulated in the 2017-2022 Health Care Preparedness and Response Capabilities (https://www.phe.gov/Preparedness/planning/hpp/reports/Documents/2017-2022-healthcare-pr-capablities.pdf).Collaboration with Nonprofit OrganizationsSHSP and UASI recipients are encouraged to work with the nonprofit community to address terrorism and all-hazards prevention concerns, seek input on the needs of the nonprofit sector, and support the goals of their investments.Collaboration with TribesFEMA strongly encourages states, high-risk urban areas, and territories to work with tribal nations in overall initiatives such as whole community preparedness and emergency management planning.Whole Community PreparednessSHSP and UASI recipients should engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience. Recipients should consider the three goals of the 2018-2022 FEMA Strategic Plan in their program design and delivery, specifically Strategic Goal 1: Build a Culture of Preparedness, and Strategic Goal 2: Ready the Nation for Catastrophic Disasters. Recipients should integrate program design and delivery practices that ensure representation and services for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. Individual preparedness must be coordinated by an integrated body of government and nongovernmental representatives as well, including but not limited to, elected officials, the private sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations (including faith-based, community-based, and voluntary organizations), advocacy groups for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations.In addition to Community Emergency Response Team (CERT) programs, the following preparedness programs are allowable expenses:

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Financial Preparedness Activitiesthat encourage and assist Americans in preparing for the true cost of disasters. Allowable activities include encouraging emergency savings, promoting home with local financial wellness organizations such as credit unions, financial counselors, community banks, and others that reach a variety of audiences are encouraged.Preparedness of Community-Based Organizations that serve as a critical safety net for Americans disproportionately impacted by disasters. Examples of community-basedorganizations include but are not limited to food banks, food pantries, homeless shelters, school readiness and after school centers, adult day care centers, job training centers, legal assistance centers, and cultural centers. Allowable activities include Whole Community exercises, trainings, and activities focused on staff preparedness, information sharing with clients and government, and continuity of essential functions in the event of an emergency. Youth Preparedness Resources are available on www.ready.gov/kids. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youth-centric educational curricula, games, planning materials, and other relevant resources can be found at www.ready.gov/kidsPreparedness Division (ICPD) and regional-based Community Preparedness Officers (CPOs) are available to provide grant recipients with guidance and assistance. Please email [email protected] following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs:oReach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor guide and student activity book is available at https://www.ready.gov/student-tools-emergency-planning-step.oSponsor the creation of a Teen Community Emergency Response Team (CERT) in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a step-by-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert. The following tools are available to order from FEochildren and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at https://www.ready.gov/prepare-pedro.oThe Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency. Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives:Stay SafeStay Calm Get Help HSGP Appendix | February 2021 Page A-34
Give Info Give Care Ready 2 Help is designed for children ages 8 and up. Additional information, including an ordering form, is available athttps://www.ready.gov/ready-2-help.Supplemental OPSG Program GuidanceOPSG supports enhanced cooperation and coordination among CBP, USBP, and federal and SLTT law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. OPSG also further enhances the sharing of threat information and intelligence between federal, state, local, tribal, and territorial law enforcement agencies through the development and sustainment of a capable workforce of analysts that have the necessary experience and training, access to open source, unclassified and classified information, products, data, suspicious activity reporting, tips/leads, and online/social media-based threats, as well as necessary services and technology to facilitate analytic capabilities and collaboration.SLTT law enforcement agencies will utilize their own law enforcement authorities to support the CBP and USBP border security mission and will not receive any additional authority as a result of participation in the grant. An OPSG award does not provide any additional authority to SLTT law enforcement agencies. More specifically, SLTT law enforcement agencies are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the Immigration and Nationality Act).SLTT law enforcement agencies are expected utilize their own jurisdictional authority in support of enhanced border security unless some other agreement applies. SLTT law enforcement agencies are further expected to operate within the bounds of all applicable laws, to include federal laws, state statutes, and local laws, policies, and procedures. OPSG is intended to support border states and territories of the United States in accomplishing the following objectives:Increase intelligence and operational capabilities to prevent, protect against, and respond to border security issuesIncrease coordination and collaboration among federal and SLTT law enforcement agenciesContinue the distinct capability enhancements required for border security and border protectionProvide intelligence-based operations through USBP Sector Level experts to ensure safety and operational oversight of federal and SLTT law enforcement agencies participating in OPSG operational activitiesSupport a request to any Governor to activate, deploy, or redeploy specialized National Guard Units/Packages and/or elements of state law enforcement to increase or augment specialized/technical law enforcement elements operational activitiesContinue to increase operational, material, and technological readiness of SLTT law enforcement agenciesEnhance the sharing of threat information and intelligence between federal and SLTT law enforcement agenciesDevelop and sustain a capable workforce of analysts that have the necessary experience and training, as well as access to open source, unclassified, and/or classified information, products, HSGP Appendix | February 2021 Page A-35
data, suspicious activity reporting, tips/leads, and online/social media-based threats, and the necessary services and technology to facilitate these analytic activitiesOPSG funds must be used to provide an enhanced law enforcement presence and to increase operational and intelligence capabilities of federal and SLTT law enforcement, promoting a layered, coordinated approach to law enforcement within border states and territories of the United States.Federal and SLTT OPSG Integrated Planning Team (IPT).Federal and SLTT partners must establish and maintain a formalized OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating law No fewer than two IPT meetings must take place during every funding year:oPrior to submitting the Concept of Operations (application)oPrior to submitting the Campaign PlanOPSG funds may be used for travel and per diem in support of the IPTs and OPSG strategic planning events as long as the costs are otherwise compliant with other program and regulatory requirements.Coordination RequirementsAll operational plans should be crafted in cooperation and coordination among federal and SLTTpartners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the USBP Sector Headquarters with geographic responsibility for the submitting an Operations Order with an embedded budget to the SAA. OPSG funds must be used to provide increased operational capabilities to SLTT partners in support of enhanced border security through:Enhanced Law Enforcement PresenceEnhanced Situational AwarenessEnhanced Intelligence Collection and DistributionAfter awards are announced, prospective recipients will re-scope the draft Operations Order and resubmit it as a final Operations Order with an embedded budget based on actual dollar amounts awarded. The appropriate Sector Headquarters will approve final Operations Orders and forward those orders to Headquarters, Office of Border Patrol, Washington, DC, before funding is released. Recipients may not begin operations, obligate, or expend any funds until FEMA and USBP Headquarters have approved the final Operations Order and the embedded budget and removed any existing special conditions and/or restrictions.Transportation Costs and Costs Related to the Provision of Acute Medical CarePlease seeIB 438for information on transportation costs and costs related to the provision of acute medical care under an OPSG award.OPSG Operations Order Template and InstructionsOperations Order Template InstructionsTo access the OPSG Operations Order Template:Find the Homeland Security Grant Program posting via the search function on Grants.gov HSGP Appendix | February 2021 Page A-36
Select the Related Documents tab on the postingClick on the OPSG Operations Order Template and fill out all sections of the templateExecutive Summary OverviewOperations Order Executive SummaryOperations Order Executive Summary must: Identify the organization name, point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction (typically this will be a program lead or manager overseeing operations and individuals assigned to that agency).Describe how federal and SLTT law enforcement agencies will work together to establish and enhance coordination and collaboration on border security issues.Budget Requirements OverviewOperations Order Detailed Annual Budget must:Explain how costs and expenses were estimated.Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included.Submission RequirementsOperations Orders must meet the following submission requirements:Must be submitted as an Adobe PDF document. All documents submitted must use the unique identifier created by the OPSG data management system from the original associated operation order.Applicable OPSG sector representatives must coordinate with the SAA and OPSG participants to submit an accurate inventory of all specified OPSG purchased property with each Operations Order/FRAGO.Due to the competitive nature of this program, separate attachments will neither be accepted norreviewed.OPSG Operational GuidanceThis section provides operational guidance to OPSG applicants on the development of a concept of operations and campaign planning, the tactical operation period, and reporting procedures. This guidance also delineates specific roles and responsibilities, expectations for operations, and performance measures. Successful execution of these objectives will promote situational awareness among participating agencies and ensure a rapid, fluid response to emerging border-security conditions.OPSG uses an integrated approach to address transnational criminal activity. Federal and SLTT partners are required to establish and maintain an OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating local law . Each operational order will address specific threats, gaps, and vulnerabilities identified by the USBP. All requests in the operational plan will be reviewed and approved by the corresponding sector's Chief Patrol Agent or his/her designee for border security value. USBP will provide routine monitoring and technical expertise to each participating HSGP Appendix | February 2021 Page A-37
agency. The content of each operational plan, to include the requested items will be reviewed for border-All operational plans should be crafted in cooperation and coordination with federal and SLTT partners to meet the needs of the USBP Sector. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the CBP/USBP Sector Headquarters Order with an embedded budget to the SAA. Operations are to be crafted so that resources are allocated to one or more of the supportable categories:1) Law Enforcement Presence 2) Situational Awareness3) Intelligence Collection, Analysis, and DistributionLaw Enforcement Presence includes activities and costs associated to having an SLTT partner provide a law enforcement patrol presence in an area designated by the USBP Sector in support of border security efforts. Situational Awareness includes technology to provide current and immediately relevant information about currently active border security threats. Intelligence Collection and Distribution includes both technology and manpower related to the gathering and analysis of intelligence with a nexus to border security. The terms of an OPSG award do not extend to an SLTT partner any authority to enforce additional laws, statues, or regulations beyond their own authorities; SLTT partners are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the INA). Participation in the grant does not grant participants the power to operate outside of their own jurisdictional boundaries.Concept of Operations and Campaign PlanningPost-Allocation Announcement/Pre-AwardThe overarching operational cycle involves three stages: 1) application; and 2) concept of operations toformulate a Campaign Plan, which are all developed by the IPT. All Operations Orders: Concept of Operations (CONOPS), Operation Orders (OO) or Campaign Plans and FRAGOs shall be submitted through the CBP Stonegarden Data Management System. All OPSG grant Application packages shall be submitted to the SAA for entry into Grants.gov.Application: Please refer to the current fiscal yearHSGP NOFO and relevant information in this Manual.Campaign Plan: After awards are announced, participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized-budgetary intent to their IPT.-term border security objectives and goals designed to mitigate border-security risk.Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that OPSG usage is commensurate to the unique risk of each border region. This may require several short-term operations that combine to form an ongoing operational cycle, ensuring that USBP commanders and SLTT agency partners reserve the flexibility to respond to the ever-changing elements of border security.The operations plan also will articulate the budgetary intent of how funds are to be used throughout the performance period. The operations plan will project planned expenditures in the following categories:

