HomeMy WebLinkAboutC-2908County of Los Angeles
CHIEF EXECUTIVE OFFICE
Kenneth Hahn Hall of Administration
500 West Temple Street, Room 713, Los Angeles, California 90012
(213) 974 -1101
http: / /ceo.lacounty.gov
WILLIAM T FUJIOKA
Board of Supervisors
Chief Executive Officer
GLORIA MOLINA
First District
"TO Enrich Lives Through Effective And Caring Service"
MARK RIDLEY- THOMAS
Second District
ZEV YAROSLAVSKY
September 2, 2014
Third District
DON KNABE
Fourth District
MICHAEL D. ANTONOVICH
Fifth District
Dominic Lazzaretto
City of Arcadia
240 W. Huntington Drive
Arcadia, CA 91007
Dear Mr. Lazzaretto:
2012 HOMELAND SECURITY GRANT AGREEMENT
Enclosed for your files is an executed 2012 Homeland Security Grant Agreement
between your City and the County of Los Angeles. This Agreement provides the basis
for the City to make approved expenditures and seek reimbursement under the grant.
However, prior to the City moving forward and if appropriate, request(s) for sole source
procurement, as well as aviation, watercraft, and environmental approvals, if applicable,
must be secured from the State.
Any questions regarding this Agreement should be directed to me at
ashaw(a),ceo.lacounty.gov or (213) 974 -7315. Questions about requests for sole source
procurement and aviation, watercraft, and environmental approvals should be directed
to Craig Hirakawa at chirakawa(a7ceo.lacounty.gov or (213) 974 -1127.
Sincerely y u s,
Alviar w, Interim Manager
Chief Executive Office
AS:sc
Enclosure
C'. Kurt Norwood, Fire Chief
Arcadia Fire Department (w /o enclosure)
Grants /SHSGP 12 /Subrecipient Agreements /Agreements and Transmittals—Final Word Docs/
Arcadia Approved Agreement Transmittal
NO G
CIqa!j�
Subrecipient Agreement
Between the County of Los Angeles and
The City of Arcadia
Grant Year 2012
Homeland Security Grant Program
SUBRECIPIENT AGREEMENT
BETWEEN THE COUNTY OF LOS ANGELES
AND
THE CITY OF ARCADIA
THIS AGREEMENT ( "Agreement ") is made and entered into by and between the County of
Los Angeles, a political subdivision of the State of California (the "County of Los Angeles "),
and the City of Arcadia, a public agency (the "Subrecipient ").
W I T N E S S E T H
WHEREAS, the U.S. Department of Homeland Security Title 44 C.F.R. through the
Office of Grants and Training (G &T), has provided financial assistance from the Homeland
Security Grant Program, Catalog of Federal Domestic Assistance (CFDA) 97.067 directly to
the California Emergency Management Agency (Cal EMA) for the 2012 Homeland Security
Grant Program (HSGP); and
WHEREAS, the Cal EMA provides said funds to the County of Los Angeles as its
Subgrantee, and CEO is responsible for managing and overseeing the HSGP funds that are
distributed to other specified jurisdictions within Los Angeles County; and
WHEREAS, this financial assistance is being provided to the Subrecipient in order to
address the unique equipment, training, exercise and planning management needs of the
Subrecipient, and to assist the Subrecipient in building effective prevention and protection
capabilities to prevent, respond to, and recover from threats or acts of terrorism; and
WHEREAS, the County of Los Angeles as Subgrantee has obtained approval of an
HSGP 2012 grant from Cal EMA for the Subrecipient in the amount of $96,166; and
WHEREAS, the CEO now wishes to distribute HSGP grant funds to the Subrecipient,
as further detailed in this Agreement; and
WHEREAS, the CEO is authorized to enter into subrecipient agreements with cities
providing for re- allocation and use of these funds; and to execute all future amendments,
modifications, extensions, and augmentations relative to the subrecipient agreements, as
necessary; and
WHEREAS, the County of Los Angeles and Subrecipient are desirous of executing
this Agreement, and the County Board of Supervisors on November 7, 2012 authorized the
CEO to prepare and execute this Agreement.
NOW, THEREFORE, the County of Los Angeles and Subrecipient agree as follows:
Grants /HSGP 2012 /Subrecipient Agreements /Arcadia Agreement
SECTION I
INTRODUCTION
§101. Parties to this Agreement
The parties to this Agreement are:
A. County of Los Angeles, a political subdivision of the State of California, having its
principal office at Kenneth Hahn Hall of Administration, 500 West Temple Street,
Los Angeles, CA 90012; and
B. City of Arcadia, a public agency, having its principal office at 240 West Huntington
Drive, Arcadia, CA 91066.
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to administer this
Agreement and to whom formal notices, demands and communications shall be given
are as follows:
The representative of the County of Los Angeles shall be, unless otherwise
stated in this Agreement:
Carol Kindler, Manager
Chief Executive Office, Los Angeles County (LAC)
500 W. Temple Street, Room 785
Los Angeles, CA 90012
Phone: (213) 974 -1154
Fax: (213) 687 -3765
ckindler @ceo.lacounty.gov
With a copy to:
Heather Singh, Grants Manager
Chief Executive Office, LAC
500 W. Temple Street, Room 785
Los Angeles, CA 90012
Phone: (213) 974 -2319
Fax: (213) 687 -3765
hsingh @ceo.lacounty.gov
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2. The representative of Subrecipient shall be:
Name and Dominic Lazzaretto
Title: City Manager
Organization City of Arcadia
Address: 240 W. Huntington Drive
City /State /Zip: Arcadia, CA 91007
Phone. (626) 574 -5401
Fax: (626) 446 -5729
Email: dlazzaretto @ArcadiaCa.gov
With a copy to:
Name and Kurt Norwood
Title: Fire Chief
Organization - City 6f Arcadia
Fire Department
Address: 710 S. Santa Anita Avenue
City /State /Zip: Arcadia, CA 91007
Phone: (626) 574 -5101
Fax: (626) 446 -7410
Email: knorwood@ArcadiaCA.gov
B. Formal notices, demands and communications to be given hereunder by either party
shall be made in writing and may be effected by personal delivery, regular U.S. Postal
mail service and /or e-mail. In the case of event of personal delivery or email, the
message shall be deemed communicated upon receipt by the County. In event of mail
service, the message shall be deemed communicated as of the date of mailing.
C. If the name and /or title of the person designated to receive the notices, demands or
communications or the address of such person is changed, written notice shall be
given, in accord with this section, within five (5) business days of said change.
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§103. Independent Party
Subrecipient is acting hereunder as an independent party, and not as an agent or
employee of the County of Los Angeles. No employee of Subrecipient is, or shall be,
an employee of the County of Los Angeles by virtue of this Agreement, and
Subrecipient shall so inform each employee organization and each employee who is
hired or retained under this Agreement. Subrecipient shall not represent or otherwise
hold out itself or any of its directors, officers, partners, employees, or agents to be an
agent or employee of the County of Los Angeles by virtue of this Agreement.
§104. Conditions Precedent to Execution of This Agreement
Subrecipient shall provide the following signed documents to the County of
Los Angeles, unless otherwise exempted:
A. Certifications and Disclosures Regarding Lobbying, attached hereto as Exhibit A and
made a part hereof, in accordance with §411.A.14 of this Agreement. Subrecipient
shall also file a Disclosure Form at the end of each calendar quarter in which there
occurs any event requiring disclosure or which materially affects the accuracy of the
information contained in any Disclosure Form previously filed by Subrecipient.
B. Certifications Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion,
attached hereto as Exhibit B and made a part hereof, as required by Executive Order
12549 in accordance with §411.A.12 of this Agreement.
C. Certification Regarding Drug -Free Workplace, attached hereto as Exhibit C and made
a part hereof, in accordance with §411.A.13 of this Agreement.
D. Certification of Grant Assurances — Non - Construction Programs, attached hereto as
Exhibit D and made a part hereof, in accordance with §411.0 of this Agreement.
SECTION II
TERM AND SERVICES TO BE PROVIDED
§201. Performance Period
The performance period of this Agreement shall be from October 12, 2012 to
January 31, 2014, unless the County of Los Angeles, with Cal EMA approval, provides
written notification to the Subrecipient that the performance period has been extended,
in which case the performance period shall be so extended by such written notification,
as provided in §502, below.
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§202. Use of Grant Funds
A. Subrecipient and the County of Los Angeles have previously completed a mutually
approved budget/expenditure plan, hereinafter "Budget," for the HSGP FY 2012 Grant,
which has been approved by Cal EMA. This information is contained in a copy of the
final grant award letter and a worksheet, attached hereto as Exhibit E.
Any request by Subrecipient to modify the Budget must be made in writing with the
appropriate justification and submitted to CEO for approval. If during the County's
review process, additional information or documentation is required, the Subrecipient
will have ten (10) business days to comply with the request. If the Subrecipient does
not comply with the request, CEO will issue written notification indicating that the
requested modification will not be processed. Modifications must be approved in
writing by the County of Los Angeles and Cal EMA during the term of this Agreement.
Upon approval, all other terms of this Agreement will remain in effect.
Subrecipient shall utilize grant funds in accordance with all Federal regulations and
State Guidelines.
B. Subrecipient agrees that grant funds awarded will be used to supplement existing
funds for program activities, and will not supplant (replace) non - Federal funds.
C. Subrecipient shall review the Federal Debarment Listing at
http : / /www.epis.gov /epls /search.do prior to the purchase of equipment or services to
ensure the intended vendor is not listed and also maintain documentation that the list
was verified.
D. Prior to the purchase of equipment or services utilizing a sole source contract of
$100,000 or more, justification must be presented to CEO, who upon review will
request approval from Cal EMA. Such approval in writing must be obtained prior to
the commitment of funds.
E. Subrecipient shall provide any reports requested by the County of Los Angeles to the
CEO indicating Subrecipient's performance under this Agreement, including progress
on meeting program goals. Reports shall be in the form requested by the County of
Los Angeles, and shall be provided by the 15th of the following month. Subrecipient
shall timely submit claims for reimbursement.
F. Subrecipient shall provide a copy of their Annual Single Audit Report, as required by
Office of Management and Budget circular A -133, to CEO no later than March 31St of
the year following the reporting period.
G. Subrecipient shall provide a Corrective Action Plan to CEO within 30 days of any audit
finding.
H. Subrecipient will be monitored by the County of Los Angeles on an annual basis to
ensure compliance with Cal EMA grant program requirements. The County of
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Los Angeles anticipates that said monitoring will include, at a minimum, one on -site
visit during the term of this Agreement.
I. Any equipment acquired pursuant to this Agreement shall be authorized in the G &T
Authorized Equipment List (AEL) available online at hftp: / /www.rkb.us and the Funding
Guidelines of the 2012 Homeland Security Grant Program, Funding Opportunity
Announcement, incorporated by reference, and attached hereto as Exhibit F.
Subrecipient shall provide the County of Los Angeles a copy of its most current
procurement guidelines and follow its own procurement requirements as long as they
meet or exceed the minimum Federal requirements. Federal procurement
requirements for the HSGP 2012 Grant can be found at OMB Circular A -102, Title 44
C.F.R. Part 13.
Any equipment acquired or obtained with Grant Funds:
Will be made available under the California Disaster and Civil Defense Master
Mutual Aid Agreement in consultation with representatives of the various fire,
emergency medical, hazardous materials response services, and law
enforcement agencies within the jurisdiction of the applicant;
2. Will be consistent with needs as identified in the State Homeland Security
Strategy and will be deployed in conformance with that plan;
3. Will be made available pursuant to applicable terms of the California Disaster
and Civil Defense Master Mutual Aid Agreement and deployed with personnel
trained in the use of such equipment in a manner consistent with the California
Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue
Mutual Aid Plan.
J. Equipment acquired pursuant to this Agreement shall be subject to the requirements of
Title 44, C.F.R. Part 13.32. For the purposes of this subsection, "Equipment" is defined
as tangible nonexpendable property, having a useful life of more than one year which
costs $5,000 or more per unit. Items costing less than $5,000, but acquired under the
"Equipment" category of the Grant shall also be listed on any required Equipment
Ledger.
Equipment shall be used by Subrecipient in the program or project for which it
was acquired as long as needed, whether or not the project or program
continues to be supported by Federal funds. When no longer needed for the
original program or project, the Equipment may be used in other activities
currently or previously supported by a Federal agency.
2. Subrecipient shall make Equipment available for use on other like projects or
programs currently or previously supported by the Federal Government,
providing such use will not interfere with the work on the projects or program for
which it was originally acquired. First preference for other use shall be given to
other programs or projects supported by the awarding agency.
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3. An Equipment Ledger shall be maintained listing each item of Equipment
acquired with HSGP funds. The Equipment Ledger must be kept up to date at
all times. Any changes shall be recorded in the Ledger within ten (10) business
days and the updated Ledger is to be forwarded to the County of Los Angeles'
Auditor - Controller Shared Services Division. The Equipment Ledger shall
include: (a) description of the item of Equipment, (b) manufacturer's model and
serial number or other identification number, (c) the fund source /grant year of
acquisition of the Equipment, including the award number, (d) date of
acquisition, (e) the acquisition cost of the Equipment, (f) percentage of Federal
participation, (g) location and condition of Equipment and (h) disposition data,
including date and sale price, if applicable. Records must be retained pursuant
to Title 44 C.F.R. Part 13.32.
4. All Equipment obtained under this Agreement shall have an appropriate
identification decal affixed to it, and, when practical, shall be affixed where it is
readily visible.
5. A physical inventory of the Equipment shall be taken by the Subrecipient and
the results reconciled with the Equipment Ledger at least once every two years
or prior to any site visit by State or Federal auditors /monitors. The Subrecipient
is required to submit a letter certifying as to the accuracy of the Equipment
Ledger to the County of Los Angeles, in the frequency as above.
K. Any planning paid pursuant to this Agreement shall conform to the guidelines as listed
in FY 2012 Homeland Security Grant Program, Funding Opportunity Announcement or
subsequent grant year programs.
L. Any training paid pursuant to this Agreement shall conform to the guidelines as listed
in FY 2012 Homeland Security Grant Program, Funding Opportunity Announcement,
and must be first submitted to CEO and then pre- authorized by Cal EMA. A catalog of
federally approved and sponsored training courses is available at
hftp://www.oip.usdoi.gov/odp/training,htm.
M. Any exercise paid pursuant to this Agreement shall conform to the guidelines as listed
in FY 2012 Homeland Security Grant Program, Funding Opportunity Announcement.
Detailed Homeland Security Exercise and Evaluation Program Guidance is available
at http: / /hseep.dhs.gov.
N. Subrecipient shall provide to County a spending plan detailing the required steps and
timeframes required to complete the approved projects within the grant timeframe.
Subrecipient shall submit the spending plan to County prior to final execution of the
Agreement.
O, Any organization activities paid pursuant to this Agreement shall conform to the
guidelines as listed in FY 2012 Homeland Security Grant Program, Funding
Opportunity Announcement.
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SECTION III
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. The County of Los Angeles shall reimburse Subrecipient up to the maximum grant
amount of $96,166 as expenditures are incurred and paid by Subrecipient and all
documentation is reviewed and approved by County. All expenditures shall be for the
purchase of equipment, exercises, training, and planning as described in Section II of
this Agreement. The grant amount represents the amount allocated to Subrecipient in
the FY 2012 HSGP Grant Award Letter from Cal EMA.
B. Subrecipient shall submit invoices to the County of Los Angeles Auditor - Controller
Shared Services Division requesting payment as soon as expenses are incurred and
paid, and the required supporting documentation is available. Said timeframe should
be within ten (10) business days of Subrecipient's payment to vendors and /or
prescribed due dates by CEO and /or Cal EMA. Each reimbursement request shall be
accompanied by the Reimbursement Form (attached hereto as Exhibit G). All
appropriate back -up documentation must be attached to the reimbursement form,
including purchase orders, invoices, proof of payment and packing slips.
For training reimbursements, Subrecipient must include a copy of the class roster
verifying training attendees, proof that prior approval was obtained from Cal EMA and
a Cal EMA tracking number has been assigned to the course, and timesheets and
payroll registers for all training attendees.
For exercise reimbursements, Subrecipient must enter the After Action Report (AAR)
and Improvement Plan on the State Office of Domestic Preparedness secure portal
within 60 days following completion of the exercise and submit proof of State approval
of the AAR with the reimbursement request.
For planning reimbursements, Subrecipient must include a copy of the final tangible
product as a result of the planning project.
C. The County of Los Angeles may, at its discretion, and with Cal EMA approval,
reallocate unexpended grant funds to another subrecipient. Said reallocation may
occur upon completion of an approved project, or by written notification from the
Subrecipient to the County of Los Angeles that a portion of the grant funds identified in
§301.A., above, will not be utilized. As provided in §502, below, any increase or
decrease in the grant amount specified in §301.A., above, may be effectuated by a
written notification by the County of Los Angeles to the Subrecipient.
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D. Payment of final invoice shall be withheld by the County of Los Angeles until the
County has determined that Subrecipient has turned in all supporting documentation
and completed the requirements of this Agreement.
E. It is understood that the County of Los Angeles makes no commitment to fund this
Agreement beyond the terms set forth herein.
F. 1. Funding for all periods of this Agreement is subject to continuing Federal
appropriation of grant funds for this program. In the event of a loss or reduction of
Federal appropriation of grant funds for this program, the Agreement may be
terminated, or appropriately amended, immediately upon notice to Subrecipient of
such loss or reduction of Federal grant funds.
2. County shall make a good -faith effort to notify Subrecipient, in writing, of such
non - appropriation at the earliest time.
SECTION IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and shall
not be deemed to affect the meaning or construction of any of the terms or provisions
hereof. The language of this Agreement shall be construed according to its fair
meaning and not strictly for or against either party.
§402. Applicable Law, Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the United
States of America, the State of California, and the County of Los Angeles. This
Agreement shall be enforced and interpreted under the laws of the State of California
and the County of Los Angeles.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a Federal, State or Local Government
having jurisdiction over this Agreement, the validity of the remainder of the Agreement
shall not be affected thereby.
Applicable Federal or State requirements that are more restrictive shall be followed.
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§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to the
subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only as provided for herein.
§404. Breach
If any party fails to perform, in whole or in part, any promise, covenant, or agreement
set forth herein, or should any representation made by it be untrue, any aggrieved
party may avail itself of all rights and remedies, at law or equity, in the courts of law.