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overtime, equipment, travel, maintenance, fuel, and administrative funds. The subrecipient can initiate the procurement of equipment as well as state how much the county intends to use for M&A while keeping funds for overtime or residual equipment funds available for use as needed. If the subrecipient intends to spend more than 50% of its award on overtime over the course of the performance period, a PRICE Act waiver request must be submitted in accordance with the policy initially outlined inIB 379: Guidance toState Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding. Theoperations plan will meet both the SAA expectations to obligate the funds within 45 days of the award . Sector approved campaign plans must be submitted to USBP Headquarters no later than four months after the official awards announcement has been made.Investment Modifications - Changes in Scope or Objective:Changes in scope or objective of the award including those resulting from intended actions by the recipient or subrecipients require In the event that changes must be made to the original operational plan, such as additional funding requests or other changes to the original scope or objectives, a FRAGO must be submitted in HSIN to in accordance with 2 C.F.R. § 200.308(c)(1). These modifications will be annotated in the annex section of the FRAGO.Operational ExecutionIn the event that changes or additional funding requests to the original operational order must be made, a FRAGO will be created. These modifications will be annotated in the annex section of the FRAGO.Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and intelligence-driven planning is critical to conducting targeted enforcement operations consistent with the objectives of the OPSG. By participating in the OPSG, the state, local, tribal, and territorial agencies agree to conduct operations designed to reduce border-security risk.Operations are composed of six critical elements: 1) a pre-planning meeting with the IPT; 2) specified beginning and ending dates; 3) the integration of intelligence and border security; 4) use of targeted enforcement techniques; 5) clearly stated objectives; and 6) an after-action meeting. These operations require deliberate on-going planning to ensure command, staff, and unit activities synchronize to current and future operations. The cyclical nature of the process will ensure OPSG activities align with the fluctuating border-security threats and vulnerabilities. The IPT should leverage information provided by the fusion center, Border Intelligence Centers or other local intelligence center, when possible, and establish a common operational vision.The USBPintelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security value, driving the focus of operations. Once intelligence-driven targets are identified, the IPT will decide on operational objectives that reflect the intended impact of operations. The objectives should outline how the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal organizations.Each operational period will begin on a predetermined date and end on a predetermined date, but the dates may be subject to change commensurate with emerging security conditions. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved by the corresponding USBP Sector and in concurrence with its SAA and USBP Headquarters. The USBP Sectors will upload copies of operations order in the corresponding folder in the CBP Stonegarden Data Management System.

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Reporting ProceduresParticipation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how the statethreat or vulnerability and the overall reduction of risk. Reporting will focus on monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations. To ensure consistent reporting each state, local, and tribal agency will identify a single point of contact to represent their agency as a member of the IPT and to coordinate the submission of reports or execute other aspects of the grant.The Daily Activity Report (DAR), which can be found by selecting the link for the current fiscal yearHSGP NOFO onpreparedness grants page (https://www.fema.gov/homeland-security-grant-program) to be used to submit the ongoing results and outputs from OPSG operations conducted. The information and statistics included in the DAR will be delineated by agency (friendly forces). The DAR hours of the conclusion of each OPSG shift. Subrecipients and Sectors are responsible to ensure that DARs are submitted in the proper format and in a timely manner. DARs will be submitted using the CBP Stonegarden Data Management System. Friendly Forces receiving funding through a subrecipient will submit DARs within 48 hours. Border Patrol Sectors and OPSG subrecipients will implement internal protocols to ensure operational data from subrecipients and friendly force DARs are properly collected following the established guidelines. In addition to the ongoing reporting of outputs, subrecipient participants will be required to submit AARsto USBP sectors within 10 days of closing the operational POP for that funding year. The AAR should carefully articulate outcomes and outputs as well as how the results of the operation compare with the objectives identified during the pre-planning meeting. Failure to submit the AAR in a timely manner may prevent the approval of future operations requests. All AARs and other OPSG reporting requirements will be submitted through the CBP Stonegarden Data Management System. Sectors are responsible for submitting AARs into Border Patrol Enforcement Tracking System (BPETS) as applicable.Operational Roles and ResponsibilitiesTo achieve unity of effort, it is essential that each participant know the roles and responsibilities within the IPT.Patrol Agent, or his/her designee, will:Coordinate and chair the area IPTCoordinate with all interested and eligible SLTTthe open period of the OPSG application process by:oAssisting applicants in completing the operations planning portion of the application, which is like the Operations Order used by the USBPoForwarding the approved operation portion of the application to CBP/USBP Headquarters as well as to the SAA to complete the application process set by FEMAoDetailing what operational support the USBP Sector anticipates for specific periods and matching the capabilities of partners to fill those gapsFollowing the announcement of grant awards, coordinate and chair a meeting with SLTTagencies that received OPSG awards to develop an individualized campaign plan. This includes:oWorking with SLTT agencies, along with other federal law enforcement agencies to determine the dates, focus, and needs of each operational period, ensuring that each operation has a nexus to border securityoReceiving the first periodic operations order from the SLTT agencies and ensuring that the operation is conducted as outlined in the Campaign Planning sectionoMonitoring and supporting the Operational Cycle throughout the performance period HSGP Appendix | February 2021 Page A-40
oEnsuring the DAR and the AAR are submitted by state, local, and tribal agencies in the proper format and within the established timeframesoProviding instruction, when possible, to state, local, and tribal agencies regarding techniques, methods, and trends used by transnational criminal organizations in the areaoProviding a single point of contact to participants as a subject-matter expert in OPSG that can coordinate, collect, and report operational activities within the established reporting proceduresoProviding verification that operations are conductedoDocumenting and conducting random, on-site operational verification of OPSG patrols by subrecipients and friendly forcesoVerifying that subrecipients are performing OPSG enforcement duties in accordance with the applicable grant, statute, and regulatory guidance and instructionsoEnsuring that grant funds are appropriately expended to meet sector border enforcement operational requirements and assist in enhancing subrecipient/friendly force capabilities to provide for enhanced enforcement presence, operational integration, and intelligence sharing in border communities.The state, local or tribal agency lead, or their designee, will:Coordinate with the SAA on all grant management matters including but not limited to the development and review of operations orders, expenditure of funds, allowable costs, reporting requirements;Upon receiving a grant award, coordinate and meet as a member of the IPT to develop an individualized campaign plan that covers the length of the grant performance period;Work within the IPT to develop an initial Operational Cycle and determine the duration of the first operational period based on the tactical needs specific to the area;Submit all operations orders for review and submit the operations order to the Border Patrol and ensure the operation meets the six criteria established in the Operations Section;oConduct operations on an as-needed basis throughout the length of the grant performance period;oIntegrate law enforcement partners from contiguous counties and towns into their tactical operations to expand the layer of security beyond existing areas;oEnsure all required reports, including reports from friendly forces, are submitted to the Border Patrol and the SAA, when applicable, in the proper format and within established timeframes;oEnsure applicable OPSG-derived data is shared with the designated fusion center in the state or high-risk urban areas;oEnsure applicable intelligence is shared with the designated fusion center in the state and/or urban areas;oRequest instruction and information from the SAA, when applicable, and/or USBP and other federal law enforcement agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area;oProvide the SAA and USBP a single point of contact that maintains subject-matter expertise in OPSG who can coordinate, collect, and report operational activities within the established reporting procedures; andoAssist as required with the coordination, management, and operational aspects of the grant.