Said rights and remedies are cumulative of those provided for herein except that in no
event shall any party recover more than once, suffer a penalty or forfeiture, or be
unjustly compensated.
§405. Prohibition Against Assignment or Delegation
Subrecipient may not, unless it has first obtained the written permission of the County
of Los Angeles:
A. Assign or otherwise alienate any of its rights hereunder, including the right to payment;
or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
§406. Permits
Subrecipient and its officers, agents and employees shall obtain and maintain all
permits and licenses necessary for Subrecipient's performance hereunder and shall
pay any fees required therefor. Subrecipient further certifies that it will immediately
notify the County of Los Angeles of any suspension, termination, lapse, non renewal or
restriction of licenses, certificates, or other documents.
§407. Nondiscrimination and Affirmative Action
Subrecipient shall comply with the applicable nondiscrimination and affirmative action
provisions of the laws of the United States of America, the State of California, and the
County of Los Angeles. In performing this Agreement, Subrecipient shall not
discriminate in its employment practices against any employee or applicant for
employment because of such person's race, religion, national origin, ancestry, sex,
sexual orientation, age, physical handicap, mental disability, marital status, domestic
partner status or medical condition. Subrecipient shall comply with Executive Order
11246, entitled "Equal Employment Opportunity," as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (41 CFR Part 60).
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If required, Subrecipient shall submit an Equal Employment Opportunity Plan ( "EEOP ")
to the DOJ Office of Civil Rights ( "OCR ") in accordance with guidelines listed at
http://www.omp.usdoi.gov/about/ocr/eeop.htm.
Any subcontract entered into by the Subrecipient relating to this Agreement, to the
extent allowed hereunder, shall be subject to the provisions of this §407 of this
Agreement.
§408. Indemnification
Each of the parties to this Agreement is a public entity. This indemnity provision is
written in contemplation of the provisions of Section 895.2 of the Government Code of
the State of California, which impose certain tort liability jointly upon public entities,
solely by reason of such entities being parties to an agreement, and the parties agree
that this indemnity provision shall apply and shall be enforceable regardless of
whether Section 895 et seq. is deemed to apply to this Agreement. The parties
hereto, as between themselves, consistent with the authorization contained in
Government Code Sections 895.4 and 895.6 agree to each assume the full liability
imposed upon it or upon any of its officers, agents, or employees by law, for injury
caused by a negligent or wrongful act or omission occurring in the performance of this
Agreement, to the same extent that such liability would be imposed in the absence of
Government Code Section 895.2. To achieve the above - stated purpose, each party
agrees to indemnify and hold harmless the other party for any liability arising out of its
own negligent acts or omissions in the performance of this Agreement (i.e., the
Subrecipient agrees to indemnify and hold harmless the County of Los Angeles for
liability arising out of the Subrecipient's negligent or wrongful acts or omissions and the
County of Los Angeles agrees to indemnify and hold harmless the Subrecipient for
liability arising out of the County of Los Angeles' negligent or wrongful acts or
omissions). Each party further agrees to indemnify and hold harmless the other party
for liability that is imposed on the other party solely by virtue of Government Code
Section 895.2. The provisions of Section 2778 of the California Civil Code are made a
part hereof as if fully set forth herein. Subrecipient certifies that it has adequate self
insured retention of funds to meet any obligation arising from this Agreement.
§409. Conflict of Interest
A. The Subrecipient covenants that none of its directors, officers, employees, or agents
shall participate in selecting, or administrating, any subcontract supported (in whole or
in part) by Federal funds where such person is a director, officer, employee or agent of
the subcontractor; or where the selection of subcontractors is or has the appearance
of being motivated by a desire for personal gain for themselves or others such as
family business, etc.; or where such person knows or should have known that:
A member of such person's immediate family, or domestic partner or
organization has a financial interest in the subcontract;
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2. The subcontractor is someone with whom such person has or is negotiating any
prospective employment; or
3. The participation of such person would be prohibited by the California Political
Reform Act, California Government Code §87100 et seq. if such person were a
public officer, because such person would have a "financial or other interest" in
the subcontract.
B. Definitions:
1. The term "immediate family" means domestic partner and /or those persons
related by blood or marriage, such as husband, wife, father, mother, brother,
sister, son, daughter, father in law, mother in law, brother in law, sister in law,
son in law, daughter in law.
2. The term "financial or other interest" means:
a. Any direct or indirect financial interest in the specific contract, including but
not limited to, a commission or fee, a share of the proceeds, prospect of a
promotion or of future employment, a profit, or any other form of financial
reward.
b. Any of the following interests in the subcontractor ownership: partnership
interest or other beneficial interest of five percent or more; ownership of
five percent or more of the stock; employment in a managerial capacity; or
membership on the board of directors or governing body.
C. The Subrecipient further covenants that no officer, director, employee, or agent shall
solicit or accept gratuities, favors, or anything of monetary value from any actual or
potential subcontractor, supplier, a party to a sub agreement, (or persons who are
otherwise in a position to benefit from the actions of any officer, employee, or agent).
D. The Subrecipient shall not subcontract with a former director, officer, or employee
within a one year period following the termination of the relationship between said
person and the Subrecipient.
E. Prior to obtaining the County of Los Angeles' approval of any subcontract, the
Subrecipient shall disclose to the County of Los Angeles any relationship, financial or
otherwise, direct or indirect, of the Subrecipient or any of its officers, directors or
employees or their immediate family with the proposed subcontractor and its officers,
directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the parties
agree that references shall be made to the guidelines, rules, and laws of the County of
Los Angeles, State of California, and Federal regulations regarding conflict of interest.
G. The Subrecipient warrants that it has not paid or given and will not pay or give to any
third person any money or other consideration for obtaining this Agreement.
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H. The Subrecipient covenants that no member, officer or employee of Subrecipient shall
have interest, direct or indirect, in any contract or subcontract or the proceeds thereof
for work to be performed in connection with this project during his /her tenure as such
employee, member or officer or for one year thereafter.
I. The Subrecipient shall incorporate the foregoing subsections of this Section into every
agreement that it enters into in connection with this grant and shall substitute the term
"subcontractor" for the term "Subrecipient" and "sub subcontractor" for
"Subcontractor ".
§410. Restriction on Disclosures
Any reports, analyses, studies, drawings, information, or data generated as a result of
this Agreement are to be governed by the California Public Records Act (California
Government Code Sec. 6250 et seq.).
§411. Statutes and Regulations Applicable To All Grant Contracts
A. Subrecipient shall comply with all applicable requirements of State, Federal, and
County of Los Angeles laws, executive orders, regulations, program and administrative
requirements, policies and any other requirements governing this Agreement.
Subrecipient shall comply with applicable State and Federal laws and regulations
pertaining to labor, wages, hours, and other conditions of employment. Subrecipient
shall comply with new, amended, or revised laws, regulations, and /or procedures that
apply to the performance of this Agreement. These requirements include, but are not
limited to:
Office of Management and Budget (OMB) Circulars
Subrecipient shall comply with OMB Circulars, as applicable: OMB Circular
A -21 (Cost Principles for Educational Institutions); OMB Circular A -87 (Cost
Principles for State, Local, and Indian Tribal Governments); OMB Circular
A -102 (Grants and Cooperative Agreements with State and Local
Governments); Common Rule, Subpart C for public agencies or OMB Circular
A -110 (Uniform Administrative Requirements for Grants and Other Agreements
with Institutions of Higher Education, Hospitals and Other Non - Profit
Organizations); OMB Circular A -122 (Cost Principles for Non - Profit
Organizations); OMB Circular A -133 (Audits of States, Local Governments, and
Non - Profit Organizations.
2. Single Audit Act
Since Federal funds are used in the performance of this Agreement,
Subrecipient shall, as applicable, adhere to the rules and regulations of the
Single Audit Act (31 USC Sec. 7501 et seq.), OMB Circular A -133 and any
administrative regulation or field memos implementing the Act.
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3. Americans with Disabilities Act
Subrecipient hereby certifies that, as applicable, it will comply with the
Americans with Disabilities Act 42, USC § §12101 et sec.., and its implementing
regulations. Subrecipient will provide reasonable accommodations to allow
qualified individuals with disabilities to have access to and to participate in its
programs, services and activities in accordance with the provisions of the
Americans with Disabilities Act. Subrecipient will not discriminate against
persons with disabilities nor against persons due to their relationship to or
association with a person with a disability. Any subcontract entered into by
Subrecipient, relating to this Contract, to the extent allowed hereunder, shall be
subject to the provisions of this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or indirectly
under this Agreement shall be used for any partisan political activity, or to
further the election or defeat of any candidate for public office. Neither shall
any funds provided under this Agreement be used for any purpose designed to
support or defeat any pending legislation or administrative regulation. None of
the funds provided pursuant to this Agreement shall be used for any sectarian
purpose or to support or benefit any sectarian activity.
Subrecipient shall file a Disclosure Form at the end of each calendar quarter in
which there occurs any event requiring disclosure or which materially affects the
accuracy of any of the information contained in any Disclosure Form previously
filed by Subrecipient. Subrecipient shall require that the language of this
Certification be included in the award documents for all sub - awards at all tiers
and that all subcontractors shall certify and disclose accordingly.
5. Records Inspection
At any time during normal business hours and as often as either the County of
Los Angeles, the U.S. Comptroller General or the Auditor General of the State
of California may deem necessary, Subrecipient shall make available for
examination all of its records with respect to all matters covered by this
Agreement. The County of Los Angeles, the U.S. Comptroller General and the
Auditor General of the State of California shall have the authority to audit,
examine and make excerpts or transcripts from records, including all
Subrecipient's invoices, materials, payrolls, records of personnel, conditions of
employment and other data relating to all matters covered by this Agreement.
Subrecipient agrees to provide any reports requested by the County regarding
performance of this Agreement.
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6. Records Maintenance
Records, in their original form, shall be maintained in accordance with
requirements prescribed by the County of Los Angeles with respect to all
matters specified in this Agreement. Original forms are to be maintained on file
for all documents specified in this Agreement. Such records shall be retained
for a period five (5) years after termination of this Agreement and after final
disposition of all pending matters. "Pending matters" include, but are not limited
to, an audit, litigation or other actions involving records. The County of
Los Angeles may, at its discretion, take possession of, retain and audit said
records. Records, in their original form pertaining to matters covered by this
Agreement, shall at all times be retained within the County of Los Angeles
unless authorization to remove them is granted in writing by the County of
Los Angeles.
7. Subcontracts and Procurement
Subrecipient shall, as applicable, comply with the Federal, State and County of
Los Angeles standards in the award of any subcontracts. For purposes of this
Agreement, subcontracts shall include but not be limited to purchase
agreements, rental or lease agreements, third party agreements, consultant
service contracts and construction subcontracts.
Subrecipient shall, as applicable, ensure that the terms of this Agreement with
the County of Los Angeles are incorporated into all Subcontractor Agreements.
The Subrecipient shall submit all Subcontractor Agreements to the County of
Los Angeles for review prior to the release of any funds to the subcontractor.
The Subrecipient shall withhold funds to any subcontractor agency that fails to
comply with the terms and conditions of this Agreement and their respective
Subcontractor Agreement.
8. Labor
Subrecipient shall, as applicable, comply with the Intergovernmental Personnel
Act of 1970 (42 U.S.C. § §4728 -4763) relating to prescribed requirements for
merit systems for programs funded under one of the 19 statutes or regulations
specified in Appendix A of OPM's Standards for a Merit System Personnel
Administration (5 C.F.R. 900, Subpart F).
Subrecipient shall comply, as applicable, with the provisions of the Davis -Bacon
Act (40 U.S.C. § §276a to 276a -7); the Copeland Act (40 U.S.C. §276c and 18
U.S.C. §874); the Contract Work Hours and Safety Standards Act (40 U.S.C.
§ §327 -333), regarding labor standards for federally- assisted construction
subagreements; and the Hatch Act (5 USC § §1501 -1508 and 7324 - 7328).
Subrecipient shall, as applicable, comply with the Federal Fair Labor Standards
Act (29 U.S.C. §201) regarding wages and hours of employment.
15
Grants /HSGP 2012 /Subreuipient Agreements /Arcadia Agreement
None of the funds shall be used to promote or deter Union /labor organizing
activities. CA Gov't Code Sec. 16645 et sec .
9. Civil Rights
Subrecipient shall, as applicable, comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI of the Civil
Rights Act of 1964 (P.L. 88 -352) which prohibits discrimination on the basis of
race, color or national origin; (b) Title IX of the Education Amendments of 1972,
as amended (20 U.S.C. § §1681- 1683, and 1685- 1686), which prohibits
discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of
1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis
of disabilities; (d) The Age Discrimination act of 1975, as amended (42 U.S.C.
§ §6101- 6107), which prohibits discrimination on the basis of age; (e) the Drug
Abuse Office and Treatment Act of 1972 (P.L. 92 -255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol
Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91 -616) as amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism; (g) § §523 and 527 of the Public Health Service Act of
1912 (42 U.S.C. § §290 dd -3 and 290 ee 3), as amended, relating to
confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the
Civil Rights Act of 1968 (42 U.S.C. § §3601 et seq.), as amended, relating to
non - discrimination in the sale, rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which application
for Federal assistance is being made; Q) the requirements of any other
nondiscrimination statute(s) which may apply to the application; and
(k) P.L. 93 -348 regarding the protection of human subjects involved in research,
development, and related activities supported by this award of assistance.
10. Environmental
Subrecipient shall, as applicable, comply, or has already complied, with the
requirements of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91 -646) which provide for fair
and equitable treatment of persons displaced or whose property is acquired as
a result of Federal or federally- assisted programs. These requirements apply to
all interests in real property acquired for project purposes regardless of Federal
participation in purchases.
Subrecipient shall comply, as applicable, with environmental standards which
may be prescribed pursuant to the following: (a) institution of environmental
quality control measures under the National Environmental Policy Act of 1969
(P.L. 91 -190) and Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands pursuant to
EO 11990; (d) evaluation of flood hazards in floodplains in accordance with
EO 11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act of
16
Grants /HSGP 2012 /Subrecipient Agreements /Arcadia Agreement
1972 (16 U.S.C. § §1451 et seq.); (f) conformity of Federal actions to State
(Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of
1955, as amended (42 U.S.C. § §7401 et seq.); (g) protection of underground
sources of drinking water under the Safe Drinking Water Act of 1974, as
amended (P.L. 93 -523); (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93205); and (i) Flood
Disaster Protection Act of 1973 §102(a) (P.L. 93 -234).
Subrecipient shall, as applicable, comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. § §1271 et seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
Subrecipient shall, as applicable, comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. § §4801 et seq.) which prohibits the use of lead -
based paint in construction or rehabilitation of residence structures.
Subrecipient shall, as applicable, comply with the Federal Water Pollution
Control Act (33 U.S.C. §1251 et seq.) which restores and maintains the
chemical, physical and biological integrity of the Nation's waters.
Subrecipient shall, as applicable, ensure that the facilities under its ownership,
lease or supervision which shall be utilized in the accomplishment of this project
are not listed in the Environmental Protection Agency's (EPA) list of Violating
Facilities and that it will notify the Federal Grantor agency of the receipt of any
communication from the Director of the EPA Office of Federal Activities
indicating that a facility to be used in the project is under consideration for listing
by the EPA.
By signing this Agreement, Subrecipient ensures that it is in compliance with
the California Environmental Quality Act (CEQA), Public Resources Code
§21000 et seq.
Subrecipient shall, as applicable, comply with the Energy Policy and
Conservation Act (P.L. 94 -163, 89 Stat. 871).
Subrecipient shall comply, as applicable, with the provision of the Coastal
Barrier Resources Act (P.L. 97 -348) dated October 19, 1982 (16 USC 3501 et.
seq.) which prohibits the expenditure of most new Federal funds within the units
of the Coastal Barrier Resources System.
11, Preservation
Subrecipient shall, as applicable, comply with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and the Archaeological and
Historic Preservation Act of 1974 (16 U.S.C. § §469a -1 et seq.).
17
Grants /HSGP 2012 /Subrecipient Agreements /Arcadia Agreement
12. Suspension, Debarment, Ineligibility and Voluntary Exclusion
Subrecipient shall, as applicable, comply with Title 2 C.F.R. Part §3000,
regarding Suspension and Debarment, and Subrecipient shall submit a
Certification Regarding Debarment, attached here to as Exhibit B, required by
Executive Order 12549 and any amendment thereto. Said Certification shall be
submitted to the County of Los Angeles concurrent with the execution of this
Agreement and shall certify that neither Subrecipient nor its principals are
presently debarred, suspended, proposed for debarment, declared ineligible or
voluntarily excluded from participation in this transaction by any Federal
department head or agency. Subrecipient shall require that the language of this
Certification be included in the award documents for all sub -award at all tiers
and that all subcontractors shall certify accordingly.
13. Drug -Free Workplace
Subrecipient shall, as applicable, comply with the federal Drug -Free Workplace
Act of 1988, 41 USC §701, Title 44 Code of Federal Regulations (CFR) Part
§17; the California Drug -Free Workplace Act of 1990, CA Gov't Code § §8350-
8357, and Subrecipient shall complete the Certification Regarding Drug -Free
Workplace Requirements, attached hereto as Exhibit C, and incorporated
herein by reference. Subrecipient shall require that the language of this
Certification be included in the award documents for all sub -award at all tiers
and that all subcontractors shall certify accordingly.
14. Lobbying Activities
Subrecipient shall, as applicable, comply with 31 U.S.C. 1352 and complete the
Disclosure of Lobbying Activities, (OMB 0038 - 0046), attached hereto as
Exhibit A, and incorporated herein by reference.
15. Miscellaneous
Subrecipient shall, as applicable, comply with the Laboratory Animal Welfare
Act of 1966, as amended (P.L. 89 -544, 7 USC § §2131 et seq.).
B. Statutes and Regulations Applicable To This Particular Grant
Subrecipient shall comply with all applicable requirements of State and Federal laws,
executive orders, regulations, program and administrative requirements, policies and
any other requirements governing this particular grant program. Subrecipient shall, as
applicable, comply with new, amended, or revised laws, regulations, and /or
procedures that apply to the performance of this Agreement. These requirements
include, but are not limited to:
Title 44 CFR Part 13; EO 12372; U.S. Department of Homeland Security, Office
of State and Local Government Coordination and Preparedness, Office for
18
Grants /HSGP 2012 /Subrecipient Agreements /Arcadia Agreement
Domestic Preparedness, ODP WMD Training Course Catalogue; and DOJ
Office for Civil Rights,
Standardized Emergency Management System (SEMS) requirements as stated
in the California Emergency Services Act, Government Code Chapter 7 of
Division 1 of Title 2, §8607.1(e) and CCR Title 19, § §2445 -2448.
Provisions of Title 2, 6, 28, 44 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures; Part 20,
Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable
Research and Statistical Information; Part 23, Criminal Intelligence Systems
Operating Policies; Part 30, Intergovernmental Review of Department of Justice
Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services; Part 38, Equal Treatment of Faith -based
Organizations; Part 42, Nondiscrimination /Equal Employment Opportunities
Policies and Procedures; Part 61, Procedures for Implementing the National
Environmental Policy Act; Part 63, Floodplain Management and Wetland
Protection Procedures; Part 64, Floodplain Management and Wetland
Protection Procedures; Federal laws or regulations applicable to Federal
Assistance Programs; Part 69, New Restrictions on Lobbying; Part 70, Uniform
Administrative Requirements for Grants and Cooperative Agreements (including
sub - awards) with Institutions of Higher Learning, Hospitals and other Non - Profit
Organizations; and Part 83, Government -Wide Requirements for a Drug Free
Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and Safe Streets
Act of 1968, as amended, 42 USC 3789(d), or the Juvenile Justice and
Delinquency Prevention Act, or the Victims of Crime Act, as appropriate; the
provisions of the current edition of the Office of Justice Programs Financial and
Administrative Guide for Grants, M7100.1, and all other applicable Federal
laws, orders, circulars, or regulations.
2. Travel Expenses
Subrecipient, as provided herein, shall be compensated for Subrecipient's
reasonable travel expenses incurred in the performance of this Agreement, to
include travel and per diem, unless otherwise expressed. Subrecipient's total
travel for in -State and /or out -of -State and per diem costs shall be included in
the contract budget(s). All travel including out -of -State travel not included in the
budget(s) shall not be reimbursed without prior written authorization from the
County of Los Angeles.
Subrecipient's administrative - related travel and per diem reimbursement costs
will not be reimbursed. For programmatic - related travel costs, Subrecipient's
reimbursement rates shall not exceed the amounts established under the grant.
19
Grants /HSGP 2012 /Subrecipient Agreements /Arcadia Agreement
3. Noncompliance
Subrecipient understands that failure to comply with any of the above
assurances may result in suspension, termination or reduction of grant funds,
and repayment by the Subrecipient to the County of Los Angeles of any
unauthorized expenditures.
C. Compliance With Grant Requirements
To obtain the grant funds, the State required an authorized representative of the
County of Los Angeles to sign certain promises regarding the way the grant funds
would be spent. These requirements are included in the 2012 Funding Opportunity
Announcement and in the "Grant Assurances ", attached hereto as Exhibit D. By
signing these Grant Assurances and accepting the Funding Opportunity
Announcement, the County of Los Angeles became liable to the State for any funds
that are used in violation of the grant requirements. Subrecipient shall be liable to
the Grantor for any funds the State determines that Subrecipient used in violation of
these Grant Assurances. Subrecipient shall indemnify and hold harmless the
County of Los Angeles for any sums the State or Federal government determines
Subrecipient used in violation of the Grant Assurances.
§412. Federal, State and Local Taxes
Federal, State and local taxes shall be the responsibility of the Subrecipient as an
independent party and not of the County of Los Angeles and shall be paid prior to
requesting reimbursement. However, these taxes are an allowable expense under the
grant program.
§413. Inventions, Patents and Copyrights
A. Reporting Procedure for Inventions
11' any project produces any inventioi or discovery 'invention' patentable or otherwise
under Title 35 of the U.S. Code, including, without limitation, processes and business
methods made in the course of work under this Agreement, the Subrecipient shall
report the fact and disclose the Invention promptly and fully to the County of
Los Angeles. The County of Los Angeles shall report the fact and disclose the
Invention to the State. Unless there is a prior agreement between the County of
Los Angeles and the State, the State shall determine whether to seek protection on
the Invention. The State shall determine how the rights in the Invention, including
rights under any patent issued thereon, will be allocated and administered in order to
protect the public interest consistent with the policy ( "Policy ") embodied in the Federal
Acquisition Regulations System, which is based on Ch. 18 of Title 35 U.S.C. Sections
200 et seq. (Pub. L. 95 -517, Pub. L. 98 -620, Title 37 CFR Part 401); Presidential
Memorandum on Government Patent Policy to the Heads of the Executive
Departments and Agencies, dated 2/18/1983); and Executive Order 12591, 4/10/87,
52 FR 13414, Title 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order
12618, 12/22/87, 52 FR 48661, Title 3 CFR, 1987 Comp., p. 262). Subrecipient
20
Grants /HSGP 2012 /Subrecipient Agreements/Arcadia Agreement
hereby agrees to be bound by the Policy, and will contractually require its personnel to
be bound by the Policy.
B. Rights to Use Inventions
County of Los Angeles shall have an unencumbered right, and a non - exclusive,
irrevocable, royalty -free license to use, manufacture, improve upon, and allow others
to do so for all government purposes, any Invention developed under this Agreement.
C. Copyright Policy
1. Unless otherwise provided by the State or the terms of this Agreement, when
copyrightable material (Material) is developed under this Agreement, the
County of Los Angeles, at the County's discretion, may copyright the Material.
If the County of Los Angeles declines to copyright the Material, the County of
Los Angeles shall have an unencumbered right, and a non - exclusive,
irrevocable, royalty -free license, to use, manufacture, improve upon, and allow
others to do so for all government purposes, any Material developed under this
Agreement.
2. The State shall have an unencumbered right, and a non - exclusive, irrevocable,
royalty -free license, to use, manufacture, improve upon, and allow others to do
so for all government purposes, any Material developed under this Agreement
or any Copyright purchased under this Agreement.
3. Subrecipient shall comply with Title 24 CFR 85.34.
D. Rights to Data
The State and the County of Los Angeles shall have unlimited rights or copyright
license to any data first produced or delivered under this Agreement. "Unlimited
rights" means the right to use, disclose, reproduce, prepare derivative works, distribute
copies to the public, and perform and display publicly, or permit others to do so; as
required by Title 48 CFR 27.401. Where the data are not first produced under this
Agreement or are published copyrighted data with the notice of 17 U.S.C. Section 401
or 402, the State acquires the data under a copyright license as set forth in Title 48
CFR 27.404(f)(2) instead of unlimited rights. (Title 48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
Subrecipient shall require all subcontractors to comply with the obligations of this
section by incorporating the terms of this section into all subcontracts.
§414. Child Support Assignment Orders
Under the terms of this Agreement, Subrecipient shall comply with California Family
Code Section 5230 et seq. as applicable.
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§415. Minority, Women, And Other Business Enterprise Outreach Program
It is the policy of the County of Los Angeles to provide Minority Business Enterprises,
Women Business Enterprises and all other business enterprises an equal opportunity
to participate in the performance of all Subrecipient's contracts, including procurement,
construction and personal services. This policy applies to all of the Subrecipient's
contractors and sub - contractors.
SECTION V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
§501. Defaults
Should either party fail for any reason to comply with the contractual obligations of this
Agreement within the time specified by this Agreement, the non - breaching party
reserves the right to terminate the Agreement, reserving all rights under State and
Federal law.
§502. Amendments
Except as otherwise provided in this paragraph, any change in the terms of this
Agreement, including changes in the services to be performed by Subrecipient, that
are agreed to by the Subrecipient and the County of Los Angeles must be
incorporated into this Agreement by a written amendment properly signed by persons
who are authorized to bind the parties. Notwithstanding the foregoing, any increase or
decrease of the grant amount specified in §301.A., above, or any extension of the
performance period specified in §201, above, shall not require a written amendment,
but may be effectuated by a written notification by the County of Los Angeles to the
Subrecipient.
SECTION Vi
ENTIRE AGREEMENT
§601. Complete Agreement
This Agreement contains the full and complete Agreement between the two parties.
Neither verbal agreement nor conversation or other communication with any officer or
employee of either party shall affect or modify any of the terms and conditions of this
Agreement.
§602. Number of Pages and Attachments
This Agreement may be executed in two (2) duplicate originals, each of which is
deemed to be an original. This Agreement includes (23) pages and (7) Exhibits which
constitute the entire understanding and agreement of the parties.
22
Grants/HSGP 2012 /Subrecipient Agreements /Arcadia Agreement
IN WITNESS WHEREOF, the Subrecipient and County of Los Angeles have caused this
Agreement to be executed by their duly authorized representatives.
COUNTY OF LOS ANGELES
By ��4 �/
WILLdAK4 T FUJIOKA
Chief Executive Officer
By
SACHI A. HAMAI
Executive Officer, Board of Supervisors
APPROVED AS TO FORM
JOHN F. KRATTLI
County Counsel
- ; q Ll
Date
By eZn r��
In Naimo
sting Auditor - Controller
B } 'Dominic Lazzaretto July 29, 2014
CI esentati itle (Signature) (Print Name) Date
City Manager
APPROVED AS TO FORM
Bar \.� Stephen P. Deitsch July 29, 2014
City At orney (Signature) (Print Name) Date
ATTEST
BY Lisa Mussenden July 29, 2014
City Cler C (Signature) (Print Name) Date
Chief Dkputy
23
Grants /HSGP 2012 /Subrecipient Agreements/Arcadia Agreement
EXHIBITS
Exhibit A Certification and Disclosures Regarding Lobbying
Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions and
Exhibit C Certification Regarding Drug -Free Workplace
Exhibit D Grant Assurances
Exhibit E Final Grant Award Letter and Worksheet
Exhibit F Funding Guidelines
Exhibit G Reimbursement Form and Instructions
EXHIBIT A
CalEMA 2 -232
Approved by OMB 0348 -0046
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobhvina activities nursunnt to 31 HS C 1357
1. Type of Federal Action: 2. Status of Federal Action:
3. Report Type:
® a. initial filing
a. contract a. bid /offer /application
b. grant b. initial award
b, material change
c. d. loan cooperative agreement c. post -award
For Material Change Only:
e. loan guarantee
Year Quarter
f. loan insurance
date of last report
4. Name and Address of Reporting Entity:
5. If Reporting Entity in No. 4 is Subawardee,
Citv of Arcadia
Enter Name and Address of Prime:
240 W. Huntington Drive Arcadia CA 91007
County of Los Angeles
Prime g� Subawardee
Chief'Executive Office
County Disaster Administrative Team
Tier, If known:
500 W. Temple Street, Room 785
Los Angeles, CA 90012
Congressional District, if known:
Congressional District, if known:
6. Federal DepartmentfAgency:
7. Federal Program Name /Description:
CFDA Number, if applicable:
8. Federal Action Number, if known:
9. Award Amount, if known:
10. a. Name and Address of Lobbying Entity
b. Individuals Performing Services
(if individual, last name, first name, MI):
(attach Continuation Sheet(s) SF- LLL -A, if necessary)
(last name, first name, MI - include address if different from 10a)
11. Amount of Payment (check all that apply)
13. Type of Payment (check all that apply):
i Actual Planned
a retainer
_I b. one -time fee
12. Form of Payment (check all that apply):
I a. cash
_; c. commission
i b. in -kind; specify:
; d. contingent fee
e. deferred
nature value
� f. other, specify:
14. Brief Description of Services Performed or to be Performed and Date(s) of Service, Including officer(s), employee(s), or
Member(s) contacted, for Payment indicated in item 11: (attach Continuation Sheet(s) SF- LLL -A, if necessary)
15. Continuation Sheet(s) SF -LLL -A attached: 0: Yes No
16. Information requested through this form is authorized by Title 31 U.S.C. Section 1352.
Signature:
This disclosure of lobbying activities is a material representation of fact upon which
Name: Dominic
reliance was placed by the tier above when this transaction was made or entered into.
Cite Manager
This disclosure is required pursuant to 31 U.S.C. 1352. This information will be
Title:
reported to the Congress semi - annually and will be available for public inspection. Any
Telephone: 626 574-5401
person who tails to file the required disclosure shall be subject to a civil penalty of not
(area code)
less than $10,000 and not more than $100,000 for each such failure
Date: July 29, 20i4
Federal Use Only:
Authorized for Local Reproduction
Standard Form — LLL
Disclosure of Lobbying Activities - CaIEMA 2 -232 (Revised 2/1/2009)
DISCLOSURE OF LOBBYING ACTIVITIES
CONCONTINUATION SHEET
Continuation of 10 a -b: additional sheets may be added if necessary
Reporting Entity:
Last Name
Address
Last Name
Address
Last Name
Address
Last Name
First Name
City
First Name
C ity
First Name
Approved by OMB 0346 -0046
WE
Zip
MI
Zip
MI
City Zip
First Name MI
Address City
Continuation of 14: (additional sheets may be added if necessary)
Brief Description of Services and Payments indicated in item 11:
Authorized for Local Reproduction
Standard Form — LLL -A
Disclosure of Lobbying Activities - CalEMA 2 -232 (Revised 2/1/2009)
Zip
CaIEMA 2 -232
Approved by OMB 0346 -0046
INSTRUCTIONS FOR COMPLETION OF SF -LLL,
DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether sub - awardee or prime Federal
recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing,
pursuant to Title 31 U.S.C. Section 1352. The filing of a form is required for each payment or agreement
to make payment to any lobbying entity for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with a covered Federal action. Use the SF -LLL -A Continuation
Sheet for additional information if the space on the form is inadequate. Complete all items that apply for
both the initial filing and material change report. Refer to the implementing guidance published by the
Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and /or has been secured
to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow -up report caused by a
material change to the information previously reported, enter the year and quarter in which the
change occurred. Enter the date of the last previously submitted report by this reporting entity
for this covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include
Congressional District, if known. Check the appropriate classification of the reporting entity that
designates if it is, or expects to be, a prime or sub -award recipient. Identify the tier of the
subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are
not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks " Subawardee," then enter the full name,
address, city, state and zip code of the prime Federal recipient. Include Congressional District, if
known.
5. Enter the name of the Federal agency making the award or loaf commitment, include at least
one organizational level below agency name, if known. For example, Department of
Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If
known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants,
cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified
in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; sub -grant
announcement number; the contract, subgrant, or loan award number; the application /proposal
control number assigned by the Federal agency). Include prefixes, e.g., "RFP- DE -90- 001."
9. For a covered Federal action where there has been an award or loan commitment by the
Federal agency, enter the Federal amount of the award /loan commitment for the prime entity
identified in item 4 or 5.
Disclosure of Lobbying Activities - CalEMA 2 -232 (Revised 2/1/2009)
CaIEMA 2 -232
Approved by OMB 0348 -0046
10. (a.) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the
reporting entity identified in item 4 to influence the covered Federal action.
(b.) Enter the full names of the individual(s) performing services, and include full address if
different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity
(item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual)
or will be made (planned). Check all boxes that apply. If this is a material change report, enter
the cumulative amount of payment made or planned to be made.
12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-
kind contribution, specify the nature and value of the in -kind payment,
13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will
be expected to perform, and the date(s) of any services rendered. Include all preparatory and
related activity, not just time spent in actual contact with Federal officials. Identify the Federal
official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress
that were contacted.
15. Check whether or not a SF -LLL -A Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his /her name, title, and telephone
number.
Public reporting burden for this collection of information is estimated to average 30 minutes per
response, including time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Send
comments regarding the burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Cfflce of Management and Budget,
Paperwork Reduction Project (0348- 0046), Washington, D.C. 20503.
Disclosure of Lobbying Activities - CalEMA 2 -232 (Revised 2/1/2009)
AM11 -l"K
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION
LOWER TIER COVERED TRANSACTIONS
This certification is required by the regulations implementing Executive Order 12549,
Debarment and Suspension, 24 CFR Part 24 Section 24.510, Participants'
responsibilities.
(READ ATTACHED INSTRUCTIONS FOR CERTIFICATION BEFORE
COMPLETING)
The prospective recipient of Federal assistance funds certifies that neither it
nor its principals are presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in
this transaction by any Federal department or agency.
2. Where the prospective recipient of Federal assistance funds is unable to
certify to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
AGREEMENT NUMBER
City of Arcadia
CONTRACTOR /BORROWERIAGENCY
Dominic. Lazzaretto, City Manager
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
--— July 29, 2014
cz
SIGWAPURE DATE
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this document, the prospective recipient of Federal assistance
is providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance
was placed when this transaction was entered into. If tit is later determined that he
prospective recipient of Federal assistance funds knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal Government, the
department or agency with which this transaction originated may pursue available
remedies, including suspension and /or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written
notice to the person to which this agreement is entered, if at any time the prospective
recipient of Federal assistance funds learns that its certification was erroneous, when
submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier
covered transaction," "participant," "person," " primary covered transaction," 'principal,"
"proposal," and "voluntarily excluded," as used in this clause, have the meanings set out
in the Definitions and Coverage sections of rules implementing Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal
that, should the proposed covered transaction be entered into, it shall not knowingly
enter into any lower tier covered transaction with a person who is debarred, suspended,
declared ineligible, or voluntarily excluded from participation on this covered transaction,
unless authorized by the department or agency with which this transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this
proposal that it will include the clause titled "Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions,"
without modification, in all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it determines
the eligibility of its principals. Each participant may, but is not required to, check the List
of Parties Excluded from Procurement or Non Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a
system of records in order to render in good faith the certification required by this clause.
The knowledge and information of a participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered
transaction with a person who is suspended, debarred, ineligible, or voluntary excluded
form participation in this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this transaction originated
may pursue available remedies, including suspension and /or debarment.
EXHIBIT C
CERTIFICATION REGARDING DRUG -FREE WORKPLACE ACT REQUIREMENTS
The Contractor certifies that it will provide a drug -free workplace, in accordance with State law and State
Employment Development Department (EDD) Directive No. D907 by:
Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession or use of a controlled substance is prohibited in the Contractor's
workplace and specifying the actions that will be taken against employees for violation of
such prohibition.
2. Establishing a drug -free awareness program to inform employees about:
a. The dangers of drug abuse in the workplace;
b. The Contractor's policy of maintaining a drug -free workplace;
c. Any available drug counseling, rehabilitation and employee assistance programs; and
d. The penalties that may be imposed upon employees for drug abuse violations occurring
in the workplace.