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The SAA will:Actively engage in the IPT meetings;Work in direct coordination and communication with the local or tribal agency lead on all grant management matters;Review all operations orders created by the local or tribal agency;Acts as the fiduciary agent for the program and provide expertise in state policy and regulations;Enter into a subaward agreement to disburse the allocated funding awarded through FEMA;Generate biannual reports tos and expenditures of funds;ormance period requires additional refinement over the federally established 36-month period; andConduct audits of the program to ensure that the subrecipients are following program guidance.Assist as required with the coordination, management, and operational aspects of the grant.Definitions (OPSG only)Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal organizations in furtherance of their criminal activity.Border-security related crime: Any action or enterprise that constitutes an offense which is punishable by law:That results in a favorable environment for criminal enterprise network, transnational criminal, or terrorist organizations; the smuggling/trafficking of humans, contraband, narcotics, or weapons of mass destruction across or in proximity to the U.S. border or;That has a direct nexus to illicit cross-border activity; andFor which prosecution would serve established border security goals as outlined by the CBP for a whole of community approach.Campaign Plan: The first Operational Order based on the CONOP aimed at accomplishing a strategic or operational objective within a given time and space.Concept of Operations (CONOP): A written statement that clearly and concisely expresses what the State, local, or tribal commander intends to accomplish and how it will be done using available resources (and funding). It is also the operational equivalent of the OPSG grant application.Fragmentary Order (FRAGO): A fragmentary order is a modification of the approved campaign plan, reflecting changes to the scope or objective pursuant to 2 C.F.R. § 200.308(c)(1). After an operation order approval. with the requirements of 2 C.F.R. §§ 200.308, 200.407.Friendly Forces: Local law enforcement entities with whom OPSG subrecipients provide funding to support border security operations.Integrated Planning Team (IPT): Group that coordinates on all aspects of OPSG application, planning,and de-briefings.

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Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities intended to synchronize current and future operations (driven by current intelligence and short-term goals that support the campaign).Operational Discipline: The organized manner in which an organization plans, coordinates, and executes the OPSG mission with common objectives toward a particular outcome.Operation/Operational Order (OO): A formal description of the action to be taken to accomplish or satisfy a CONOP, Campaign Plan, or FRAGO. The OO includes a detailed description of actions to be taken and required logistical needs to execute an operation.Opioid Receptor Antagonists: Any medically approved drug or medical substance that can be utilized by first responder personnel in an emergency situation that is designed to counteract the effects of an opioid overdose.Performance Measure: A numerical expression that quantitatively conveys how well the organization is doing against an associated performance goal, objective, or standard.Risk: Potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence.Targeted Enforcement: The leveraging of all available assets against a specific action, area, individual, or organization and using those deemed most appropriate to mitigate risk.Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by transnational criminal organizations to advance their criminal activity.Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources, the overall context, a specific event or series of events, or observation of suspicious activity.Tier: Tier refers to the geographical location of a municipality, county, or tribe with respect to the United States national border, i.e., Tier 1 is a county located on the border; a Tier 2 county is a county contiguous to a Tier 1 county; and a. Tier 3 is a county not located on the physical border but is a contiguous to a Tier 2 county.Unity of Effort: Coordination and cooperation among all organizational elements, even though they may not be part of the same command structure, to achieve success.Vulnerability: The protective measures in place are less than the protective measures needed to mitigate risk.HSGP Supplemental MaterialFEMA collaborates with various subject-matter experts and acknowledges the value and expertise these Federal partner agencies provide to help shape the development and implementation of the HSGP. This continued partnership and collaboration helps provide recipients with the greatest number of resources required to effectively manage and implement funds as well as promotes transparency. Therefore, FEMAis providing hyperlinks to information on various subjects and policies that are relevant to the mission and intent of the FEMA and its preparedness grant programs.

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Chemical, Biological, Radiological, and Nuclear (CBRN) DetectionThe Countering Weapons of Mass Destruction (CWMD) Office is a support component within DHS established in December 2017 to counter attempts by terrorists or other threat actors to carry out an attack against the United States or its interests using a weapon of mass destruction. The CWMD Office provides guidance to improve national coordination on CBRN issues and works with federal and SLTT agencies to ensure operators have better access to current data and subject matter expertise they need. CWMD offers THIRA Technical Assistance for CBRN threats to provide guidance to SLTT partners seeking to build or sustain CBRN detection and response capabilities. For more information or assistance, please contact [email protected] Information Exchange Model (NIEM)NIEM is a common vocabulary that enables efficient information exchange across diverse public and private organizations. NIEM can save time and money by providing consistent, reusable data terms and definitions and repeatable processes. To support information sharing, all recipients of grants for projects implementing information exchange capabilities are required to use NIEM and to adhere to the NIEM conformance rules. Go to https://niem.gov/ for guidance on how to utilize FEMA award funding for information sharing, exchange, and interoperability activities.The NIEM Emergency Management domain supports emergency-related services (including preparingfirst responders and responding to disasters), information sharing, and activities such as homeland security and resource and communications management. The NIEM Emergency Management domain has an inclusive governance structure that includes federal, state, local, industry, and, where necessary, international partnerships. The NIEM Emergency Management domain is committed to community support via technical assistance and NIEM training. For more information on the NIEM Emergency Management domain, to request training or technical assistance or to just get involved, go to https://niem.gov/EM.Integrated Public Alert and Warning System (IPAWS)The current IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on eligible public alert and warning activities and equipment standards for prospective SLTT recipients. The intent of this document is to promote consistency in policy across federal grant programs and to ensure compatibility among federally-funded projects. For more information on the IPAWS, go to https://www.fema.gov/informational-materials.Homeland Security Information Network (HSIN)HSIN is a user-driven, web-based, information sharing platform that connects all homeland security professionals including the DHS and its federal, state, local, tribal, territorial, international, and private sector partners across all homeland security mission areas. HSIN is used to support daily operations, events, exercises, natural disasters, and incidents. To support user mission needs, HSIN provides three sets of services for secure information sharing. The first service provides a shared place for communities to securely collaborate on homeland security issues and includes core functions such as a web conferencing and instant messaging tools with white boarding, video, and chat services for real-timecommunication and situational awareness. The second set provides secure dissemination and sharing capabilities for homeland security alerts, reports, and products. The third set allows users to access and query a variety of shared data and services from all homeland security mission areas and trusted federalpartners. Preparedness grant funds may be used to support planning, training and development costs associated with developing and managing, mission critical, HSIN communities of interest and sites. Learn more about HSIN at http://www.dhs.gov/hsin-hsgp-guidance.