3. Making it a requirement that each employee to be engaged in the performance of this
program be given a copy of the statement required by paragraph 1.above.
4. Notifying the employee in the statement required by paragraph 1. that, as a condition of
employment under this program, the employee will:
a. Abide by the terms of the statement, and
b. Notify the Contractor of any criminal drug statute convictions for a violation occurring in
the workplace no later than five days after such conviction.
5 Notifying the County within ten days after receiving notice under subparagraph 4.b. from an
employee or otherwise receiving actual notice of such conviction.
6. Taking one of the following actions, within 30 days of receiving notice under subparagraph
4.b. with respect to any employee who is so convicted by taking appropriate personnel action
against such an employee, up to and including termination.
7. Making a good faith effort to continue to maintain a drug -free workplace through
implementation of the provision of this certification.
City of Arcadia
CONTRACTOR /AGENCY
Dominic Lazzaretto, City Manager
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
L1_ i -�-
SI OF AUT ED REPRESENTATIVE
Jule 20, 2014
DATE
EXHIBIT D
California Emergency Management Agency
FY 2012 Grant Assurances
(All HSGP Applicants)
Name of Applicant: Citv of Arcadia.
Address: 240 W. Huntington Drive
City: Arcadia State: CA _ Zip Code: 91007
Telephone Number: (626) 574 -5401 Fax Number: 626L446 -5729
E -Mail Address: dlazzaretto @ArcadiaCA.gov
As the duly authorized representative of the applicant, I certify that the applicant named above:
I. Will assure that grant funds will support efforts related to providing an integrated mechanism to enhance
the coordination of national priority efforts to prevent, respond to, and recover from terrorist attacks,
major disasters and other emergencies.
2. Has the legal authority to apply for Federal assistance and has the institutional, managerial and financial
capability to ensure proper planning, management and completion of the grant provided by the U.S.
Department of Homeland Security (DHS) /Federal Emergency Management Agency (FEMA) and sub -
granted through the State of California, California Emergency Management Agency (Cal EMA).
3. Will assure that grant funds are used for allowable, fair, and reasonable costs only and will not be
transferred between grant programs (for example: State Homeland Security Program, Urban Area
Security Initiative, Citizen Corps Program, and Metropolitan Medical Response System) or fiscal years.
4. Will comply with any cost sharing commitments included in the FY2012 Investment Justifications
submitted to DHS/FEMA /Cal EMA, where applicable.
5. Will give the Federal government, the General Accounting Office, the Comptroller General of the United
States, the State of California, the Office of Inspector General, through any authorized representative,
access to, and the right to examine, all paper or electronic records, books, or documents related to the
award; and will establish a proper accounting system in accordance with generally accepted accounting
standards and /or awarding agency directives.
6. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the
development of a statewide fusion process that corresponds with the Global Justice/Homeland Security
Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy
policies, and achieve (at a minimum) baseline level of capability as defined by the Fusion Capability
Planning Tool.
7. Will provide progress reports, and other such information as may be required by the awarding agency,
including the Initial Strategy Implementation Plan (IS1P) within 45 (forty-five) days of the award, and
update via the Grant Reporting Tool (GRT) twice each year.
8. Will initiate and complete the work within the applicable time frame after receipt of approval from Cal
EMA.
9. Will maintain procedures to minimize the time elapsing between the award of funds and the disbursement
of funds.
Page I Ini ials'
10. Will comply with all provisions of DHS/FEMA's codified regulation 44, Part 13, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments, including the
payment of interest earned on advances.
11. Will comply with all provisions of 48 CFR, 31.2, Federal Acquisition Regulations (FAR), Contracts with
Commercial Organizations.
12. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes,
or presents the appearance of, personal or organizational conflict of interest, or personal gain for
themselves or others, particularly those with whom they have family, business, or other ties.
13. Understands and agrees that Federal funds will not be used, directly or indirectly, to support the
enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of government,
without the express prior written approval from DHS/FEMA/Cal EMA.
14. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority- owned,
women - owned, or disadvantaged business concerns and contractors or subcontractors to the extent
practicable.
15. Will notify Cal EMA of any developments that have a significant impact on award - supported activities,
including changes to key program staff.
16. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et
seq.) which prohibits the use of lead based paint in construction or rehabilitation of structures.
17. Will comply with all Federal and State Statues relating to Civil Rights and Nondiscrimination. These
include, but are not limited to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88 -352), as amended, which prohibits discrimination on
the basis of race, color or national origin.
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681 -1683 and 1685-
1686), which prohibits discrimination on the basis of gender.
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits
discrimination on the basis of handicaps.
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101- 6107), which prohibits
discrimination on the basis of age.
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255), as amended, relating to
nondiscrimination on the basis of drug abuse.
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of
1970 (P.L. 91 -616), as amended, relating to nondiscrimination on the basis of alcohol abuse or
alcoholism.
g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd -3 and 290 ee -3), as
amended, relating to confidentiality of alcohol and drug abuse patient records.
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing.
i. Title 44 Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination.
j. The requirements on any other nondiscrimination provisions in the specific statute(s) under which the
application for Federal assistance is being made.
k. Will, in the event that a Federal or State court or Federal or State administrative agency makes a
finding of discrimination after a due process hearing on the grounds or race, color, religion, national
origin, gender, or disability against a recipient of funds, the recipient will forward a copy of the
finding to the Office of Civil Rights, Office of Justice Programs.
Page 2 1 n7 ials '
1. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice
Office of Civil Rights within 60 days of grant award.
in. Will comply, and assure the compliance of all its subgrantees and contractors, with the
nondiscrimination requirements and all other provisions of the current edition of the Office of Justice
Programs Financial and Administrative Guide for Grants, M7100.1.
18. Will comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [P.L. 91 -646]) which provides for
fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or
Federally assisted programs. These requirements apply to all interested in real property acquired for
project purposes regardless of Federal participation in purchases. Will also comply with Title 44 CFR,
Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally- assisted
programs.
19. Will comply, if applicable, with the flood insurance purchase requirements of Section 102(a) of the Flood
Disaster Protection Act of 1973 (P.L. 93 -234) which requires recipients in a special flood hazard area to
participate in the program and to purchase flood insurance if the total cost of insurable construction and
acquisition is ten thousand dollars ($10,000) or more.
20. Will comply with all applicable Federal, State, and Local environmental and historical preservation .
(EHP) requirements. Failure to meet Federal, State, and Local EHP requirements and obtain applicable
permits may jeopardize Federal funding. Will comply with all conditions placed on any project as the
result of the EHP review; any change to the scope of work of a project will require reevaluation of
compliance with these EHP requirements.
21. Will comply with all provisions of DHS /FEMA's codified regulation 44, Part 10, Environmental
Considerations.
22. Agrees not to undertake any project having the potential to impact the EHP resources without the prior
written approval of DHS /FEMA /Cal EMA, including, but not limited to, ground disturbance,
construction, modification to any structure, physical security enhancements, communications towers, any
structure over 50 years old, and purchase and /or use of any sonar equipment. The subgrantee must comply
with all conditions and restrictions placed on the project as a result of the EHP review. Any construction-
related activities initiated without the necessary EHP review and approval will result in a noncompliance
finding, and may not be eligible for reimbursement with DHS/FEMA /Cal EMA funding. Any change to
the scope of work will require re- evaluation of compliance with the EHP. If ground- disturbing activities
occur during the project implementation, the subgrantee must ensure monitoring of the disturbance. If
any potential archeological resources are discovered, the subgrantee will immediately cease activity in
that area and notify DHS/FEMA /Cal EMA and the appropriate State Historic Preservation Office.
23. Any construction activities that have been initiated prior to the full environmental and historic
preservation review could result in non - compliance finding. grantees must complete the FEMA EHP
Screening Form (OMB Number 1 660- 011S/FEMA Form 024 -0 -01) and submit it, with all supporting
documentation, to the GPD EHP team at GPDEHPinfo @fema.dhs.gov for review.
24. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon
receiving their grant award. The Screening From for these types of projects is available at:
www.fema. a ov/doc/ governmet ) &,memo.doc n# l i
25. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the
accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of
Violating Facilities, and will notify Cal EMA and the Federal Grantor agency of the receipt of any
communication from the Director of the EPA Office of Federal Activities indicating if a facility to be
used in the project is under consideration for listing by the EPA.
Page 3 Init als
26. Will provide any information requested by DHS/FEMA /Cal EMA to ensure compliance with applicable
laws, including the following:
a. Institution of environmental quality control measures under the Archaeological and Historic
Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (11988), and
Environmental Justice (EO12898) and Environmental Quality (EO1 1514).
b. Notification of violating facilities pursuant to EO 11738.
c. Assurance of project consistency with the approved state management program developed under the
Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.).
d. Conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the
Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.).
e. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93 -523).
f. California Environmental Quality Act (CEQA). California Public Resources Code Sections 21080-
21098. California Code of Regulations, Title 14, Chapter 3 Section 15000- 15007.
g. Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et.seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
h. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97 -348) dated October 19, 1982 (16
USC 3501 et seq.) which prohibits the expenditure of most new Federal finds within the units of the
Coastal Barrier Resources System.
27. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the
California Emergency Services Act, Government Code, Chapter 7 of Division 1 of Title 2, Section
8607.1(e) and CCR Title 19, Sections 2445, 2446, 2447, and 2448.
28. Agrees that all publications created or published with funding under this grant shall prominently contain
the following statement: "This document was prepared under a grant from FEMA's Grant Programs
Directorate, U.S. Department of Homeland Security. Points of view or opinions expressed in this
document are those of the authors and do not necessarily represent the official position or policies of
FEAdA's Grant Programs Directorate or the U.S. Department of Homeland Security. " The recipient also
agrees that, when practicable, any equipment purchased with grant funding shall be prominently marked
as follows: ''Purchased with funds provided by the U.S. Department of Homeland Security. "
29. Acknowledges that DHS /FEMA reserves a royalty -free, nonexclusive, and irrevocable license to
reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: a) the
copyright in any work developed under an award or sub - award; and b) any rights of copyright to which a
recipient or sub - recipient purchases ownership with Federal support.
30. The recipient agrees to consult with DHS/FEMA/Cal EMA regarding the allocation of any patent rights
that arise from, or are purchased with, this funding and has requested through the State of California,
Federal financial assistance to be used to perform eligible work approved in the submitted application for
Federal assistance and after the receipt of Federal financial assistance, through the State of California,
agrees to the following:
a. Promptly return to the State of California all the funds received which exceed the approved, actual
expenditures as accepted by the Federal or State government.
b. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount
of the reduction will be promptly refunded to the State of California.
c. Property /equipment purchased under the HSGP reverts to Cal EMA if the grant funds are
deobligated/disallowed and/or not promptly repaid.
d. HSGP funds used for the improvement of real property must be promptly repaid following
deobligation/disallowment of costs or Cal EMA reserves the right to place a lien on the property for
the amount owed.
Page 4 MM 17 '
e. Separately account for interest earned on grant funds, and will return all interest earned, in excess of
$100 per Federal Fiscal Year,
31. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C. Sections 4728 -4763) relating
to prescribed standards for merit systems for programs funded under one of the nineteen statutes or
regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration
(5 C.F.R. 900, Subpart F).
32. Will comply with provisions of the Hatch Act (5 U.S.C. Sections 1501 -1508 and 7324 -7328) which limit
the political activities of employees whose principal employment activities are funded in whole or in part
with Federal funds.
33. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89 -544, as amended, 7
U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of assistance.
34. Will comply with the minimum wage and maximum hour provisions of the Federal Fair Labor Standards
Act (29 U.S.C. 201), as they apply to employees of institutions of higher education, hospitals, and other
non - profit organizations.
35. Agrees that "Classified national security information," as defined in Executive Order (EO) 12958, as
amended, means information that has been determined pursuant to EO 12958 or any predecessor order to
require protection against unauthorized disclosure and is marked to indicate its classified status when in
documentary form.. No funding under this award shall be used to support a contract, subaward, or other
agreement for goods or services that will include access to classified national security information if the
award recipient has not been approved for and has access to such information.
36. Agrees that where an award recipient has been approved for and has access to classified national security
information, no funding under this award shall be used to support a contract, subaward, or other
agreement for goods or services that will include access to classified national security information by the
contractor, subawardee, or other entity without prior written approval from the DHS Office of Security,
Industrial Security Program Branch (ISPB), or, an appropriate official within the Federal department or
agency with whom the classified effort will be performed. Such contracts, subawards, or other agreements
shall be processed and administered in accordance with the DHS "Standard Operating Procedures,
Classified Contracting by States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, as
amended; the National Industrial Security Program Operating Manual (NISPOM); and /or other applicable
implementing directives or instructions. All security requirement documents are located at:
hM2://www.dhs,gov/xopiibiz/p,raiits/index.shtm
37. Immediately upon determination by the award recipient that funding under this award will be used to
support such a contract, subaward, or other agreement, and prior to execution of any actions to facilitate
the acquisition of such a contract, subaward, or other agreement, the award recipient shall contact ISPB,
or the applicable Federal department or agency, for approval and processing instructions.
DNS Office of Security ISPB contact information:
Telephone: 202 447 -5346
Email: DD254AdministrativeSecurity@dhs.gov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASDAndustrial Security Program Branch
Washington, D.C. 20528
38. Agrees with the requirements regarding Data Universal Numbering System (DUNS) Numbers, meaning if
recipients are authorized to make subawards under this award, they must notify potential subrecipients
Page 5 Ini als '
that no entity (see definition in paragraph C of this award term) may receive or make a subaward to any
entity unless the entity has provided its DUNS number. For purposes of this award term, the following
definitions will apply:
a. "Data Universal Numbering System (DUNS)" number means the nine digit number established and
assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number
may be obtained from D &B by telephone (currently 866- 705 -5711) or the Internet, currently at
http: ,ifedgov.dnb.com.!webform
b. "Entity ", as it is used in this award term, means all of the following, as defined at 2 CFR part 25,
subpart C, as a Governmental organization, which is a State, local government, or Indian Tribe; or a
foreign public entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for -
profit organization; or a Federal agency, but only as a sub recipient under an award or subaward to a
non - Federal entity.
c. " Subaward" means a legal instrument to provide support for the performance of any portion of the
substantive project or program for which you received this award and that you as the recipient award
to an eligible subrecipient. It does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see Sec. 210 of the attachment to OMB
Circular A -133, "Audits of States, Local Governments, and Non - Profit Organizations ") and may be
provided through any legal agreement, including an agreement that you consider a contract.
d. "Subrecipient" means an entity that receives a subaward from you tinder this award; and is
accountable to you for the use of the Federal funds provided by the subaward.
39. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. Section 276a to 276a-
7), the Copeland Act (40 U.S.C. Section 276c and 18 U.S.C. Sections 874), and the Contract Work Hours
and Safety Standards Act (40 U.S.C. Sections 327 -333), regarding labor standards for Federally - assisted
construction sub - agreements.
40. Agrees that:
a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress
in connection with the making of any Federal grant, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal grant or
cooperative agreement.
b. If any other funds than Federal appropriated Rinds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress,
an officer or an employee of Congress, or employee of a Member of Congress in connection with the
Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form
LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
c. The undersigned shall require that the language of this certification be included in the award
documents for all sub awards at all tiers including subgrants, contracts under grants and cooperative
agreements, and subcontract(s) and that all sub recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
a.
b.
41. Agrees that funds awarded under this grant will be used to supplement existing funds for program
activities, and will not supplant (replace) non - Federal funds.
Page 6 Init als'
42. Agrees that equipment acquired or obtained with grant funds:
c. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense
Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency
medical, hazardous materials response services, and law enforcement agencies within the jurisdiction
of the applicant, and deployed with personnel trained in the use of such equipment ina manner
consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and
Rescue Mutual Aid Plan.
d. Is consistent with needs as identified in the State Homeland Security Strategy and will be deployed in
conformance with that Strategy.
43. Will comply with all applicable Federal statutes, regulations, policies, guidelines and requirements,
including OMB Circulars A 102 and A -133, E.O. 12372 and the current Administrative Requirements,
Cost Principles, and Audit Requirements.
44. Will comply with all provisions of 2 CFR, including: Part 215 Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit
Organizations (OMB Circular A -110); Part 225 Cost Principles for State, Local and Indian Tribal
Governments (OMB Circular A -87); Part 220 Cost Principles for Educational Institutions (OMB Circular
A -21); Part 230 Cost Principles for Non - Profit Organizations (OMB Circular A -122).
45. Will comply with Subtitle A, Title 11 of the Americans with Disabilities Act (ADA) 1990.
46. Agrees to cooperate with any assessments, national evaluation efforts, or infonnation or data collection
requests, including, but not limited to, the provision of any information required for the assessment or
evaluation of any activities within this agreement.
47. Will comply with Federal Acquisition Regulations (FAR), part 31.2 Contract Cost Principles and
Procedures, Contracts with Commercial Organizations.
48. Will comply with the financial and administrative requirements set forth in the current edition of the DHS
Financial Management Guide.
49. Agrees that all allocations and use of funds under this grant will be in accordance with the FY 2012
Homeland Security Grant Program Funding Opportunity Announcement, and the California Supplement
to the FY 2012 Homeland Security Grant Program Funding Opportunity Announcement. All allocations
and use of funds under this grant will be in accordance with the Allocations, and use of grant funding
most support the goals and objectives included in the State and /or Urban Area Homeland Security
Strategies as well as the investments identified in the Investment Justifications which were submitted as
part of the California FY2012 Homeland Security Grant Program application. Further, use of FYI funds
is limited to those investments included in the California FY 12 Investment Justifications submitted to
DHS /FEMA /Cal EMA and evaluated through the peer review process.
50. Will not make any award or permit any award (subgrant or contract) to any party which is debarred or
suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs
under Executive Order 12549 and 12689, "Debarment and Suspension ". As required by Executive Order
12549, Debarment and Suspension, and implemented at 44 CFR Part 17, for prospective participants in
primary covered transactions, the applicant certifies that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a
denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency.
b. Have not within a three -year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or
Page 7 fnit als ' r
contract under a public transaction; violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements,
or receiving stolen property.