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SLTT Cybersecurity Engagement ProgramCISA is responsible for enhancing the scommunications infrastructure. CISA works to prevent or minimize disruptions to critical information infrastructure to protect the public, the economy, and government services. CISA leads efforts to protect the Federalto increase the security of critical networks.The DHS SLTT Cybersecurity Engagement Program within CISA was established to help non-federalpublic stakeholders and associations manage cyber risk. The program provides appointed and elected SLTT government officials with cybersecurity risk briefings, information on available resources, and partnership opportunities to help protect their citizens online. Through these and related activities, the program coordinates DHScyber interests. More information on all of the CISA resources available to support SLTT governments is available at https://us-cert.cisa.gov/resources.Regional Resiliency Assessment Program (RRAP)The Regional Resiliency Assessment Program (RRAP) is a cooperative assessment of specific critical infrastructure within a designated geographic area and a regional analysis of the surrounding infrastructure that address a range of infrastructure resilience issues that could have regionally and nationally significant consequences. These voluntary, non-regulatory RRAP projects are led by the Infrastructure Security Division and are selected each year by DHS with input and guidance from federal, state, and local partners. For additional information on the RRAP, visit https://www.cisa.gov/regional-resiliency- assessment-program.Law Enforcement Support Office (LESO), or 1033 ProgramThe LESO facilitates a law enforcement support program, which originated from the National Defense Authorization Act of Fiscal Year 1997. This law allows the transfer of excess Department of Defense property that might otherwise be destroyed by law enforcement agencies across the United States and its territories. No equipment is purchased for distribution. All items were excess that had been turned in by military units or had been held as part of reserve stocks until no longer needed. Requisitions cover the gamut of clothing and office supplies, tools, and rescue equipment, vehicles, small arms, and more. There is no fee for the equipment itself, however, the law enforcement agencies are responsible for the shipping costs.For additional information on the LESO, please visit http://www.dla.mil/DispositionServices/Offers/Reutilization/LawEnforcement.aspx.Supplemental Emergency Communications GuidanceLessons learned from recent major disasters, unplanned events, and full-scale exercises have identified a need for greater coordination of emergency communications among senior elected officials, emergency management agencies, and first responders at all levels of government. Federal responders arriving on the scene of a domestic incident are not always able to communicate with SLTT response agencies, as well as key government officials. State and local first responders sometimes experience similar problems, particularly when the incident requires a multi-agency, regional response effort or when primary communications capabilities fail. This lack of operability and interoperability between federal and SLTTagenciesfurther complicated by problems with communications survivability and resiliencehas HSGP Appendix | February 2021 Page A-45
hindered the ability to share critical information, which can compromise the unity-of-effort required for an effective incident response. Departments and agencies at all levels of government have identified a need for improvement in a number of high-priority areas, including: Governance, Planning, Training and Exercises, Operational Coordination, and Technology. In addition, communications resilience and continuity should be viewed as a critical component within each of these areas. These priorities are explained in detail in Section 2 of theSAFECOM Guidance. By addressing these priorities, which are reflective of proven best practices, emergency communications can be significantly improved at all levels of government. The end goal is to ensure operable, interoperable, and resilient communications that maintain a continuous flow of critical information, under all conditions, among multi-jurisdictional and multi-disciplinary emergency responders, command posts, agencies, critical infrastructure sectors, and government officials for the duration of an emergency response operation, and in accordance with NIMS and the National Emergency Communications Plan, which describes goals and objectives for improving emergency communications nationwide.To help meet this goal, the SAFECOM Guidance outlines requirements for grant applications, including alignment to national, regional, and state communications plans (e.g., NECP, Statewide Communications Interoperability Plan (SCIP), Tactical Interoperability Communications Plan (TICP), FEMA RegionalEmergency Communications Plan (RECP)), project coordination, and technical standards for emergency communications technologies. SCIPs define the current and future direction for interoperable and emergency communications within a state or territory, while TICPs are designed to allow urban areas, counties, regions, states/territories, tribes, or federal departments/agencies to document interoperable communications governance structures, technology assets, and usage policies and procedures. In addition, FEMAstate and/or tribal/territorial annexes that identify emergency communications capability shortfalls and potential resource requirements. Grant recipients are encouraged to leverage these planning resources as a source of input and reference for all emergency communications grant applications and investment justifications. In addition, FEMA formally recognizes several statewide emergency communications governance bodies (e.g., SWIC, SIGB, Statewide Interoperability Executive Committee (SIEC), FirstNet State Single Point of Contact (SPOC)), and strongly encourages grant recipients to closely coordinate with these entities when developing an emergency communications investment to ensure projects support the state or interoperable, and resilient communications. In addition, grant applicants should work with public and private entities, and across jurisdictions and disciplines, to demonstrate engagement with the Whole Community in accordance with Presidential Policy Directive-8 (PPD-8). For regional, cross-border initiatives, FEMA requires applicants to coordinate projects with national level emergency communications coordination bodies, such as the National Council of Statewide Interoperability Coordinators (NCSWIC) and the Regional Emergency Communications Coordination Working Groups (RECCWGs). The NCSWIC promotes and coordinates state-level activities designed to ensure the highest level of public safety communications across the nation. RECCWGs are congressionally-mandated planning and coordination bodies located in each FEMA Region and provide a collaborative forum to assess and address the survivability, sustainability, operability, and interoperability of emergency communications systems at all levels of government. Grant-funded investments that are coordinated with these bodies will help ensure that federally-funded emergency communications investments are interoperable and support national policies.

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Resilient Communications GuidanceNothing better demonstrates a modern nation than its ability to effectively communicate. The risk imposed by the reliance on communication systems by government and the private sector can be reduced by understanding dependencies, analyzing effects, and taking action. Entities planning to use HSGP funding for communications investments are encouraged to work with state emergency management agencies, SWICs, SIGBs, and appropriate stakeholders at the regional, state, local, territorial, and tribal levels to: Establish robust, resilient, reliable and interoperable communications capabilities. Account for the mission impact of communication system disruptions in your planning;Ensure mission-related communications (voice, video, data and network security requirements) are adequately planned for and understood. It is important to maintain current documentation of your communication systems architecture and perform regular audits. Your ability to continue operations is dependent on the availability of and access to communications systems with sufficient resiliency, redundancy, and accessibility to perform essential functions and provide critical services during a disruption;Ensure critical communication systems connectivity among key government leadership, internal elements, other supporting organizations, and the public under all conditions. As such, organizations should ensure current copies of vital records, including electronic files and software, are backed-up and maintained off-site;Ensure all communications systems/networks are traced from end to end to identify all Single Points of Failure (SPF). In doing so, grantees should work with communication service providers to add redundancy at key critical infrastructure facilities as needed;Ensure key communication systems resiliency through:oEnsuring availability of backup systemsoEnsuring diversity of network element components and routingoEnsuring geographic separation of primary and alternate transmission mediaoEnsuring availability of back-up power sourcesoEnsuring availability and access to systems that are not dependent on commercial infrastructureoMaintain spares for designated critical communication systemsoWork with commercial suppliers to remediate communication Single Points of FailureAll communications system owners are encouraged to address the following issues: oIntegrate communications needs into continuity planning efforts by incorporating mitigation options to ensure uninterrupted communications supportoEstablish a cybersecurity plan that includes continuity of a communications component such as Radio Frequency (RF)-based communications that do not rely on public infrastructureoMaintain communications capabilities to ensure their readiness when neededoFrequently train and exercise personnel required to operate communications capabilitiesoTest and exercise communications capabilitiesoConsider Electromagnetic Pulse (EMP) protective measures for communications systems where practical.DHS/FEMA Communications Support ServicesCISA and FEMA offer a variety of technical assistance and other support services to assist state and local entities in their efforts to comply with the above requirements, including the SAFECOM Guidance, with the goal of ensuring interoperable and resilient emergency communications. A summary of DHS/FEMA support services is provided below. Grant recipients are encouraged to refer to the respective websites for additional information.

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CISA Support:CISA assists agencies through a myriad of services, including direct TA and training provided at no cost to the jurisdiction. The TA offerings include (but are not limited to):Coordinated statewide governance (e.g., State Mapping Tool, Interoperable Communications Reference Guides)Comprehensive emergency communications planning (e.g., SCIPs, TICPs, and Field Operations Guides)Next Generation 911 planning and implementationData operability and interoperabilityAlerts and warningsBroadband deploymentCybersecurity education and awarenessCommunications Unit (COMU) planning and proceduresInformation on these services is available at https://www.cisa.gov/safecom/ictapscip-resourcesand https://www.cisa.gov/interoperable-communications-technical-assistance-program. FEMA Disaster Emergency Communications Division (DEC) Support:DEC has developed State Communications Annexes for all 56 states and territories. DEC provides technical assistance, coordinated through the FEMA RegionRegional Emergency Communications Coordinator (RECC) in scheduling with the states and territories for major updates to the Annexes. Major updates are scheduled on a 3 to 5-year cycle. FEMA DEC supports the major update with a team of communications and emergency management specialists that facilitate a process of interaction with staterepresentatives. This process is coordinated through the SWIC or state designated representative. All documentation is the responsibility of the FEMA support team and validated through state interaction. Minor yearly updates to the State Annexes are accomplished through the RECCWG process. FEMA DEC support staff, working in coordination with the region-specific RECC, incorporate pertinent update information provided by state and local representatives. Additionally, operational information identified through exercises and incident response activities is a source of update data. The FEMA RECC, with the support of the DEC team, is responsible for maintaining the State Annexes changes and modifications to the Annexes are validated with the state through RECC coordination with the SWIC or designated staterepresentative.FEMA National Preparedness Directorate (NPD) Support:NPD provides training, exercises, and technical assistance to SLTT stakeholders that support operational and emergency communications. Descriptions and resources specific to operational communication are https://www.fema.gov/core-capability-development-sheets) within the Response Mission Area and include the following information to support jurisdictions:Description of the operational communications core capabilityTraining for building and sustaining operational communication with specific course titles oTrainings can also be found at https://www.firstrespondertraining.gov/frt/.Example capability targets to complete a THIRAoHelp in developing targets can be found at www.preptoolkit.fema.gov/urtor requested at [email protected] types that support operational communications HSGP Appendix | February 2021 Page A-48
oAdditional resource types and position qualifications can be found at https://www.fema.gov/preparedness-checklists-toolkits. Tools to validate capabilities through exercises oTechnical assistance and support from subject matter experts can be requested through www.fema.gov/national-exercise-program.FEMA National Continuity Programs (NCP) Support:important component. Currently, continuity communications training and technical assistance is limited to the FEMA National Radio System (FNARS) and IPAWS and is delivered either on an ad hoc basis at the request of the state entity, through a FEMA Region, or via a requirement for terms of use. Entities interested in NCP support services should contact [email protected] Resources Toolkit webpage at https://www.fema.gov/continuity-resource-toolkit.

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Program Appendix B:Tribal Homeland Security Grant Program (THSGP)As a reminder, while this appendix contains THSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the THSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.Alignment of THSGP to the National Preparedness System The THSGP plays an important role in the implementation of theNational Preparedness Goalby supporting the building, sustainment, and delivery of the core capabilities. The core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. THSGP allowable costs support efforts to build and sustain core capabilities across the prevention, protection, mitigation, response, and recovery mission areas described in the Goal.Particular emphasis in THSGP will be placed on capabilities that address the greatest risks to the security and resilience of tribal communities and the United States and that provide a clear nexus to preventing acts of terrorism. Funding will support deployable assets that can be utilized through automatic assistance and mutual aid agreements. THSGP supports investments that improve the ability of jurisdictions nationwide to:Prevent a threatened or an actual act of terrorism;Protect our citizens, residents, visitors, and assets against the greatest threats and hazards;Mitigate the loss of life and property by lessening the impact of future disasters;Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/orRecover through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident.To support building, sustaining, and delivering these core capabilities, recipients will use the components of the National Preparedness System, which include: Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities,Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at: http://www.fema.gov/national-preparedness-system.FEMA requires recipients to prioritize grant funding to demonstrate how investments support identified national priorities and closing capability gaps or sustaining capabilities identified in the Threat and Hazard Identification and Risk Assessment (THIRA)/Stakeholder Preparedness Review (SPR) process. Recipients are also expected to consider national areas for improvement identified in the most recent National Preparedness Reportas they relate to terrorism preparedness. They include cybersecurity,economic recovery, housing, infrastructure systems, natural and cultural resources, and supply chain integrity and security. Addressing these areas for improvement will enhance preparedness nationwide. Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients THSGP Appendix | February 2021 Page B-2
are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities.Reporting on the Implementation of the National Preparedness SystemBy December 31, 2021, THSGP recipients are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with the Comprehensive Preparedness Guide (CPG) 201, Third Edition.Specific guidance on the requirements for each core capability will be forthcoming in 2021, as some core capabilities have fewer reporting requirements than others. THSGP recipients must complete every step of the THIRA/SPR for the following eight core capabilities: Cybersecurity; Infrastructure Systems; Mass Care Services; Mass Search and Rescue Operations; On-scene Security, Protection, and Law Enforcement; Operational Communications; Operational Coordination; and Public Information and Warning. For the remaining 24 core capabilities, THSGP recipients are only required to indicate planning, organization, equipment, training, and exercise gaps in functional areas related to those capabilities. THSGP recipients may optionally complete additional portions of the THIRA/SPR for these 24 core capabilities. Beginning in 2020 and continuing in 2021, THSGP recipients are required to respond to a series of planning-related questions as part of the THIRA/SPR. THSGP recipients are required to submit a THIRA every three (3) years to establish a consistent baseline for assessment. While the THIRA will be only required every three years, THSGP recipients will continue to be required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to the Comprehensive Preparedness Guide (CPG) 201, Third Edition. Recipients must align THSGP grant investments in building and sustaining capabilities with closing capability gaps and/or sustaining capabilities they identified in their THIRA and SPR.Reporting RequirementsTHSGP recipients must submit their THIRA and SPR through the Unified Reporting Tool (URT) onPrep Toolkitno later than December 31 of the applicable year (every three years for THIRA and each year for SPR). FY 2021 THSGP Recipients must also update their SPR inputs in 2022and 2023.Please contact [email protected] you have questions.In each THSGPBiannual Strategy and Implementation Report (BSIR), as part ofprogrammatic monitoring, recipients will be required to describe how investments support closing capability gaps or sustaining capabilities identified in the THIRA/SPR. THSGP recipients will, ona project-by-project basis, check one of the following:oBuilding a capability with THSGP funding; oroSustaining a capability with THSGP funding.National Incident Management System (NIMS) ImplementationRecipients receiving THSGP funding are required to implement the National Incident Management System (NIMS). NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness Goal. THSGP recipients must utilize standardized resource management concepts such as typing, credentialing, and inventorying resources that facilitates the effective identification, dispatch, deployment, tracking and recovery of their resources.

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The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictionsclarifies the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunities(NOFOs). As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at https://www.fema.gov/emergency-managers/nims/implementation-training. Reporting RequirementsRecipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the THSGP NOFO.Planning to Deliver CapabilitiesRecipients shall develop and maintain a jurisdiction wide, all threats and hazards EOPs consistent with CPG 101 Version 2.0 (CPG 101 v2). Recipients must submit an EOP once during the period of performance. Reporting RequirementsRecipients report EOP compliance with Developing and Maintaining Emergency Operations Plans by completing the secondary CPG 101 v2 assessment in the URT.Validating CapabilitiesAll recipients will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP) guidance in support of the National Exercise Program (NEP). The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-Strategic Priorities, established by the National Security Council and informed by preparedness data from jurisdictions across the Nation. To develop and maintain a progressive exercise program consistent with HSEEP and in support of the NEP, recipients should engage senior leaders and other whole community stakeholders to identifypreparedness priorities. These priorities should be informed by various factors, including jurisdiction-specific threats and hazards (i.e. the THIRA); areas for improvement identified by real-world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi-yearIntegrated Preparedness Plan (IPP). Information related to IPPs and Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseepand https://preptoolkit.fema.gov/.The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance, tools and resources, enhanced coordination, and the ability to directly influence and inform policy and preparedness programs. If you have any questions or would like to request assistance through the NEP, please visit the NEP website at: https://www.fema.gov/national-exercise-programor reach out to the NEPdirectly at [email protected].

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Reporting RequirementsRecipients must have a current multi-year IPP that identifies preparedness priorities and activities. The current multi-year IPP must be submitted [email protected] before January 31 of each year. oRecipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.gov/.Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to [email protected](if applicable). Submission of AAR/IPs must be no later than December 31 of each year. For exercises that occur within the final quarter of a calendar year, submission of AAR/IPs must occur within 90 days after completion of the single exercise. Regardless of conduct date, recipients are encouraged to submit AAR/IPs within 90 days after completion of the single exercise or progressive series. oRecipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions that reflect drills.oIf a recipient endures a significant real-world incident during the calendar year that delays or prevents conduct of a grant-funded exercise, they can submit the AAR from that event in place of the exercise AAR. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to [email protected]. oRecipients can access a sample AAR/IP template at https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning. THSGP Funding GuidelinesRecipients and subrecipients must comply with all applicable requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200. In administering a THSGP grant award, recipients must comply with the following general requirements:THSGP PrioritiesSee the annual THSGP NOFO.Allowable Costs Management and Administration (M&A)M&A activities are those defined as directly relating to the management and administration of THSGP funds, such as financial management and monitoring. Recipients may use up to 5% of the amount of the award for M&A, and where applicable, subrecipients may use up to 5% for M&A of the amount they receive. Reasonable costs of grant management training are also allowable.Indirect (Facilities and Administrative [F&A]) CostsIndirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their THSGP Appendix | February 2021 Page B-5
proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.Allowable Direct CostsThe following pages outline global allowable costs guidance specifically applicable to THSGP.Allowable activities made in support of the national priorities, as well as other capability-enhancing projects must fall into the categories of planning, organization, equipment, training, or exercises (POETE). Additional detail about each of these allowable expense categories, as well as sections on additional activities including explicitly unallowable costs is provided. In general, recipients should consult their FEMA Preparedness Officer prior to implementing any investment to ensure that it clearly meets the allowable expense criteria established by the guidance.Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness and return on investment aligned to the relevant POETE element, and FEMA encourages grant recipients to provide the results of that analysis to FEMA.PlanningPlanning efforts can include prioritizing needs, updating preparedness strategies, and allocating resources across stakeholder groups (e.g., law enforcement, fire, emergency medical services, health care systems, public health, behavioral health, public works, rural water associations, agriculture, information technology, emergency communications, and the general public, including people with disabilities) and levels of government. Planning provides a methodical way to engage the whole community in thinking through the life cycle of potential crises, determining required capabilities, and establishing a framework for roles and responsibilities. Planning must include participation from all stakeholders in the community who are able to contribute critical perspectives and may have a role in executing the plan. Planning should be flexible enough to address incidents of varying types and magnitudes.Planning activities should focus on the prevention, protection, mitigation, response, and recovery mission areas outlined in the Goal. All jurisdictions are encouraged to work with Citizen Corps Whole Community Councils, nongovernmental entities, and the general public in planning activities. Whole community planning should integrate program design and delivery practices that ensure representation and services for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations.Recipients must use the CPG 101 v2, Third Edition in order to develop robust and effective plans.For additional planning and resource information, please see: http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdfhttp://www.ready.gov/citizen-corpshttp://www.fema.gov/community-emergency-response-teamswww.ready.gov/kidshttp://www.fema.gov/media-library/assets/documents/94775.https://www.fema.gov/sites/default/files/2020-06/national_disaster_recovery_framework_2nd.pdf THSGP Appendix | February 2021 Page B-6
Continuity of OperationsFEMA is designated as the Department of Homeland Security's lead agency for managing the nation's Continuity Program. To support this role, FEMA provides direction and guidance to assist in developing capabilities for continuing federal and state, local, tribal, and territorial (SLTT) government jurisdictions and private sector organizations' essential functions across a broad spectrum of emergencies.Presidential Policy Directive 40, the National Continuity Policy Implementation Plan (NCPIP), FederalContinuity Directive (FCD) 1, FCD 2, and Continuity Guidance Circular (CGC) outline continuity requirements for agencies and organizations and provide guidance, methodology, and checklists. For additional information on continuity programs, guidance, and directives, visit http://www.fema.gov/guidance-directives and https://www.fema.gov/national-continuity-programsor contact a Regional Continuity Manager. Please note, the Continuity Guidance Circular (2018) supersedes Continuity Guidance Circular-1, Continuity Guidance for Non-Federal Governments(July 2013), and Continuity Guidance Circular-2, Continuity Guidance for Non-Federal Governments: Mission Essential Function Identification Process(Oct. 2013). U.S. Department of Homeland Security, Continuity Guidance Circular at 8 (Feb. 2018).Organization Recipients may use grant funds for organization activities: Organizational activities may include, paying salaries and benefits for personnel, including individuals employed to serve as qualified intelligence analysts. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Other organization activities may include implementing standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident. Additionally, n allowable expense.Equipment The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories and equipment standards for THSGP are listed on the web-based version of the Authorized Equipment List(AEL). Unless otherwise stated, equipment must meet all mandatory regulatory and DHS-adopted standards to be eligible for purchase using these funds. In addition, recipients and subrecipients, as applicable, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.Grant funds must comply with Information Bulletin (IB) 426and may not be used for the purchase of the following unallowable equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Recipients should analyze the costs andbenefits of purchasing versus leasing equipment, especially high-cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy#405-143-1regarding prohibitions on covered telecommunications equipment or services.