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of
this certification; and have not within a three -year period preceding this application had one or more
public transactions (Federal, State, or local) terminated for cause or default; and
d. where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
51. Will comply with all applicable requirements of all other Federal and State laws, executive orders,
regulations, program and administrative requirements, policies and any other requirements governing this
program.
52. Will comply with the administrative requirements that apply to most DHS award recipients through a
grant or cooperative agreement arise from two sources: - Office of Management and Budget (OMB)
Circular A -102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments (also known as the "A -102 Common Rule "), found under FEMA regulations at
Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments." - OMB Circular A -1 10, Uniform
Administrative Requirements for Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non - Profit Organizations, relocated to 2 CFR Part 215. The requirements for
allowable costs/cost principles are contained in the A -102 Common Rule, OMB Circular A -110 (2 CFR §
215.27), DHS program legislation, Federal awarding agency regulations, and the terms and conditions of
the award. The four costs principles circulars are as follows: - OMB Circular A -21, Cost Principles for
Educational Institutions, relocated to 2 CFR Part 220. - OMB Circular A -87, Cost Principles for State,
Local, and Indian Tribal Governments, relocated to 2 CFR Part 225. - OMB Circular A -122, Cost
Principles for Non - Profit Organizations, relocated to 2 CFR Part 230. — OMB Circular A -133, Audits of
States, Local Governments and Non - Profit Organizations.
53. Will acknowledge, agree, and require any subrecipients, contractors, successors, transferees, and
assignees acknowledge and agree -to comply with applicable provisions governing DHS access to records,
accounts, documents, information, facilities, and staff.
a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS
and /or Cal EMA.
b. Recipients must give DHS /Cal EMA access to and the right to examine and copy records, accounts,
and other documents and sources of information related to the grant and permit access to facilities,
personnel, and other individuals and information as may be necessary, as required by DHS /Cal EMA
regulations and other applicable laws or program guidance.
c. Recipients must submit timely, complete, and accurate reports to the appropriate DHS /Cal EMA
officials and maintain appropriate backup documentation to support the reports.
d. Recipients must comply with all other special reporting, data collection, and evaluation requirements,
as prescribed by law or detailed in program guidance.
e. If, during the past three years, the recipient has been accused of discrimination on the grounds of race,
color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status, the recipient must provide a list of all such proceedings, pending or completed, including
outcome and copies of settlement agreements to the DHS /Cal EMA awarding office and the DHS
Office of Civil Rights and Civil Liberties.
f. In the event any court or administrative agency makes a finding of discrimination on grounds of race,
color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status against the recipient, or the recipient settles a case or matter alleging such discrimination,
Page 8 ]ni ials'
recipients must forward a copy of the complaint and findings to the DHS Component and /or awarding
office. The United States has the right to seek judicial enforcement of these obligations.
54. Agrees that none of the funds provided under an award may be expended by the recipient to pay any
person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with any
Federal action concerning the award or renewal of any Federal contract, grant, loan, cooperative
agreement. These lobbying prohibitions can be found at 31 U.S.C. § 1352.
55. Will comply with requirements to acknowledge Federal funding when issuing statements, press releases,
requests for proposals, bid invitations, and other documents describing projects or programs funded in
whole or in part with Federal funds.
56. Will comply with requirements that publications or other exercise of copyright for any work first
produced under Federal financial assistance awards hereto related unless the work includes any
information that is otherwise controlled by the Government (e.g., classified information or other
information subject to national security or export control laws or regulations). For any scientific,
technical, or other copyright work based on or containing data first produced under this award, including
those works published in academic, technical or professional journals, symposia proceedings, or similar
works, the recipient grants the Government a royalty -free, nonexclusive and irrevocable license to
reproduce, display, distribute copies, perform, disseminate, or prepare derivative works, and to authorize
others to do so, for Government purposes in all such copyrighted works. The recipient shall affix the
applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of Government
sponsorship (including award number) to any work first produced under an award.
57. Will obtain DHS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or
likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or
reproductions of flags or likenesses of Coast Guard officials.
58. Will comply with the requirements that project activities carried on outside the United States are
coordinated as necessary with appropriate government authorities and that appropriate licenses, permits,
or approvals are obtained.
59. Will comply with the requirements of the Preference for U.S. Flag Air Carriers: Travel supported by U.S.
Government funds requirement, which states preference for the use of U.S. flag air carriers (air carriers
holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to
the extent that such service is available, in accordance with the International Air Transportation Fair
Competitive Practices Act of 1974 (49 U.S.C. § 401 18) and the interpretative guidelines issued by the
Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General
Decision B 13 8942.
60. Will comply with the requirements of the Drug -Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.),
which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -
free workplace. The recipient must notify the awarding office if an employee of the recipient is convicted
of violating a criminal drug statute. Failure to comply with these requirements may be cause for
debarment. These regulations are codified at 2 CFR 3001.
61. Will comply with the requirements of the government -wide award term which implements Section 106(g)
of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2
CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register,
Volume 72, No. 218, November 13, 2007.1n accordance with Section 106(g) of the TVPA, as amended,
requires the agency to include a condition that authorizes the agency to terminate the award, without
penalty, if the recipient or a subrecipient engages in severe forms of trafficking in persons during the
Page 9 HEN
period of time that the award is in effect, procures a commercial sex act during the period of time that the
award is in effect; or uses forced labor in the performance of the award or subawards under the award.
Full text of theaward term is provided at 2 CFR § 175.15.
62. Will comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et
seq.), which provides that no person in the United States will, on the grounds of race, color, or national
origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination
under any program or activity receiving Federal financial assistance.
63. Will comply with Title VIII of the Civil Rights Act of 1968, which prohibits recipients from
discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of services in
connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and
sex (42 U.S.C.§ 3601 et seq.), as implemented by the Department of Housing and Urban Development at
24 CFR Part 100. The prohibition on disability discrimination includes the requirement that new
multifamily housing with four or more dwelling units -i.e., the public and common use areas and
individual apartment units (all units in buildings with elevators and ground -floor units in buildings
without elevators) -be designed and constructed with certain accessible features (see 24 CFR § 100.201).
64. Will comply with the requirements of Titles I, 11, and III of the Americans with Disabilities Act, which
prohibits recipients from discriminating on the basis of disability in the operation of public entities, public
and private transportation systems, places of public accommodation, and certain testing entities (42
U.S.C. §§ 12101- 12213).
65. Will comply with the requirements of the Age Discrimination Act of 1975 (42 U.S.C. § 6101 et seq.),
which prohibits discrimination on the basis of age in any program or activity receiving Federal financial
assistance.
66. Will comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681
et seq.), which provides that no person in the United States will, on the basis of sex, be excluded from
participation in, be denied the benefits of, or be subjected to discrimination under any educational
program or activity receiving Federal financial assistance. These regulations are codified at 44 CFR Part
19.
67. Will comply with the requirements of Executive Order 13166, Improving Access to Services for Persons
with Limited English Proficiency, and resulting agency guidance, national origin and resulting agency
guidance, national origin discrimination includes discrimination on the basis of limited English
proficiency (LEP). To ensure compliance with Title VI, recipients must take reasonable steps to ensure
that LEP persons have meaningful access to your programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where necessary. Recipients are
encouraged to consider the need for language services for LEP persons served or encountered both in
developing budgets and in conducting programs and activities. For assistance and information regarding
LEP obligations, go to httl2://www.lep.gov.
68. Will comply with the requirements of 42 U.S.C. § 7401 et seq. and Executive Order 11738, which
provides for the protection and enhancement of the quality of the nation's air resources to promote public
health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of
the nation's waters is considered research for other purposes.
69. Will comply with the requirements of the Federal regulations at 45 CFR Part 46 and the requirements in
DHS Management Directive 026 -04, Protection of Human Subjects, prior to implementing any work with
human subjects. The regulations specify additional protections for research involving human fetuses,
pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of
autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR
Part 46.
Page 10 1 nit als
70. Will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42
U.S.C. § 4331 et seq., which establishes national policy goals and procedures to protect and enhance the
environment, including protection against natural disasters. To comply with NEPA for its grant- supported
activities, DHS requires the environmental aspects of construction grants (and certain non - construction
projects as specified by the Component and awarding office) to be reviewed and evaluated before final
action on the application.
71. Will comply with the requirements of Section 1306(c) of the National Flood Insurance Act, as amended,
which provides for benefit payments under the Standard Flood Insurance Policy for demolition or
relocation of a structure insured under the Act that is located along the shore of a lake or other body of
water and that is certified by an appropriate State or local land use authority to be subject to imminent
collapse or subsidence as a result of erosion or undermining caused by waves or currents of water
exceeding anticipated cyclical levels. These regulations are codified at 44 CFR Part 63.
72. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §
4001 et seq.), which provides that no Federal financial assistance to acquire, modernize, or construct
property may be provided in identified flood -prone communities in the United States, unless the
community participates in the National Flood Insurance Program and flood insurance is purchased within
one year of the identification. The flood insurance purchase requirement applies to both public and private
applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published
in the Federal Register by FEMA.
73. Will comply with the requirements of Executive Order 11990, which provides that federally funded
construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive
Order provides that, in furtherance of Section 101(b)(3) of NEPA (42 U.S.C. § 4331(b)(3)), Federal
agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction
located in wetlands unless the head of the agency finds that there is no practicable alternative to such
construction, and that the proposed action includes all practicable measures to minimize harm to wetlands
that may result from such use. In making this finding, the head of the agency may take into account
economic, environmental, and other pertinent factors. The public disclosure requirement described above
also pertains to early public review of any plans or proposals for new construction in wetlands. This is
codified at 44 CFR Part 9.
74. Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate
Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C.
§§ 175 -175c. Among other things, it prescribes criminal penalties for possession of any biological agent,
toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic,
protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to
specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or
receive any biological agent or toxin that is listed as a select agent,
75. Understands the reporting of subawards and executive compensation rules, including first tier subawards
to Cal EMA.
a. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report
each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as
defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
b. Where and when to report: you must report on each obligating action described in the following
paragraphs to Cal EMA. For subaward information, report no later than the end of the month
following the month in which the obligation was made. (For example, if the obligation was made on
November 7, 2011, the obligation must be reported by no later than December 31, 2011.)
c. What to report: You must report the information about each obligating action that the submission
instructions posted in Information Bulletin 350, to Cal EMA. To determine if the public has access to
Page 11 In tials>
the compensation information, see the U.S. Security and Exchange Commission total compensation
filings at http: / /www.sec.gov /answers /execomp.htm, Subgrantees must report subrecipient executive
total compensation to Cal EMA by the end of the month following the month during which you make
the subaward. Exemptions include: If, in the previous tax year, you had gross income, from all
sources, under $300,000, you are exempt from the requirements to report on subawards, and the total
compensation of the five most highly compensated executives of any subrecipient.
d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each
of your five most highly compensated executives for the preceding completed fiscal year, if
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received 80 percent or more of your annual gross revenues
from Federal procurement contracts (and subcontracts) and Federal financial assistance
subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
$25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at
2 CFR 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act
of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
(To determine if the public has access to the compensation information, see the U.S.
Security and Exchange Commission total compensation filings at
http:// www .sec.goy /onswemlexecornp.htm.)
iv. Subrecipient Executives. Unless you are exempt as provided above, for each first -tier
subrecipient under this award, you shall report the names and total compensation of each of
the subrecipient's five most highly compensated executives for the subrecipient's preceding
completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient
received 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or more in annual
gross revenues from Federal procurement contracts (and subcontracts), and Federal
financial assistance subject to the Transparency Act (and subawards); and the public does
not have access to information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15
U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
76. Understands that failure to comply with any of the above assurances may result in suspension,
termination, or reduction of grant funds.
The undersigned represents that he /she is authorized by the above named applicant to enter into this agreement for
and on behalf of the said applicant.
Signature of Authorized Age t:
Printed Name of Authorized Agent: Dominic Lazzaretto _
Title: City Manager Date: July 29, 2014
Page 12 1 ials
EDMUND G. BROWN JR.
GOVERNOR
Cal EMA
�.k 41 t CALIFORNIA EMERGENCY
MANAGEMENT AGENCY
October 12, 2012
Ms. Carol Kindler
County of Los Angeles
500 W. Temple Drive, Room 754
Los Angeles, CA 90012
SUBJECT: NOTIFICATION OF SUBGRANTEE AWARD APPROVAL
FY 2012 Homeland Security Grant Program (HSGP)
Grant 42012 -SS- 00123; Cal EMA 037 -00000
Subgrantee Performance Period: October 12, 2012 to May 31, 2014
Dear Ms. Kindler:
EXHIBIT E
MARK S. GHTLARDUCCI
SECRETARY
The California Emergency Management Agency (Cal EMA) has approved your FY 12 Homeland Security
Grant Program (HSGP) award in the amount of $7,541,946. Once your completed application is received
and approved, you may request reimbursement of eligible grant expenditures using the Cal EMA Financial
Management Forms Workbook available at www.calema.ca.gov .
During the review process, a Cal EMA representative examined and evaluated your FY 12 HSGP grant
application. As a result of this review, some of your funded projects may have been assigned performance
milestones shorter than the subgrantee performance period, based in part on information provided in your
application and submitted workbook. Performance milestones will be used by Cal EMA to both determine
the appropriate date to disencumber funds awarded under this grant and redirect them to other needs across
the State and as indicators of performance and grant management capacity in fixture competitive grant
applications.
Aethides: Amount Completion Date
Am, PROJECTS $3,700,000 10/31/13
Additionally, Aviation /Watercraft requests, Establish/Enhance Emergency Operations Center (EOC)
projects, projects requiring Environmental and Historic Preservation (EHP) review and Sole Source
Procurement requests will require additional approvals from Cal EMA. Subgrantees must obtain written
approval for these activities rp for to incurring any costs, in order to be reimbursed for any related costs
under this grant. Subgrantees are required to obtain a performance bond for any equipment item over
$250,000, or any vehicle, aviation, or watercraft (regardless of the cost) financed with homeland security
dollars.
Following acceptance of this award, you must enter your grant information into the US Office of Grants
and Training, Grant Reporting Tool (GRT), for the December 2012 Biannual Strategy Implementation
Report (BSIR) period. The GRT can be accessed online at htWs : / /www.reporting.odp.dhs.pov /.
HOMELAND SECURITY, PROFI B AND EMERGIINCY MANAGEMENT BRANCH
3650 SCI- nuuvrR AvE'Nus: - MAt-tIER, CA 95655
MAIN LINE: (916) 845 -8186
Ms. Kindler
October 12, 2012
Page Two
Semi- annual performance reports must be prepared and submitted to Cal EMA via the GRT for the
duration of the grant period or until all activities are completed and the grant is formally closed. Failure
to submit performance reports could result in grant reduction, termination, or suspension.
This grant is subject to all policies and provisions of the Federal Single Audit Act of 1984 and the Single
Audit Act Amendments of 1996. 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 from Cal EMA.
Your dated signature is required on this letter. Please sign and return the original to your Cal EMA
program representative within ten days of receipt, and keep a copy for your files.
For further assistance, please feel free to contact your Cal EMA program representative or the Homeland
Security Grants Section at (916) 845 -8186.
Sincerely,
MARK S. GHILARDUCCI
Secretary.
CCarol Kin er, Authr zed Agent
Los Angeles C oumty %�'��
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EXHIBIT F
Appendix C — Funding Guidelines
Grantees must comply with all the requirements in 44 CFR Part §13 and 2 CFR Part
§215.
In general, grantees should consult with their FEMA Headquarters Program Analyst
prior to making any Investment that does not clearly meet the allowable expense criteria
established by the FOA. Funding guidelines established within this section support the
five mission areas — Prevention, Protection, Mitigation, Response, and Recovery—and
associated core capabilities within the NPG.
Management and Administration (SHSP, UASI, and OPSG)
A maximum of up to five percent (5 %) of HSGP funds awarded may be retained by the
State, and any funds retained are to be used solely for management and administration
purposes associated with the HSGP award. This includes allowability of M &A for
OPSG. States may pass through a portion of the State M &A allocation to local sub -
grantees to support local M &A activities. Sub - grantees may also retain a maximum of
up to five percent (5 %) of funding passed through by the State solely for management
and administration purposes associated with the HSGP award. For additional
information on M &A, refer to Information Bulletin 365 located at
http:llwww. fema. qov/ governmenUgrantlbul letinslindex.shtm #1.
Allowable Investments made in support of the HSGP priorities as well as other
capability- enhancing projects must fall into the categories of planning, organization,
exercises, training, or equipment.
Planning (SHSP, UASI, and OPSG)
FY 2012 SHSP and UASI funds may be used for a range of emergency preparedness
and management planning activities and that support Performance Objectives such as
THIRA and Planning, by placing an emphasis on updating and maintaining a current
EOP that conforms to the guidelines outlined in CPG 101 v.2 as well as development
and maintenance of a THIRA. 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.
Grantees must use the CPG 101: Developing and Maintaining Emergency Operations
Plans in order to develop robust and effective plans. For additional information, please
see http :llwww. fema .govlpdflaboufldivisionslnpd /CPG 101 V2.adf.
Organization (SHSP and UASI Only)
Organizational activities include:
Program management;
Development of whole community partnerships;
41
Appendix C – Funding Guidelines
• Structures and mechanisms for information sharing between the public and
private sector;
• Tools, resources and activities that facilitate shared situational awareness
between the public and private sectors;
• Operational Support;
• As identified in priority one utilization of standardized resource management
concepts such as typing, inventorying, organizing, and tracking to facilitate the
dispatch, deployment, and recovery of resources before, during, and after an
incident;
• Responding to an increase in the threat level under the National Terrorism
Advisory System (NTAS), or needs in resulting from a National Special Security
Event; and
• Paying salaries and benefits for personnel to serve as qualified intelligence
analysts.
States and Urban Areas must justify proposed expenditures of SHSP or UASI funds to
support organization activities within their IJ submission by using historical data or other
analysis. All States are allowed to utilize up to 50 percent (50 %) of their FY 2012 SHSP
funding and all Urban Areas are allowed up to 50 percent (50 %) of their FY 2012 UASI
funding for personnel costs. At the request of a recipient of a grant, the Administrator
may grant a waiver of the 50 percent (50 %) limitation noted above. Organizational
activities under SHSP and UASI include:
Intelligence analysts. Per the Personnel Reimbursement for Intelligence
Cooperation and Enhancement (PRICE) of Homeland Security Act (Public Law
110 -412), 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. In order to be hired as an intelligence
analyst, staff and /or contractor personnel must meet at least one of the following
criteria:
- Successfully 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
As identified in the Maturation and Enhancement of State and Major Urban Area Fusion
Centers priority, all fusion centers analytic 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. These include subject- matter expertise,
analytic methodologies, customer - service ethics, information handling and processing
skills, critical thinking skills, computer literacy, and objectivity and intellectual honesty.