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Requirements for Small Unmanned Aircraft SystemAll requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426aprivacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendorsrepresentations of the systemslegality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology-detect-and-mitigate-unmanned-aircraft. Training and ExercisesTribes are strongly encouraged to use THSGP funds to develop or maintain a homeland security training program. Allowable training-related costs under the THSGP include the establishment, support, conduct, and attendance of training specifically identified under the THSGP or in conjunction with emergency preparedness training by other federal agencies (e.g., the Department of Health and Human Services orthe Department of Transportation). Training conducted using THSGP funds should address a performance gap identified through an assessment or contribute to building a capability that will be evaluated through a formal exercise. Exercises should be used to provide the opportunity to demonstrate and validate skills learned in training, as well as to identify training gaps. Any training or training gaps evaluated though a formal exercise, including those for vulnerable populations including children, the elderly, pregnant women, and individuals with disabilities or access and functional needs should be identified in an AAR/IP. All training and exercises conducted with THSGP funds should support the development and testing of the , consistent with the priorities in the National Preparedness System. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design,Development, Implement, and Evaluate (ADDIE) model of instruction design, available with additional training information athttps://www.firstrespondertraining.gov. FEMA supports and encourages the coordination of all emergency preparedness training towards the achievement of the Goal. To this end, FEMA supports the establishment of a Tribal Training Point of THSGP Appendix | February 2021 Page B-8
Contact (TTPOC). federal training partners and holds the same authority and roles that state training points of contact serve within SAAs nationwide. FEMA will coordinate with Tribal Training Officers (TTOs) as it relates to FEMA training when notified by recipients.Per FEMA Grant Programs Directorate IB 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities,and high-risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS/FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high-risk urban area TPOC and falls within the FEMA mission scope and t. For additional information on review and approval requirements for training courses funded with preparedness grants, please refer to the following policy:https://www.fema.gov/sites/default/files/2020-09/fema_gpd-review-approval-requirements-training-policy_09-10-13.pdf.DHS/FEMA Provided Training and EducationFEMA offers tuition-free training and education programs and courses through several providers including the Center for Domestic Preparedness, the Emergency Management Institute, and the National Training Partner Program (TPP). TPP includes the Center for Homeland Defense and Security, National Domestic Preparedness Consortium, Rural Domestic Preparedness Consortium, and training partners through the Continuing Training Grants program. FEMAThis online searchable catalog features a wide range of course topics in multiple delivery modes to meet , local, territorial, and tribal audiences. The catalog can be accessed at http://www.firstrespondertraining.gov. Training Not Provided by DHS/FEMAThese trainings include courses that are either state sponsored or federal sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events.State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC.Joint Training and Exercises with the Public and Private Sectors. These courses aresponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. In addition, states, territories, tribes, and urban areas are encouraged to incorporate the private sector in government-sponsored training and exercises.Additional information on both FEMA provided training and other federal and state training can be found at http://www.firstrespondertraining.gov. -Web-Forms is an electronic data management system built to assist SAAs, designated TPOCs, and federalagencies with submitting non-NTED provided training courses for inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to THSGP Appendix | February 2021 Page B-9
ensure each training program's viability and relevance to the Homeland Security mission. Reporting training activities through Web-Forms is not required under FY 2021 THSGP. However, the system remains available and can be accessed through the FEMA Toolkitto support recipients in their own tracking of training deliveries.ExercisesFor additional information on conducting exercises under THSGP, please refer to the earlier section in this appendix on page B-3.Personnel ActivitiesPersonnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable THSGP planning, training, exercise, and equipment activities. Not more than 50% of total THSGP funds may be used for personnel activities as directed by the Homeland Security Act of 2002, as amended by the Personnel Reimbursement for Intelligence Cooperation and Enhancement (PRICE) of Homeland Security Act(Pub. L. No. 110-412) (6 U.S.C. §609(b)(2)(A)). This 50% cap may be waived, however, per 6 U.S.C. § 609(b)(2)(B). For further details, THSGP recipients should refer to IB 421b, or contact their FEMA HQ Preparedness Officer. THSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities. Construction and RenovationConstruction projects are only permitted where they will assist the recipient to achieve target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism, including through the alteration or remodeling of existing buildings for the purpose of making them secure against acts of terrorism. THSGP funding may not be used for construction and renovation projects without prior written approval from FEMA. All recipients of THSGP funds must request and receive approval from FEMA before any THSGP funds are used for any construction or renovation. Additionally, recipients are required to submit an SF-424C Form containing budget detail citing the construction project costs and an SF-424D Form for standard assurances for the construction project. The total cost of any construction or renovation paid for using THSGP funds may not exceed the greater amount of $1,000,000 or 15% of the THSGP award. All construction and renovation projects require Environmental Planning and Historic Preservation (EHP)review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their StateHistoric Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected] recipients using funds for construction projects must comply with the Davis-Bacon Act(codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. § 5196(j)(9), which cross-references Davis-Bacon). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the THSGP Appendix | February 2021 Page B-10
state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage determinations, is available from the following website: http://www.dol.gov/whd/govcontracts/dbra.htm.Communications TowersFor the purposes of the limitations on funding levels only, communications towers are not considered construction. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits.When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federaland submit all documentation resulting from that review, with a FEMA Grant Programs Directorate EHP Screening Form, to FEMA . Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their Tribal Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements). Projects for which an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the of the award. Completed EHP review materials for communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/media-library/assets/documents/90195. EHP review materials and an EHP Screening Form should be sent to [email protected]. Multiple Purpose or Dual-Use of FundsMany activities that support the achievement of target capabilities related to terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. See 6 U.S.C. § 609(c). However, all THSGP-funded projects must assist recipients and subrecipients in achieving target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism.Whole Community PreparednessIn addition to the Citizen Corps Whole Community Councils and Community Emergency Response Team (CERT) programs mentioned above, youth preparedness activities are another allowable cost. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal,and territorial partners to create a culture of preparedness in the United States. Information on youth-centric educational curricula, games, planning materials, and other relevant resources can be found at https://www.ready.gov/kids(ICPD) and regional based Community Preparedness Officers (CPOs) are available to provide grant recipients with guidance and assistance. Please email [email protected] contact one of the The following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs:Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor THSGP Appendix | February 2021 Page B-11
guide and student activity book is available at https://www.ready.gov/student-tools-emergency-planning-step.Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a step-by-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert. Prepare with Pedrois a joint product of FEMA and the American Red Cross. The Prepare with Pedro: Disaster Preparedness Activity Bookis designed to teach young children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at https://www.ready.gov/prepare-pedro.The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency. Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives:oStay SafeoStay Calm oGet Help oGive Info oGive Care Ready 2 Help was designed for children ages 8 and up. Additional information, including an ordering form, is available at https://www.ready.gov/ready-2-help.Other Allowable CostsMaintenance and SustainmentThe use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to StateAdministrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Fundingallows for the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities, (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs must also be in support of equipment, training, and critical resources that have previously THSGP Appendix | February 2021 Page B-12
been purchased with either federal grant money or any other source of funding other than FEMA preparedness grant program dollars. Critical Emergency Supplies-stable food products, water, and basic medical supplies are an allowable expense under THSGP. Prior to allocating grant funds for -year viable inventory management plan, an effective distribution strategy, and related sustainment costs if the planned grant expenditure is over $100,000.The inventory management plan and distribution strategy, to include sustainment costs, will be developed and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under THSGP. FEMA will establish guidelines and requirements for the purchase of these supplies under THSGP and monitor development and status of the . Linkages between specific projects undertaken with THSGP funds and strategic goals and objectives will be highlighted through regular required reporting mechanisms. If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed and monitored by FEMA. Secure Identification THSGP funds may be used to support the development and production of enhanced tribal documents (e.g., Enhanced Tribal Cards) designed to meet the requirements of the Western Hemisphere Travel Initiative (WHTI). More information on the WHTI may be found at http://www.dhs.gov/files/programs/gc_1200693579776.shtmand https://www.cbp.gov/travel/us-citizens/western-hemisphere-travel-initiative.When completing the Investment Justification, refer to the National Preparedness Goal at for a list of the core capabilities that best fit the proposed activities and costs. For additional assistance in determining the core capabilities that fit the proposed WHTI project, please contact the CSID by phone at (800) 368-6498 or by e-mail at [email protected] BondsReasonable costs of fidelity bonds (or like insurance as provided for by applicable state or tribal laws) covering the maximum amount of THSGP funds the officer, official, or employee handles at any given time for all personnel who disburse or approve disbursement of THSGP funds may be allowable if required by the terms and conditions of the award or if generally required by the tribe in its general operations. If a fidelity bond is required by a tribe in its general operations, those costs must be charged as indirect costs. See2 C.F.R. § 200.427.THSGP Investment Modifications Changes in Scope or ObjectiveChanges in scope or objective of the awardincluding those resulting from intended actions by the recipient or subrecipientstten approval, in accordance with 2 C.F.R. §§200.308(c)(1), 200.407. THSGP is competitive, with applications recommended for funding based on threat, vulnerability, and consequence, and their mitigation of potential terrorist attacks. However, consistent with 2 C.F.R § 200.308(c)(1), Change in Scope Prior Approval, FEMA requires prior approval of any change in scope or objective of the grant-funded activity after the award is issued. See 2 C.F.R. §200.308(b), (c). Scope or objective changes will be considered on a case-by-case basis, provided the change does not negatively impact the competitive process used to recommend THSGP awards.