A certificate of completion of such training must be on file with the SAA and must be
42
Appendix C — Funding Guidelines
made available to FEMA Program Analysts upon request. In addition to these training
requirements, fusion centers should also continue to mature their analytic capabilities by
addressing gaps in analytic capability identified during the fusion center's BCA.
Overtime costs. Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities specifically related to
homeland security and specifically requested by a Federal agency. Allowable
costs are limited to overtime associated with federally requested participation in
eligible fusion 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. Grant funding can only be
used in proportion to the Federal man -hour estimate, and only after funding for
these activities from other Federal sources (i.e. FBI JTTF payments to State and
local agencies) has been exhausted. Under no circumstances should DHS grant
funding be used to pay for costs already supported by funding from another
Federal source.
Operational overtime costs. In support of efforts to enhance capabilities for
detecting, deterring, disrupting, and preventing acts of terrorism, operational
overtime costs are allowable for increased security measures at critical
infrastructure sites. FY 2012 SHSP or UASI funds for organizational costs may
be used to support select operational expenses associated with increased
security measures at critical infrastructure sites in the following authorized
categories:
- Backfill and overtime expenses (as defined in this FOA) for staffing State
or Major Urban Area fusion centers;
- Hiring of contracted security for critical infrastructure sites;
- Public safety overtime (as defined in this FOA);
- Title 32 or 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); and
- Increased border security activities in coordination with CBP, as outlined
in Information Bulletin 135.
FY 2012 SHSP funds may only be spent for operational overtime costs upon prior
approval provided in writing by the FEMA Administrator.
Note: 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 and up to a maximum of 50 percent (50 %) of the State share of the
UASI grant). Any UASI funds retained by the State must be used in direct support of
the Urban Area. States must provide documentation to the Urban Area Working Group
43
Appendix C — Funding Guidelines
(UAWG) and FEMA upon request demonstrating how any UASI funds retained by the
State would directly support the Urban Area.
Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, response, and recovery equipment
categories and equipment standards for FY 2012 HSGP are listed on the web -based
version of the Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB), at httl)s: //www.rkb.us. Unless otherwise stated, equipment must meet all
mandatory regulatory and /or DHS- adopted standards to be eligible for purchase using
these funds. In addition, agencies will be responsible for obtaining and maintaining all
necessary certifications and licenses for the requested equipment.
Grantees (including sub - grantees) that are using FY 2012 HSGP funds to support
emergency communications activities should comply with the FY 2012 SAFECOM
Guidance for Emergency Communication Grants, including provisions on technical
standards that ensure and enhance interoperable communications. Emergency
communications activities include the purchase of Interoperable Communications
Equipment and technologies such as voice - over - internet protocol bridging or gateway
devices, or equipment to support the build out of wireless broadband networks in the
700 MHz public safety band under the Federal Communications Commission Waiver
Order. SAFECOM guidance can be found at http://www.safecomprogram.gov.
Grant funds may be used for the procurement of medical countermeasures.
Procurement of medical countermeasures must be conducted in collaboration with
State /city /local health department who administer Federal funds from the Department of
Health and Human Services for this purpose. 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,
grantees must have in place an inventory management plan to avoid large periodic
variations in supplies due to coinciding purchase and expiration dates. Grantees are
encouraged to enter into rotational procurement agreements with vendors and
distributorS. Purchases of pharmaceuticals must include a budget for the disposal of
expired drugs within the period of performance of the FY 2012 HSGP. The cost of
disposal cannot be carried over to another FEMA grant or grant period.
Training (SHSP and UASI)
States, territories, and Urban Areas may use HSGP funds to develop a homeland
security training program. Allowable training- related costs under HSGP include the
establishment, support, conduct, and attendance of training specifically identified under
the SHSP and UASI programs and /or in conjunction with emergency preparedness
training by other Federal agencies (e.g., HHS, Department of Transportation). Training
conducted using HSGP funds should address a performance gap identified through an
After Action Report/Improvement Plan (AAR /IP) or contribute to building a capability that
will be evaluated through an 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, including those for children and individuals
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Appendix C — Funding Guidelines
with disabilities or access and functional needs, should be identified in the AAR /IP and
addressed in the State or Urban Area training cycle. All training and exercises
conducted with HSGP funds should support the development and testing of the
jurisdiction's EOP or specific annexes, and validation of completed corrective actions
from previous exercises or real world events, where applicable.
Exercises (SHSP and UASI)
Exercises conducted with FEMA support should be managed and executed in
accordance with the Homeland Security Exercise and Evaluation Program ( HSEEP).
HSEEP Guidance for exercise design, development, conduct, evaluation, and
improvement planning is located at https :llhseeo.dhs.pov.
All exercises using HSGP funding must be NIMS compliant. More information is
available online at the National Integration Center at
http : / /www. fema. govlemergency 1nims1index. shtm.
All States and Urban Areas are required to conduct a Training and Exercise Planning
Workshop (TEPW) and develop a Multi -Year Training and Exercise Plan (TEP) on an
annual basis. Such plans should take into consideration anticipated training and
exercise needs of the respective jurisdiction for at least the immediate year, with
exercises being targeted to provide responders the opportunity to utilize training
received. Such plan should also include a training and exercise schedule and States'
and Urban Areas' priority capabilities to focus the allocation of exercise resources. This
Plan is to be submitted to the State's respective Exercise Program point of contact. The
State Exercise Program point of contact should submit a copy of the Plan to
hseep(d_)dhs.gov. All scheduled training and exercises included in the Plan should be
entered in the HSEEP National Exercise Schedule (NEXS) System, located in the
HSEEP Toolkit on the HSEEP website. A TEPW user guide and a template of the
Multi -Year Training and Exercise Plan can be found on the HSEEP website at
https:Ilhseep.dhs.gov. States and Urban Areas are also encouraged to participate in
their respective FEMA Regional Training and Exercise Workshop (conducted annually)
and coordinate /integrate State and Urban Area exercise initiatives accordingly. Where
applicable, the Training and Exercise Plans should include training and exercises that
support specialized programs, such as the Regional Catastrophic Preparedness Grant
Program.
Grantees must develop AAR /IPs following the completion of exercises funded under this
program; the use of HSEEP is strongly encouraged. AAR /IPs are to be submitted to
hseep(a)dhs.gov. Please ensure the documents are encrypted (password - protected)
and the password is also sent to hseep(a-)_dhs.gov via a separate email.
Maintenance and Sustainment (SHSP, UASI, and OPSG)
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.
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Appendix C — Funding Guidelines
FY 2012 grant funds are intended to support the NPG by funding 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 grantees the ability to meet this objective, the policy
set forth in GPD's Information Bulletin 336 (Maintenance and Sustainment) has been
expanded to allow for the support of equipment that has previously been purchased with
both Federal grant and non - Federal grant funding. Grantees need to ensure that
eligible costs for maintenance and sustainment be an allowable expenditure under
applicable grant programs and support one of the core capabilities in the five mission
areas contained within the NPG and be deployable through EMAC, where applicable.
Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI Only)
The following activities are eligible for use of LETPA focused funds;
• Maturation and enhancement of recognized State and major Urban Area fusion
centers, including information sharing and analysis, target hardening, threat
recognition, and terrorist interdiction, and training/ hiring of intelligence analysts;
• Implementation and maintenance of the Nationwide SAR Initiative (NSI),
including training for front line personnel on identifying and reporting suspicious
activities;
• Implementation of the "If You See Something, Say Something TM" campaign to
raise public awareness of indicators of terrorism and violent crime and
associated efforts to increase the sharing of information with public and private
sector partners, including nonprofit organizations;
• Training for countering violent extremism; development, implementation, and /or
expansion of programs to engage communities that may be targeted by violent
extremist radicalization; and the development and implementation of projects to
partner with local communities to prevent radicalization to violence, in
accordance with the Strategic Implementation Plan (SIP) to the National Strategy
on Empowering Local Partners to Prevent Violent Extremism in the United
States; and
• Increase physical security, via law enforcement personnel and other protective
measures by implementing preventive and protective measures related to at -risk
nonprofit organizations.
For additional information, refer to the Building Law Enforcement Terrorism Prevention
Capabilities priority within Appendix B — FY 2012 HSGP Program Specific Priorities,
Critical Emergency Supplies (SHSP and UASI Only)
In furtherance of DHS's mission, critical emergency supplies, such as shelf stable food
products, water, and basic medical supplies are an allowable expense under SHSP and
UASI. Prior to allocating grant funding for stockpiling purposes, each State must have
FEMA's approval of a viable inventory management plan, an effective distribution
strategy, sustainment costs for such an effort, and logistics expertise to avoid situations
where funds are wasted because supplies are rendered ineffective due to lack of
planning.
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Appendix C — Funding Guidelines
The inventory management plan and distribution strategy, to include sustainment costs,
will be developed and monitored by FEMA GPD with the assistance of the FEMA
Logistics Management Directorate (LIVID). GPD will coordinate with LIVID and the
respective FEMA Region to provide program oversight and technical assistance as it
relates to the purchase of critical emergency supplies under UASI. GPD and LIVID will
establish guidelines and requirements for the purchase of these supplies under UASI
and monitor development and status of the State's inventory management plan and
distribution strategy.
The States (through their Emergency Management Office) are strongly encouraged to
consult with their respective FEMA Regional Logistics Chief regarding disaster logistics -
related issues. The States are further encouraged to share their FEMA approved plans
with local jurisdictions and tribes to meet minimum inventory management plan
requirements when using FEMA grant funds.
Construction and Renovation (SHSP and UASI Only)
Project construction using SHSP and UASI funds may not exceed the greater of
$1,000,000 or 15% of the grant award. For the purposes of the limitations on funding
levels, communications towers are not considered construction.
Written approval must be provided by FEMA prior to the use of any HSGP funds for
construction or renovation. When applying for construction funds, including
communications towers, at the time of application, grantees are highly encouraged to
submit evidence of approved zoning ordinances, architectural plans, any other locally
required planning permits and documents, and to have completed as many steps as
possible for a successful EHP review in support of their proposal for funding (e.g.,
completing the FCC's Section 106 review process for tower construction projects;
coordination with their State Historic Preservation Office to identify potential historic
preservation issues and to discuss the potential for project effects). Projects for which
the grantee believes an Environmental Assessment (EA) may be needed, as defined in
44 CFR 10.8 and 10.9, must also be identified to the FEMA Program Analyst within six
(6) months of the award and completed EHP review packets must be submitted no later
than 12 months before the end of the Period of Performance. EHP review packets
should be sent to gpdehpinfo(a)_fema.gov.
FEMA is legally required to consider the potential impacts of all HSGP projects on
environmental resources and historic properties. Grantees must comply with all
applicable environmental planning and historic preservation (EHP) laws, regulations,
and Executive Orders (EOs) in order to draw down their FY 2012 HSGP grant funds. To
avoid unnecessary delays in starting a project, grantees are encouraged to pay close
attention to the reporting requirements for an EHP review. For more information on
FEMA's EHP requirements, SAAs should refer to Information Bulletins 329 and 345
(http://www.fema.gov /government granUbulletins /index.shtm).
FY 2012 HSGP Program grantees using funds for construction projects must comply
with the Davis -Bacon Act (40 U.S.C. 3141 et seq.). Grant recipients must ensure that
47
Appendix C — Funding Guidelines
their contractors or subcontractors for construction projects pay workers employed
directly at the work -site no less than the prevailing wages and fringe benefits paid on
projects of a similar character. Additional information, including Department of Labor
wage determinations, is available from the following website:
http://www.dol.gov /compliance /laws /comp -dbra htm.
OPSG funds may not be used for any type of construction.
Personnel (SHSP and UASI)
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order
to perform allowable FY 2012 HSGP planning, training, exercise, and equipment
activities. A personnel cost cap of up to 50 percent (50 %) of total SHSP and UASI
program funds may be used for personnel and personnel - related activities as directed
by the Personnel Reimbursement for Intelligence Cooperation and Enhancement
(PRICE) of Homeland Security Act (Public Law 110 -412). Grantees who wish to seek a
waiver from the personnel cost cap must provide documentation explaining why the cap
should be waived; waiver requests will be considered only under extreme
circumstances. In general, the use of SHSP and UASI funding to pay for staff and /or
contractor regular time or overtime /backfill is considered a personnel cost.
For further details, SAAs should refer to Information Bulletin 358 or contact their FEMA
Headquarters Program Analyst.
FY 2012 HSGP funds may not be used to support the hiring of any personnel for the
purposes of fulfilling traditional public health and safety duties or to supplant traditional
public health and safety positions and responsibilities.
Definitions for hiring, overtime, backfill- related overtime, and supplanting remain
unchanged from FY 2011 HSGP.
Operational Packages (SHSP and UASI)
Applicants may elect to pursue operational package (OPack) funding, such as Canine
Teams, Mobile Explosive Screening Teams, and Anti Terrorism Teams, for new
capabilities as well as sustain existing OPacks. Applicants must commit to minimum
training standards to be set by the Department for all federally funded security positions.
Applicants must also ensure that the capabilities are able to be deployable, through
EMAC, outside of their community to support regional and national efforts. When
requesting OPacks- related projects, applicants must demonstrate the need for
developing a new capability at the expense of sustaining existing core capability.
Applicants are reminded that personnel - related activities associated with OPacks will be
subject to the PRICE Act requirements in which all States are allowed to utilize up to 50
percent (50 %) of their FY 2012 SHSP funding and all Urban Areas are allowed up to 50
percent (50 %) of their FY 2012 UASI funding for personnel costs.
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Appendix C — Funding Guidelines
Western Hemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the
implementation activities associated with the Western Hemisphere Travel Initiative
(WHTI), including the issuance of WHTI- compliant tribal identification cards. More
information on the WHTI may be found at
http: //www.dhs.govlfileslproprams /gc 1200693579776.shtm or
http:llwww. getyouhome. govlhtmilen- map. html.
Other Secure Identification Initiatives (SHSP)
SHSP funds may also be used to support the Department's additional efforts to
enhance secure identification. Activities that facilitate secure identification, including IT
enhancements for identification management and verification systems are a priority.
DHS is currently developing and implementing a number of screening programs in
which secure identification credentials figure prominently. These include the
Transportation Worker Identification Credential (TWIC) program which promotes
tamper- resistant biometric credentials for workers who require unescorted access to
secure areas of ports, vessels, outer continental shelf facilities, and all credentialed
merchant mariners; and the credentialing of first responders which entails enhancing
real -time electronic authentication of identity and attribute(s) (qualification, certification,
authorization, and /or privilege) of emergency response /critical government personnel
responding to terrorist attacks or other catastrophic events.
States are encouraged to continue implementing activities previously funded through
DLSGP that focus on securing driver's license and identification card issuance
processes. Initiatives related to securing identification should:
• Have the greatest impact upon reducing the issuance and use of fraudulent
driver's license and identification cards;
• Reduce the cost of program implementation for individuals, States, and the
Federal government;
Expedite State progress toward meeting minimum security standards; and
• Plan and expedite State- specific activities to support Federal data and document
verification requirements and standards.
Operations (OPSG)
The intent of OPSG is to focus on operational aspects of enhancing coordination
between Federal, State, local, tribal, and territorial law enforcement agencies to
increase the security of the United States Borders. While equipment is an allowable
expense, the FY 2012 OPSG is not intended to be an equipment- centric grant.
Operational Overtime. Operational overtime costs associated with law
enforcement activities, in support of border law enforcement agencies for
increased border security enhancement. Per the PRICE of Homeland Security
Act (Public Law 110 -412), all grantees are allowed to utilize up to 50 percent
(50 %) of their FY 2012 OPSG funding for personnel related costs, which include
overtime activities. At the request of a grant recipient, the FEMA Administrator
49
Appendix C — Funding Guidelines
may waive the 50 percent (50 %) personnel cap. Waiver decisions are at the
discretion of the FEMA Administrator and will be considered on a case -by -case
basis. A formal FY 2012 OPSG personnel waiver request should:
- Be requested on official letterhead, include a written justification, and be
signed by the authorized representative of the SAA;
- Include a budget and method of calculation of personnel costs both in
percentage of the grant award and in total dollar amount. To avoid
supplanting issues, the request must also include a three -year staffing
history for the requesting entity;
- Include an approved Operations Order from the CBP /BP Sector office
which supports the SAA's written justification;
- Be coordinated with the CBP Sector and Office of the Border Patrol; and
- Be forwarded electronically by the SAA to FEMA GPD Program Analyst.
• Part Time Personnel. FY 2012 OPSG funds may be used to pay additional
current part time law enforcement personnel salaries in order to bring them to
temporary full time status.
• Travel, Per Diem, and Lodging. Travel and per diem include 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, costs to support up to six (6) month
deployment of law enforcement personnel to critical Southwest Border locations
to support operational activities (travel costs must be in accordance with
applicable travel regulations).
• Vehicle and Equipment Rentals
• Vehicle /Equipment Maintenance
• Fuel Cost and /or Mileage Reimbursement. There is no cap for reimbursement of
operational activities.
• Activate Reserve State, local, tribal, and territorial law enforcement personnel.
Supporting a request to the Governor to activate, deploy, or redeploy specialized
National Guard Units /Package and /or elements of State law enforcement to
increase or augment specialized /technical law enforcement elements operational
activities.
• Backfill. Costs associated with backfill for personnel supporting operational
activities.
• Law Enforcement Readiness. Use of FY 2012 OPSG funds may be used to
increase operational, material, and technological readiness of State, local, tribal,
and territorial law enforcement agencies.
Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with staffing and general IT
computing equipment and hardware, such as personal computers, faxes, copy
machines, modems, etc. The FY 2012 OPSG is not intended as a hiring program.
Therefore, applying funds toward hiring full -time or permanent sworn public safety
officers is unallowable. FY 2012 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.
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Appendix C — Funding Guidelines
Finally, construction and /or renovation costs are prohibited under OPSG. Applicants
should refer to Information Bulletin 358
(htt,o //www fema gov/ government /grant/bulletins�ndex.shtm) or contact their FEMA
Headquarters Program Analyst at (800) 368 -6498 for guidance and clarification.
Examples of Allowable Activities for SHSP and UASI
Planning Activities
Examples of planning activities include:
Developing hazard /threat- specific annexes that incorporate the range of
prevention, protection, mitigation, response, and recovery activities
Developing and implementing homeland security support programs and adopting
DHS national initiatives including but not limited to the following:
- Implementing the NPG and the Whole Community Approach to Security
and Emergency Management
- Pre -event recovery planning
- Implementing the National Infrastructure Protection Plan (NIPP) and
associated Sector Specific Plans
- Enhancing and implementing Statewide Communication Interoperable
Plan (SCIP) and Tactical Interoperable Communications Plans (TICP) that
align with the goals, objectives, and initiatives of the National Emergency
Communications Plan (NECP)
- Costs associated with the adoption, implementation, and adherence to
NIMS compliance requirements, including implementing the NIMS
National Credentialing Framework
- Modifying existing incident management and EOPs to ensure proper
alignment with the National Response Framework (NRF) coordinating
structures, processes, and protocols
- Establishing or enhancing mutual aid agreements
- Developing communications and interoperability protocols and solutions
- Conducting local, regional, and tribal program implementation meetings
- Developing or updating resource inventory assets in accordance to typed
resource definitions issued by the NIC
- Designing State and local geospatial data systems
- Developing and conducting public education and outreach campaigns,
including promoting individual, family, and organizational emergency
preparedness; alerts and warnings education; promoting training,
exercise, and volunteer opportunities; informing the public about
emergency plans, evacuation routes, shelter locations; and evacuation
plans as well as CBRNE prevention awareness
- Designing programs to address targeting at -risk populations and engaging
them in emergency management planning efforts
- Activities, materials, services, tools and equipment to achieve planning,
protection, mitigation, response and recovery that is inclusive of people
with disabilities (physical, programmatic and communications access for
51
Appendix C — Funding Guidelines
people with physical, sensory, mental health, intellectual and cognitive
disabilities)
Preparing materials for State Preparedness Reports (SPRs)
WHTI implementation activities including the issuance of WHTI - compliant
tribal identification cards
Developing related terrorism prevention activities including:
- Developing THIRA that reflects a representative make up and composition
of the jurisdiction
- Developing initiatives that directly support local efforts to understand,
recognize, prepare for, prevent, mitigate, and respond to pre - operational
activity and other crimes that are precursors or indicators of terrorist
activity, in accordance with civil rights /civil liberties protections
- Developing law enforcement prevention activities, to include establishing
and /or enhancing a fusion center
- Hiring an IT specialist to plan, develop, and implement the IT applications
necessary for a fusion center
- Developing and planning for information /intelligence sharing groups
- Integrating and coordinating the fire service, emergency management,
public health care, public safety, and health security data - gathering
(threats to human and animal health) within State and Major Urban Area
fusion centers to achieve early warning, monitoring, and mitigation of
threats
- Integrating and coordinating private sector participation with fusion center
activities
- Developing and implementing preventive radiological /nuclear detection
activities
- Acquiring systems allowing connectivity to State, local, tribal, territorial,
and Federal data networks, such as the National Crime Information Center
(NCIC) and Integrated Automated Fingerprint Identification System
(IAFIS), as appropriate
- Planning to enhance security during heightened alerts, terrorist incidents,
and /or during mitigation and recovery
- Multi- discipline preparation across first responder community, including
EMS for response to catastrophic events and acts of terrorism
- Accessible public information /education: printed and electronic materials,
public service announcements, seminars /town hall meetings, and web
postings coordinated through local Citizen Corps Councils or their
equivalent
- Volunteer programs and other activities to strengthen citizen participation
- Conducting public education campaigns including promoting suspicious
activity reporting and preparedness; individual, family, and organizational
emergency preparedness; promoting the Ready campaign; and /or
creating State, regional, or local emergency preparedness efforts that
build upon the Ready campaign
- Evaluating Critical Infrastructure Protection (CIP) security equipment
and /or personnel requirements to protect and secure sites
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Appendix C — Funding Guidelines
- CIP cost assessments, including resources (e.g., financial, personnel)
required for security enhancements /deployments
- Multi- Jurisdiction Bombing Prevention Plans (MJBPP)
- Underwater Terrorist Protection Plans
Developing and enhancing plans and protocols, including but not limited to:
Community-based planning to advance "whole community" security and
emergency management
Incorporating government/non- governmental collaboration, citizen
preparedness, and volunteer participation into State and local government
homeland security strategies, policies, guidance, plans, and evaluations
- Developing, enhancing, maintaining a current EOP that conforms to the
guidelines outlined in the CPG 101 v.2
- Developing or enhancing local, regional, or Statewide strategic or tactical
interoperable emergency communications plans
- Activities associated with a conversion from wideband to narrowband
voice channels to support interoperability
- Implementing SCIP and TICPs that align with the goals, objectives, and
initiatives of the NECP
- Developing protocols or standard operating procedures for specialized
teams to incorporate the use of equipment acquired through this grant
program
- Developing terrorism prevention /protection plans
- Developing plans, procedures, and requirements for the management of
infrastructure and resources related to HSGP and implementation of State
or Urban Area Homeland Security Strategies
- Developing plans for mass evacuation and pre - positioning equipment
- Developing or enhancing plans for responding to mass casualty incidents
caused by any hazards
- Developing or enhancing applicable procedures and operational guides to
implement the response actions within the local plan including patient
tracking that addresses identifying and tracking children, access and
functional needs population, and the elderly and keeping families intact
where possible
- Developing or enhancing border security plans
- Developing or enhancing cyber security and risk mitigation plans
- Developing or enhancing secondary health screening protocols at major
points of entry (e.g., air, rail, port)
- Developing or enhancing agriculture /food security risk mitigation,
response, and recovery plans
- Developing public /private sector partnership emergency response,
assessment, and resource sharing plans
- Developing or enhancing plans to engage and interface with, and to
increase the capacity of, private sector /non- governmental entities working
to meet the human service response and recovery needs of survivors
- Developing or updating local or regional communications plans
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Appendix C — Funding Guidelines
- Developing plans to support and assist jurisdictions, such as port
authorities and rail and mass transit agencies
- Developing or enhancing continuity of operations and continuity of
government plans
- Developing or enhancing existing catastrophic incident response and
recovery plans to include and integrate Federal assets provided under the
NRF
- Developing plans and response procedures for adjudicating, validating
and responding to an alarm from a chemical or biological detector
(response procedures should include emergency response procedures
integrating local first responders)
- Developing or enhancing evacuation plans
- Developing mechanisms for utilizing the National Emergency Family
Registry and Locator System (NEFRLS)
- Developing or enhancing plans to prepare for surge capacity of volunteers
- Developing or enhancing the State emergency medical services systems
- Developing or enhancing plans for donations and volunteer management
and the engagement/integration of private sector /non - governmental
entities in preparedness, mitigation, response, and recovery activities
- Developing or enhancing Bombing Prevention Plans
- Developing school preparedness plans
- Developing preparedness plans for child congregate care facilities,
including group residential facilities, juvenile detention facilities, and
public /private child care facilities
- Developing plans to educate youth on disaster preparedness
- Ensuring jurisdiction EOPs adequately address warnings, emergency
public information, evacuation, sheltering, mass care, resource
management from non - governmental sources, unaffiliated volunteer and
donations management, and volunteer resource integration to support
each Emergency Support Function, to include appropriate considerations
for integrating activities, materials, services, tools and equipment to
achieve planning inclusive of people with disabilities (physical,
programmatic and communications access for people with physical,
sensory, mental health, intellectual and cognitive disabilities). Developing
and implementing civil rights, civil liberties, and privacy policies,
procedures, and protocols
- Designing and developing State, local, tribal, and territorial geospatial data
systems
- Developing and implementing statewide electronic patient care reporting
systems compliant with the National Emergency Medical Services
Information System (NEMSIS)
- Costs associated with inclusive practices and the provision of reasonable
accommodations and modifications to provide full access for children and
adults with disabilities
Developing or conducting assessments, including but not limited to:
- Developing pre -event recovery plans
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Appendix C — Funding Guidelines
- Conducting point vulnerability assessments at critical infrastructure
sites /key assets and develop remediation /security plans
- Conducting or updating interoperable emergency communications
capabilities assessments at the local, regional, or Statewide level
- Developing border security operations plans in coordination with CBP
- Developing, implementing, and reviewing Area Maritime Security Plans for
ports, waterways, and coastal areas
- Updating and refining threat matrices
- Conducting cyber risk and vulnerability assessments
- Conducting assessments and exercising existing catastrophic incident
response and recovery plans and capabilities to identify critical gaps that
cannot be met by existing local, regional, and State resources
- Conducting Bombing Prevention Capability Analysis
- Activities that directly support the identification of specific catastrophic
incident priority response and recovery projected needs across disciplines
(e.g., law enforcement, fire, EMS, public health, behavioral health, public
works, agriculture, information technology, and citizen preparedness)
- Activities that directly support the identification of pre- designated
temporary housing sites
- Activities that support the identification and development of alternate care
sites
- Conducting community assessments, surveys, and research of
vulnerabilities and resource needs to determine how to meet needs and
build effective and tailored strategies for educating individuals conducting
assessments of the extent to which compliance with the integration
mandate of disability laws is being achieved
- Soft target security planning (e.g., public gatherings)
• Identifying resources for medical supplies necessary to support children during
an emergency, including pharmaceuticals and pediatric -sized equipment on
which first responders and medical providers are trained
• Ensuring subject matter experts, durable medical equipment, consumable
medical supplies and other resources required to assist children and adults with
disabilities to maintain health, safety and usual levels of independence in general
population environments
• Developing and implementing a community preparedness strategy for the
State /local jurisdiction
• Establishing, expanding, and maintaining volunteer programs and volunteer
recruitment efforts that support disaster preparedness and /or response
- Citizen support for emergency responders is critical through year -round
volunteer programs and as surge capacity in disaster response, including
but not limited to: Citizen Corps Affiliate Programs and Organizations,
Community Emergency Response Teams (CERT), Fire Corps, Medical
Reserve Corps (MRC), Neighborhood Watch /USAonWatch, Volunteers in
Police Service (VIPS), and jurisdiction specific volunteer efforts
• Establishing and sustaining Citizen Corps Councils or their equivalent
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Appendix C — Funding Guidelines
• Working with youth - serving organizations to develop and sustain a youth
preparedness program
Organization Activities
The following organization activities in support of public - private partnerships are
allowable expenses.
Program management:
- Salary for a dedicated liaison who acts as the primary point of contact,
coordinates the public - private partnership and ensures proper
implementation of the strategic plan
- Facilities, including meeting space and work space for private sector
liaisons. Grantees are encouraged to use free space /locations /facilities,
whenever possible, prior to the rental of space /locations /facilities
- Supplies needed to support regular communications
Utilization of standardized resource management concepts such as typing,
inventorying, organizing, and tracking to facilitate the dispatch, deployment, and
recovery of resources before, during, and after an incident
Sustain partnership efforts to include:
- Support for in- person meetings, events, and conferences that bring the
public and private sectors together. Grantees are encouraged to use free
space /locations /facilities, whenever possible, prior to the rental of
space /locations /facilities
- Web -based and social media tactics (webinars, emails, newsletters, alerts,
databases, online collaboration tools, website development and
maintenance, etc)
- Innovative approaches for reaching the Whole Community to include
translated material for individuals that are blind and or have low vision
capability and those with English as a second language and coalitions
among citizens.
- Leverage already existing structures and mechanisms, such as Citizen
Corps, for sharing information and engaging members of the Whole
Community to include: for - profit and not - for - profit entities, faith based and
community organizations, youth- serving and youth advocates, those that
support socio- economic and diverse cultures
Structures and mechanisms for information sharing between the public and
private sector:
- Tools, software, programs, and other mechanisms that support two -way
information sharing during normal and emergency operations
- Means to receive input or feedback from the private sector, and
encourage participation from civic leaders from all sectors
- Regular and timely communications on subjects relating to all phases of
emergency management, such as newsletters, emails, and alerts
Tools, resources and activities that facilitate shared situational awareness
between the public and private sectors
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Appendix C — Funding Guidelines
Web -based and new media platforms that allow real -time information
exchange
Asset mapping, such as participation in FEMA's Total Asset Visibility and
LogViz initiatives
A seat(s) in the emergency operation center, or virtual EOC
Operational Support:
- Tools for identifying and tracking available paid and unpaid disaster
response resources
- Dedicated space and equipment for private sector representation within a
State, county, or city emergency operation center
- A dedicated business emergency operations center that works with the
State, county or city EOC (not construction)
- Tools for real time information sharing between the public and private
sector
- Licensing, screening, or other requirements for access to real EOC or
virtual EOC
Training Information
Training Information Reporting System ( "Web- Forms "). Web -Forms is an electronic
form /data management system built to assist the SAA and its designated State /territory
Training Point of Contact (TPOC) with the reporting of State and Federal sponsored
training supported by HSGP funds. Web -Forms can be accessed through the FEMA
Toolkit located at http:// www. t< rstrespondertraining.gov/admin.
FEMA resources include a number of different training sources:
FEMA Provided Training. These programs or courses are 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 the National Training and Education Division (NTED) training partner
programs including, the Competitive and Continuing Training Grant programs,
the National Domestic Preparedness Consortium (NDPC) and the Rural
Domestic Preparedness Consortium (RDPC).
Training Not Provided by FEMA. These courses are either State sponsored or
Federal sponsored, coordinated and approved by the SAA or their designated
TPOC, and fall within the FEMA mission scope to prepare State, local, tribal, and
territorial 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.
Approved State Sponsored Course Catalog. This catalog lists State /territory
sponsored courses that fall within the FEMA mission scope and have been
approved through the FEMA course review and approval process. An updated
version of this catalog can be accessed at ht p:// www.firstrespondertraining.,qov.
57
Appendix C — Funding Guidelines
• Federal Sponsored Courses. This catalog lists courses developed for and /or
delivered by institutions funded by Federal entities other than FEMA. These
courses are listed at http:/ /www.firstresoondertraining.gov.
• Approved Federal Sponsored Course Catalog. This catalog lists Federal -
sponsored courses that fall within the FEMA mission scope, and have been
approved through the FEMA course review and approval process. An updated
version of this catalog can be accessed at htt�o:// www.firstrespondertraining.aov.
• Additionally the new National Preparedness Directorate (NPD) Online Course
Catalog (OCC) allows access to courses delivered by the CDP, EMI, and NTED.
It can be accessed at http://traininq.fema.govloccl.
• 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.
• FEMA Provided Training. FEMA funds the direct delivery of a variety of courses
that States, tribes, and territories can request to meet training needs. These
courses are listed in the NTED approved course catalog listed at
http:l /training.fema.goy /.
Each FEMA training partner should contact the SAA or designated TPOC for locations
within the State that are appropriate for the training. When the direct delivery funds are
exhausted, the training partner can continue to offer the classes to the States through
one of two methods —the Voluntary Training Enhancement Program (VTEP) or the
Excess Delivery Acquisition Program (EDAP).
VTEP is a voluntary program designed to increase flexibility for States and territories
while enhancing NTE's training delivery capability and complementing the current
training partner pool. Funding from previous fiscal years may be used to support a
State, territory, or Urban Area's implementation of this program. Through VTEP, the
SAA has the authority to adopt various NTED provided programs for delivery by
institutions within its State and local jurisdictions, and designate institutions as
recognized providers for the identified standardized curriculum.
EDAP allows NTED training partner to charge for a course delivery when the Federal
grant that developed the program is completed or more deliveries of a requested class
are needed than the grant funds can accommodate. The cost per class is approved by
FEMA so that States pay for the cost of instruction only, not the curriculum development
costs that were paid by FEMA training grant funds. HSGP funds can be used to pay for
the delivery of these classes within a State at the request of the SAA/TPOC.
Attending Training Not Provided by FEMA (State or Federal Sponsored Courses).
States, territories, and Urban Areas are not required to request approval from FEMA for
personnel to attend training not provided by FEMA (State or Federal- sponsored
courses) provided that the training is coordinated with and approved by the SAA or
TPOC and falls within the FEMA mission scope and the jurisdiction's EOP and strategy
of preparing State, local, tribal, and territorial personnel or citizens to prevent, protect
against, mitigate, respond to, and recover from acts of terrorism or catastrophic events.
58
Appendix C — Funding Guidelines
States, territories, and Urban Areas are required, within 30 days after attendance, to
submit information through the SAA or TPOC via Web -Forms on all training not
provided by FEMA, but supported with HSGP funds. This information will consist of
course title, course description, mission area, level of training, the training provider, the
date of the course, the number and associated disciplines of the individuals, and the
sponsoring jurisdiction. States, territories, and Urban Areas intending to use FEMA
funds to support attendance at training not provided by FEMA must ensure these
courses:
• Fall within the FEMA mission scope to prepare State, local, tribal, and territorial
personnel to prevent, protect against, mitigate, respond to, and recover from acts
of terrorism and catastrophic events;
• Build additional capabilities that: (a) support a specific training need identified by
the State, territory, and Urban Area, and (b) comport with the State, territory, or
Urban Area Homeland Security Strategy;
• Address specific tasks and /or competencies articulated in FEMA's Emergency
Responder Guidelines and the Homeland Security Guidelines for Prevention and
Deterrence;
• Address specific capabilities and related tasks articulated in PPD -8; and
• Support the specific program training activities identified in the individual HSGP
grant programs (SHSP, UASI, and OPSG) for which the funding will be used.
FEMA will conduct periodic reviews of all State, territory, and Urban Area training
funded by FEMA. These reviews may include requests for all course materials and
physical observation of, or participation in, the funded training. If these reviews
determine that courses are outside the scope of this guidance, grantees will be asked to
repay grant funds expended in support of those efforts.
State and Federal- Sponsored Course Catalogs. Courses approved through NTED
will be added to either the approved State Sponsored Course Catalog or the Federal
Sponsored Course Catalog. Courses identified within these catalogs may be attended
on an unlimited basis within any State /territory as long as the training is coordinated and
approved by the SAA/TPOC. A full description of the NTED Course Development,
Review, and Approval Process, as well as the approved course catalogs, can be found
at http:// www .firstrespondertraining.gov/odp webforms. NTED will respond to the initial
request for review within 15 days with one of the following outcomes:
• Course concept is approved as consistent with the State plan and the State
should submit the full course package for subject matter expert review and
comment or
• Course concept is disapproved as inconsistent with State plan, FEMA guidance,
or is exactly the same as another course in the catalog (no need for another
approval, refer to the curriculum already developed and approved).