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Requests to change the scope or objective of the grant-funded activity after the award is made must be submitted via ND Grants as a Scope Change Amendment. The amendment request must include the following:, including the approved projects from the IJ, the funds and relative scope or objective significance allocated to those projects, the proposed changes, and any resulting reallocations as a result of the change of scope or objective;An explanation why the change of scope or objective is necessary; How the proposed scope or objective changes to the project support the vulnerabilities and capability gaps identified in the approved IJ; and period of performance.Recipients may not proceed with implementing any scope or objective changes until they receive prior written approval from FEMA through ND Grants.

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Program Appendix C:Nonprofit Security Grant Program (NSGP) As a reminder, while this appendix contains NSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the NSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.NSGP grant recipients and subrecipients may only use NSGP grant funds for the purpose set forth in the grant award and must use funding in a way that is consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal grants or cooperative agreements, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.Pre-award costs are allowable only with the prior written approval of FEMA and if they are included in the award agreement. To request pre-award costs a written request must be included with the application, signed by the Authorized Organizational Representative (AOR) of the entity. The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval. The following information outlines general allowable and unallowable NSGP costs guidance.NSGP Funding GuidelinesRecipients and subrecipients must comply with all applicable requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200. In administering a NSGP grant award, recipients must comply with the following general requirements:NSGP PrioritiesSee the annual NSGP NOFO.Allowable Costs Management and Administration (M&A)M&A costs are for activities directly related to the management and administration of the award. M&A activities are those defined as directly relating to the management and administration of NSGP funds, such as financial management and monitoring. M&A expenses must be based on actual expenses or known contractual costs. Requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.M&A costs are not operational costs, they are the necessary costs incurred in direct support of the grant or as a consequence of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, and responding to official informational requests from state and federal oversight authorities. M&A costs include the following categories of activities:

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Hiring of full-time or part-time staff or contractors/consultants responsible for activities relating to the management and administration of NSGP funds. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.Meeting-related expenses directly related to M&A of NSGP funds.M&A costs are allowed under this program as described below:Note: States must be able to separately account for M&A costs associated with the NSGP-Urban Area (NSGP-UA) award from those associated with the NSGP-State (NSGP-S) award.SAA (Recipient) for NSGP-UA M&A:The NSGP-UA is a sub-component of the Urban Area Security Initiative (UASI) program, and states must ensure that 100 percent of each individual NSGP-UA award is passed through to the nonprofit organizations awarded funding by FEMA.The state may use its UASI funding for M&A purposes associated with administering the NSGP--UA and UASI programs may not exceed the percent noted in the relevant fiscal year (FY) NOFO of the total of -UA awards. Additionally, since all costs must be allocable to the applicable grant program, the state must be able to trace the level of expenditures for its UASI M&A costs separately from its NSGP-UA M&A costs, with each set of M&A costs limited to the percent noted in the relevant FY NOFO.SAA (Recipient) for NSGP-S M&A:The NSGP-S is a sub-component of the State Homeland Security Program (SHSP), and states must ensure that 100 percent of each individual NSGP-S award is passed through to the nonprofit organizations awarded funding by FEMA. The state may use its SHSP funding for M&A purposes associated with administering the NSGP-withholding for the NSGP-S and SHSP programs may not exceed the percent noted in the relevant FY NOFO of the total of the-S awards. Additionally, since all costs must be allocable to the applicable grant program, the state must be able to trace the level of expenditures for its SHSP M&A costs separately from its NSGP-S M&A costs, with each set of M&A costs limited to the percent noted in the relevant fiscal year (FY) NOFO.Nonprofit (Subrecipient) for NSGP-UA and NSGP-S M&A:Nonprofit organizations that receive a subaward under this program may use and expend up to thepercent noted in the relevant fiscal year (FY) NOFO for M&A purposes associated with the subaward.Indirect (Facilities and Administrative [F&A]) CostsIndirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.

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National Incident Management System (NIMS) ImplementationRecipients receiving NSGP funding are strongly encouraged to implement NIMS. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System.Incident management activities require carefully managed resources (personnel, teams, facilities, equipment, and supplies). NIMS defines a national, interoperable approach for sharing resources, coordinating, and managing incidents, and communicating information. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, mitigation, response, and recovery. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities. Recipients should manage resources purchased or supported with FEMA grant funding according to NIMS resource management guidance. Additional information on resource management and NIMS resource typing definitions and job titles/posat https://www.fema.gov/emergency-managers/nims/components. Additional information about NIMS in general is available at https://www.fema.gov/emergency-managers/nims.Allowable Direct CostsPlanningFunding may be used for security or emergency planning expenses and the materials required to conduct planning activities. Planning must be related to the protection of the facility and the people within the facility and should include consideration of access and functional needs considerations as well as those with limited English proficiency. Examples of planning activities allowable under this program include: Development and enhancement of security plans and protocolsDevelopment or further strengthening of security assessmentsEmergency contingency plansEvacuation/Shelter-in-place plansCoordination and information sharing with fusion centersOther project planning activities with prior approval from FEMAEquipmentAllowable costs are focused on target hardening and physical security enhancements. Funding can be used for the acquisition and installation of security equipment on real property (including buildings and improvements) owned or leased by the nonprofit organization, specifically in prevention of and/or protection against the risk of a terrorist attack. This equipment is limited to select items in the following two sectionsof items on the Authorized Equipment List(AEL):Physical Security Enhancement Equipment (Section 14)Inspection and Screening Systems (Section 15) NSGP Appendix | February 2021 Page C-4
In addition to the select items in Sections 14 and 15 listed above, the following equipment is also allowable:Notification and Warning SystemsRadios and Public Address SystemsUnless otherwise stated, equipment must meet all mandatory statutory, regulatory, and FEMA-adopted standards to be eligible for purchase using these funds, including the Americans with Disabilities Act. In addition, recipients will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high-costitems and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including but not limited to 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1regarding prohibitions on covered telecommunications equipment or services.The installation of certain equipment may trigger EHP requirements. Please reference the EHP sections in the NOFO and this Manual for more information. Additionally, some equipment installation may constitute construction or renovation. Please see the Construction and Renovation section of this appendix for additional information.ExercisesFunding may be used to conduct security-related exercises. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. All shortcomings or gapsincluding those identified for children and individuals with access and functional needsshould be identified in an improvement plan. Improvement plans should be dynamic documents with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle. The Homeland Security Exercise and Evaluation Program (HSEEP) provides a set of guiding principles for exercise programs, as well as a common approach to exercise program management, design and development, conduct, evaluation, and improvement planning. For additional information on HSEEP, refer tohttps://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep. In accordance with HSEEP guidance, subrecipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. This link provides access to a sample After Action Report (AAR)/Improvement Plan (IP) template:https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning. Recipients are encouraged to enter their exercise data and AAR/IP in the Preparedness Toolkit. Maintenance and SustainmentThe use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are NSGP Appendix | February 2021 Page C-5
purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth inIB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Fundingallows for the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing capabilities, (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also support equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars. Construction and RenovationNSGP funding may not be used for construction and renovation projects without prior written approval from FEMA. In some cases, the installation of equipment may constitute construction and/or renovation. If you have any questions regarding whether an equipment installation project could be considered construction or renovation, please contact your Preparedness Officer. All recipients of NSGP funds must request and receive prior approval from FEMA before any NSGP funds are used for any construction or renovation. Additionally, recipients are required to submit a SF-424C Budget and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project. The total cost of any construction or renovation paid for using NSGP funds may not exceed the greater amount of $1,000,000.00 or 15% of the NSGP award. All construction and renovation projects require Environmental Planning and Historic Preservation (EHP)review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their StateHistoric Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. Additional information on EHP policy and EHP review can be found online at https://www.fema.gov/media-library/assets/documents/90195. EHP review packets should be sent to [email protected]. NSGP recipients using funds for construction projects must comply with the Davis-Bacon Act(codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. §5196(j)(9), which cross-references Davis-Bacon). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage determinations, is available from the following website: https://www.dol.gov/whd/govcontracts/dbra.htm.

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TrainingNonprofit organizations may use NSGP funds for the following training-related costs:Employed or volunteer security staff to attend security-related training within the United States;Employed or volunteer staff to attend security-related training within the United States with the intent of training other employees or members/congregants upon completing the training (i.e.,-the--site security training. Allowable training-related costs under the NSGP are limited to attendance fees for training and related expenses, such as materials, supplies, and/or equipment. Overtime, backfill, and travel expenses are not allowable costs.Allowable training topics are limited to the protection of critical infrastructure key resources, including physical and cybersecurity, target hardening, and terrorism awareness/employee preparedness such as Community Emergency Response Team (CERT) training, indicators and behaviors indicative of terrorist threats, Active Shooter training, and emergency first aid training. Training conducted using NSGP funds IJ. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills.Proposed attendance at training courses and all associated costs using nvestment Justification (IJ).Contracted Security PersonnelContracted security personnel are allowed under this program only as described in the NOFO and Manualand comply with guidance set forth in IB 421band IB 441. NSGP funds may not be used to purchase equipment for contracted security. The recipient must be able to sustain this capability in future years without NSGP funding, and a sustainment plan will be required as part of the closeout package for any award funding this capability. Additionally, NSGP recipients and subrecipients may not use more than 50 percent of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50 percent personnel cap and applicable procedures for seeking a waiver, please see IB 421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412 the PRICE Act). Unallowable Costs The following projects and costs are considered ineligiblefor award consideration:Organization costs, and operational overtime costsHiring of public safety personnelGeneral-use expendituresOvertime and backfill Initiatives that do not address the implementation of programs/initiatives to build prevention and protection-focused capabilities directed at identified facilities and/or the surrounding communitiesThe development of risk/vulnerability assessment modelsInitiatives that fund risk or vulnerability security assessments or the development of the IJInitiatives in which federal agencies are the beneficiary or that enhance federal propertyInitiatives which study technology development NSGP Appendix | February 2021 Page C-7
Proof-of-concept initiativesInitiatives that duplicate capabilities being provided by the Federal GovernmentOrganizational operating expensesReimbursement of pre-award security expensesCameras for license plate readers/license plate reader softwareCameras for facial recognition softwareWeapons or weapons-related trainingKnox boxesNSGP Investment Modifications Changes in Scope or ObjectiveChanges in scope or objective of the awardwhether as a result of intended actions by the recipient or subrecipients200.308(c)(1), 200.407. NSGP is competitive, with applications recommended for funding based on threat, vulnerability, consequence, and their mitigation to a specific facility/location. However, consistent with 2 C.F.R §200.308(c)(1), Change in Scope Notification, FEMA requires prior written approval of any change in scope/objective of the grant-funded activity after the award is issued.See 2 C.F.R. § 200.308(b), (c).Scope/objective changes will be considered on a case-by-case basis, provided the change does not negatively impact the competitive process used to recommend NSGP awards. Requests to change thescope or objective of the grant-funded activity after the award is made must be submitted by the State Administrative Agency (SAA) via ND Grants as a Scope Change Amendment. The amendment request must include the following:A written request from the NSGP subrecipient on its letterhead, outlining the scope or objective change,objective significance allocated to those projects, the proposed changes, and any resulting reallocations as a result of the change of scope or objective;An explanation why the change of scope or objective is necessary;Validation from the SAA that any deviations from the approved IJ are addressed in the vulnerability assessment submitted by the subrecipient at the time of application; andThe subrecipient request must also address whether the proposed changes will impact its ability to .FEMA will generally not approve NSGP change-of-scope requests resulting from the following situations:Subrecipients that relocate their facilities after submitting their application who are requesting a change of scope to allow them to use NSGP funds towards projects at the new facility; orSubrecipients that renovate their facilities after submitting their application in cases where the subsequent renovations would affect the vulnerability/risk assessment upon which the IJ is based.NSGP project funding is based on the ability of the proposed project to mitigate the risk factors identified in the IJ. For this reason, FEMA may reject requests to significantly change the physical security enhancements that are purchased with NSGP funding where FEMA believes approval of the request would change or exceed the scope of the originally approved project. FEMA will consider all requests to deviate from the security project as originally proposed on a case-by-case basis, consistent with 2 C.F.R. § 200.308(c)(1).

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Subrecipients may not proceed with implementing any scope/objective changes until the SAA receives written approval from FEMA through ND Grants and until the SAA has made any required subaward modifications.Pass-Through Requirements Pass-through funding is required under this program.Awards made to the SAA for the NSGP carry additional pass-through requirements. Pass-through is defined as an obligation on the part of the state to make subawards to selected nonprofit organizations. The SAA must provide 100% of funds awarded under NSGP to successful nonprofit applicants within 45 days of receipt of the funds. A letter of intent (or equivalent) to distribute funds is not sufficient. Award subrecipients that are selected for funding under this program must be provided with funding within 45 days from the date the funds are first made available to the recipient so that they can initiate implementation of approved investments. For the SAA to successfully meet the pass-through requirement and provide funding to the subrecipients, the SAA must meet the following four requirements: There must be some action by the SAA to establish a firm commitment to award the funds to the selected nonprofit organization; The action must be unconditional on the part of the SAA (i.e., no contingencies for availability of SAA funds); There must be documentary evidence of the commitment of the award of funding to the selected nonprofit organization; and The SAA must communicate the terms of the subaward to the selected nonprofit organization. If a nonprofit organization is selected for an NSGP award and elects to decline the award, the SAA must notify their FEMA Preparedness Officer. The SAA may not re-obligate to another subrecipient without prior approval.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 NSGPawards via the ND Grants system. If an SAA accepts its award within 15 calendar days of receivingnotice of the award in the ND Grants system, the 45-calendar day pass-through period will start on the date the SAA accepted the award. Should an SAA not accept the NSGP award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45-calendar days pass-through period will begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system.It is important to note that the period of performance (POP) start date does not directly affect the start of the 45-calendar day pass-through period. For example, an SAA may receive notice of the NSGP award on August 20, 2021 while the POP dates for that award are September 1, 2021, through August 31, 2024. In this example, the 45-day pass-through period will begin on the date the SAA accepts the NSGP award or September 4, 2021 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The POP start date of September 1, 2021 would not affect the timing of meeting the 45-calendar day pass-through requirement.DUNS/SAM Requirements for Recipients and SubrecipientsAs the direct applicant and recipient of NSGP funding, the SAA is required to have a Data Universal Numbering System (DUNS) number and be registered in the System for Award Management (SAM) andmust maintain the currency of the SAA's information in SAM until the SAA submits the final financial report required under the award or receives final payment, whichever is later. Nonprofit organizations that are first-tier subrecipients applying for NSGP funding through the SAA must have a DUNS number, but are not required to be registered in SAM.See 2 C.F.R. § 25.300.