59
Appendix C — Funding Guidelines
At any time, the SAA/TPOC (for State - sponsored courses) or the Federal Agency POC
(for Federal sponsored courses) may request the addition of a course to the
corresponding approved catalog by submitting the associated Web -Form (i.e., Request
for Addition to the Approved State - Sponsored Catalog) for review. If a class on the
same subject is already in the catalog, the submitting State should provide
documentation as to why the course is unique, after contacting the owner(s) of the other
courses to review the curriculum. This step is required to avoid unnecessary duplication
of similar courses in the catalog, allow States to share course development costs,
permit all States to have access to new or unique courses developed by other
providers, and allow States to direct their training dollars to delivery rather than
development. If it is determined that the proposed course meets the above listed
criteria, the providing entity (SAA/TPOC or Federal Agency POC) will be invited to
submit the Course Review and Approval Request Form along with all supporting
training materials.
For further information on developing courses using the instructional design
methodology and tools that can facilitate the process, SAAs and TPOCs are
encouraged to review the NTED Strategy for Blended Learning and access the
Responder Training Development Center (RTDC) available at
htt,o://www. firstrespondertrainin.g. aov/rtdc /state/.
FEMA funds must be used to supplement, not supplant, existing funds that have been
appropriated for the same purpose.
States and territories are required to conduct an Improvement Plan Workshop and
Training and Exercise Plan Workshop to identify best practices, capability gaps, key
priorities, and major events over a multi -year time frame and to align training and
exercises in support of those priorities. A Multi -year Training and Exercise Plan will be
produced from the Training and Exercise Plan Workshop to include the State's training
and exercise priorities, associated training and exercise capabilities, and a multi -year
training and exercise schedule. Further guidance concerning the Multi -year Training
and Exercise Plan can be found in the Exercises section.
Joint Training and Exercises with the Public and Private Sectors. Trainings and
exercises designed to enhance private sector and public sector coordination are
allowable. Overtime pay for first responders and emergency managers who participate
in public - private training and exercises is allowable. In addition, States, territories,
tribes, and local units of government are encouraged to incorporate the private sector in
government- sponsored training and exercises.
Training and exercises for the public or civilian volunteer programs supporting first
responders before, during and after disasters should address the needs of the Whole
Community. Allowable training includes: all- hazards safety such as emergency
preparedness, basic first aid, life saving skills, crime prevention and terrorism
awareness, school preparedness, youth preparedness, public health issues,
mitigation /property damage prevention, safety in the home, light search and rescue
skills, principles of NIMS /ICS, volunteer management, serving and integrating people
60
Appendix C — Funding Guidelines
with disabilities, pet care preparedness, training necessary to participate in volunteer
activities, fulfill surge capacity roles, or promotes individual, family, or whole community
safety and preparedness. Exercises that include members of the public or that are
conducted for the public should be coordinated with organizations outside of emergency
management and focus on the importance of personal preparedness and protective
actions.
Allowable Training Costs
Allowable training - related costs include, but are not limited to, the following:
Developing, Delivering, and Evaluating Training. Includes costs related to
administering the training, planning, scheduling, facilities, materials and supplies,
reproduction of materials, disability accommodations, and equipment. Training
should provide the opportunity to demonstrate and validate skills learned, as well
as to identify any gaps in these skills_ Any training gaps, including those for
children and individuals with disabilities or access and functional needs, should
be identified in the AAR /IP and addressed in the training cycle. Expenditures to
provide necessary non - structural accommodations for persons with disabilities
and other access and functional needs is allowable (e.g., sign language
interpreters, Communication Access Realtime Translation [CART] and other
modifications of policies and practices to fully include participants with
disabilities). Stakeholders are also encouraged to leverage existing training
provided via educational /professional facilities and to incorporate non - traditional
methodologies such as the internet, distance learning, or home study whenever
such delivery supports training objectives. Pilot courses and innovative
approaches to training citizens and instructors are encouraged.
Training that promotes individual, family, or community safety and preparedness
is encouraged, including: all- hazards safety training such as emergency
preparedness, basic first aid, life saving skills, crime prevention and terrorism
awareness, school preparedness, public health issues, mitigation /property
damage prevention, safety in the home, light search and rescue skills, principles
of NIMS /ICS, volunteer management and volunteer activities, serving and
integrating people with disabilities, pet care preparedness, CPR /AED training,
identity theft workshops, terrorism awareness seminars, and disability - inclusive
community preparedness conferences. The delivery of the CERT Basic Training
Course and supplemental training for CERT members who have completed the
basic training, the CERT Train - the - Trainer Course, and the CERT Program
Manager Course are strongly encouraged.
Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of attendance at FEMA
and /or approved training courses and programs, are allowable. These costs are
allowed only to the extent the payment for such services is in accordance with
the policies of the State or unit(s) of local government and has the approval of
the State or the awarding agency, whichever is applicable. In no case is dual
compensation allowable. That is, an employee of a unit of government may not
receive compensation from their unit or agency of government AND from an
61
Appendix C — Funding Guidelines
award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such
work may benefit both activities.
Travel. Costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses
by employees who are on travel status for official business related to approved
training.
Hiring of Full or Part -Time Staff or Contractors /Consultants. Payment of salaries
and fringe benefits to full or part -time staff or contractors /consultants must be in
accordance with the policies of the State or unit(s) of local government and have
the approval of the State or awarding agency, whichever is applicable. Such
costs must be included within the funding allowed for program management
personnel expenses. In no case is dual compensation allowable.
Certification /Recertification of Instructors. States are encouraged to follow the
NTE Instructor Quality Assurance Program to ensure a minimum level of
competency and corresponding levels of evaluation of student learning. This is
particularly important for those courses that involve training of trainers. This
information is contained in Information Bulletin 193, issued October 20, 2005.
Additional information can be obtained at
http:1A1vww.fema.gov /good guidance /download /10146.
Exercise Requirements
Training and Exercise Plan Workshop. States and Urban Areas are required to conduct
an annual Training and Exercise Plan Workshop (TEPW). A Multi -year Training and
Exercise Plan must be developed from the workshops on an annual basis and
submitted to the State's respective Exercise Program point of contact. The State
Exercise Program point of contact should submit a copy of the State and Urban Area
plans to hseeP(@_dhs.gov.
The Training and Exercise Plan will include the State's prioritized capability
requirements and a Multi -Year Training and Exercise Plan (schedule) that supports the
identified capabilities. In addition to submission of the Multi -Year Training and Exercise
Plan to hseep@dhs.gov, all scheduled training and exercises should be entered in the
HSEEP National Exercise Scheduling (NEXS) System, located in the HSEEP Toolkit on
the HSEEP website https:llhseen.dhs..qov. A TEPW user guides and a template of the
Multi -Year Training and Exercise Plan can be found on the HSEEP website
hMos: //hseep. dhs. go v.
States must complete a cycle of exercise activities during the period of this grant.
Exercises conducted by States and Urban Areas may be used to fulfill similar exercise
requirements required by other grant programs. To this end, grantees are encouraged
to invite representatives /planners involved with other federally- mandated or private
exercise activities. States and 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.
• Exercise Scenarios. The scenarios used in HSGP- funded exercises must be
based on the State /Urban Area's Homeland Security Strategy and plans.
62
Appendix C — Funding Guidelines
Acceptable scenarios for SHSP and UASI exercises include: chemical, biological,
radiological, nuclear, explosive, cyber, agricultural and natural or technological
disasters.
The scenarios used in HSGP- funded exercises must focus on validating existing
capabilities, must be large enough in scope and size to exercise multiple
activities and warrant involvement from multiple jurisdictions and disciplines and
non - governmental organizations, and take into account the needs and
requirements for individuals with disabilities. Exercise scenarios should align with
objectives and capabilities identified in the Multi -year Training and Exercise Plan.
Special Event Planning. If a State or 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 purpose of the Multi -Year Training and
Exercise Plan. The State or Urban Area should plan to use SHSP or UASI
funding to finance training and exercise activities in preparation for those events.
States and Urban Areas should also consider exercises at major venues (e.g.,
arenas, convention centers) that focus on evacuations, communications, and
command and control. States should also anticipate participating in at least one
Regional Exercise annually. States must include all confirmed or planned special
events in the Multi -year Training and Exercise Plan.
Exercise Evaluation and Improvement. Exercises should evaluate performance
of the objectives and capabilities required to respond to the exercise scenario.
Guidance related to exercise evaluation and improvement planning is defined in
the HSEEP located at httos: //hseep.dhs.gov.
Self - Sustaining Exercise Programs. States are expected to develop a self -
sustaining exercise program. A self - sustaining exercise program is one that is
successfully able to implement, maintain, and oversee the Multi -year Training
and Exercise Plan, including the development and delivery of HSGP- funded
exercises. The program must utilize a multi - disciplinary approach to the
development and delivery of exercises, and build upon existing plans, training,
and equipment.
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, conduct, and
evaluation of an exercise. State, local, tribal, and territorial jurisdictions are
encouraged to develop exercises that test the integration and use of non-
governmental resources provided by non - governmental entities, defined as the
private sector and private non - profit, faith - based, community, disability, volunteer,
and other non - governmental organizations. Non - governmental participation in
exercises should be coordinated with the local Citizen Corps Council(s) or their
equivalent and other partner agencies. The scenarios used in HSGP- funded
exercises must focus on validating existing capabilities, must comply with and be
large enough in scope and size to exercise multiple activities and warrant
involvement from multiple jurisdictions and disciplines and non - governmental
organizations, and take into account the needs and requirements for individuals
with disabilities.
63
Appendix C Funding Guidelines
Allowable Exercise Costs
Allowable exercise - related costs include:
• Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. Includes
costs related to planning, meeting space and other meeting costs, facilitation
costs, materials and supplies, travel, and documentation. Grantees are
encouraged to use government or free public space /locations /facilities, whenever
available, prior to the rental of space /locations /facilities. Exercises should
provide the opportunity to demonstrate and validate skills learned, as well as to
identify any gaps in these skills. Any exercise or exercise gaps, including those
for children and individuals with disabilities or access and functional needs,
should be identified in the AAR /IP and addressed in the exercise cycle.
• Full or part-time staff may be hired to support exercise- related activities. Such
costs must be included within the funding allowed for program management
personnel expenses.
• The applicant's formal written procurement policy or 44 CFR 13.36— whichever is
more stringent — must be followed.
• Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of time spent on the
design, development, and conduct of exercises are allowable expenses. These
costs are allowed only to the extent the payment for such services is in
accordance with the policies of the State or unit(s) of local government and has
the approval of the State or the awarding agency, whichever is applicable. In no
case is dual compensation allowable. That is, an employee of a unit of
government may not receive compensation from their unit or agency of
government AND from an award for a single period of time (e.g., 1:00 p.m. to
5:00 p.m.), even though such work may benefit both activities.
• Travel. Travel costs are allowable as expenses by employees who are on travel
status for official business related to the planning and conduct of exercise
project(s) or HSEEP programmatic requirements as described in the HSEEP
website (e.g., Improvement Plan Workshops, Training and Exercise Plan).
• Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the exercise project(s) (e.g., gloves, non - sterile
masks, and disposable protective equipment).
• Disability Accommodations. Materials, services, tools and equipment for
exercising inclusive of people with disabilities (physical, programmatic and
communications access for people with physical, sensory, mental health,
intellectual and cognitive disabilities).
• Other Items. These costs include the rental of equipment and other expenses
used specifically for exercises, costs associated with inclusive practices and the
provision of reasonable accommodations and modifications to provide full access
for children and adults with disabilities.
64
Appendix C — Funding Guidelines
Unauthorized Exercise Costs
Unauthorized exercise - related costs include:
• Reimbursement for the maintenance and /or wear and tear costs of general use
vehicles (e.g., construction vehicles), medical supplies, and emergency response
apparatus (e.g., fire trucks, ambulances).
• Equipment that is purchased for permanent installation andlor use, beyond the
scope of exercise conduct (e.g., electronic messaging signs).
65
Appendix C — Funding Guidelines
�. LOS ANGELES COUNTY
DEPARTMENT OF AUDITOR- CONTROLLER / SHARED SERVICES DIVISION EXHIBIT G
HOMELAND SECURITY GRANT REIMBURSEMENT FORM
• 41d
SECTIORA: SUBMITTING YOUR CLAIMS
Please submit le ibis supporting documents, files and completed reimbursement form at:
1. Enter Grant
Grants(&,auditodacounty.slov
Year:
In the event e-mail is not available, you can mail your claims to (please do not fax or send duplicates):
Department of Auditor - Controller
2012
Shared Services Division / Attn: Grants Unit
7.CLAIM
3470 Wilshire Blvd., Suite 812
(e.g. 17.020)
Los Angeles, CA 90010
(Environmental & Historic
SECTION INFORMATION
1. Sub - recipient's Name: (reimbursement check will be made payable to the name enter here)
3. Taxpayer ID #:
4. Contact's Name:
2. Mailing Address (please let us know where you want your check delivered, including attention line if necessary).
4. Contact's phone:
4. Contact's e-mail.
SECTION C: DETAIL CLAIM INFORMATION
1. SOLUTION AREA
2. ITEM #
3. PROJECT
4. EHP required?
5. VENDOR'S INVOICE #
6. PURCHASE
7.CLAIM
(e.g equipment, training,
(e.g. 17.020)
ALPHA
(Environmental & Historic
(if services, supplies or
METHOD (if services,
AMOUNT (indicate
planning, exercise)
(e.g, D)
Preservation)
equipment were purchased,
supplies or ecui ment are
the amount per each
No
Yes
Competitive
Sole Source?
please attach invoices)
line)
(attach
Bid?
(attach prior State
prior State
Approval)
Approval for
purchase of $10t)K
or more to a single
vendor)
�
1
8. TOTAL $
Under Penalty of Perjury I certify that (please use the checkbox):
1.1 am the duly authorized officer of the claimant herein and this claim is in all respect true and correct. STAMP WITH RECEIVED DATE HERE:
All expenditures were made in accordance with applicable laws, rules, regulations and grant conditions
and assurances
2. All instructions for this form were followed and all the supporting documentation (per instructions) is
included with this claim.
AUTHORIZED SIGNATURE
AUTHORIZED PRINTED NAME
15. AUTHORIZED CONTACT INFORMATION (If different from Section B):
PHONE#
E- MAIL'.
Revised on 06/19/2012
DATE
TITLE
ASSIGNED CLAIM TRACKING NO.:
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR - CONTROLLER / SHARED SERVICES DIVISION
INSTRUCTIONS TO COMPLETE THE HOMELAND SECURITY GRANT REIMBURSEMENT FORM
Purpose of this form:
To assist sub - recipients in completing the Homeland Security Grant Reimbursement form. We appreciate
your participation in this program, for questions or suggestions please use our e-mail below to contact us.
Please do not send these instructions to us, they are to be used for your guidance only.
SECTION A: GENERAL INSTRUCTIONS FOR SUBMISSION-OF CLAIMS
Please help us expedite the process of your Homeland Security claims by:
• Completing the reimbursement forms correctly and according to these instructions.
• Submitting your claims using our e-mail —> Grants @auditor.lacounty.gov (please do not fax documents).
• Sending your claims only once (we do not require original documents and duplicates will slow down our process).
• Using the checkboxes to ensure all the required supporting documents and files accompany your claim form.
Supporting documents are flagged for your convenience with a checkbox within the corresponding areas.
• Ensuring that all documents attached to your claims are legible .
• Submitting claims timely. We do not guarantee the process of claims that are submitted late or too close to the
final due date. Reimbursable expenditures need to be charged within the performance period of the grant and
submitted to us as soon as they are incurred.
SECTION B: SUB - RECIPIENT'S. INFORMATION
1. Please enter the name of the agency requesting the reimbursement, The name of the agency should be typed
according to its signed agreement and as you need it to appear in the payee line of the reimbursement check.
2. Please enter the complete address (street number and name, city, zip code) and attention line where you will need
to receive the reimbursement check. Please note that this is not necessary for L.A. County departments.
3. Please enter the tax ID of the governmental entity requesting reimbursement. Please leave blank for L.A. County
departments.
4. Please enter the information of the person that can assist us with detail claim questions,
SECTION, C: DETAIL CLAIM INFORMATION:
In order to expedite your claim, in this area's grid, include a maximum of five (5) invoices or reimbursements
charges only (one charge or one invoice per line). The invoices or charges need to share the same solution area,
project alpha and item #.
1. Enter the solution area corresponding to the claim. This information is found in the latest budget of the grant.
Examples of solution areas are: equipment, training, planning or exercise.
2. Enter the item # corresponding to the claim. This information Is found in the latest budget of the grant. An
example of Item # is 17.020.
3. Enter the project alpha corresponding to the claim. This information is found in the latest budget of the grant, An
example of project alpha is D.
4. Check with an X under either yes or no according to the claim's Environmental & Historical Preservation (EHP)
requirements from the State. EHP approval needs to be obtained from the State rp for to the purchase of certain
equipment items (see AEL description) or training /exercise projects. Please attach the following:
a) F State EHP Approval: if required by the state for your claim,
Revised on 06/19/2012 Page 1 of 4
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR - CONTROLLER / SHARED SERVICES DIVISION
INSTRUCTIONS TO COMPLETE THE HOMELAND SECURITY GRANT REIMBURSEMENT FORM
SECTION C: (Continued)
5. If the expenditures that you are claiming were purchased thru a vendor or contractor, please make sure that you
enter the invoice # in the grid area. Additionally please include the following documentation with your claim:
a) 7 Copy of the invoice: Please attach an invoice that provides sufficient information to be used as a cross
reference with the items described in your grant line item and AEL #. When the invoice includes items
that are not being claimed or that belong to different claims or grants, please circle and designate on the
invoice the items that you are requesting for reimbursement. Each item circled must have a project #, a
funding source, and a total. Purchase orders and price quotes will not be accepted in the place of the
invoice.
b) n Copy of the purchase order
C) 71 Print out of the corresponding AEL # (Authorized Equipment List number). The AEL listing can be
found at: https -/ /www.rkb.us /fema_grants.cfm
d) [__J Proof of payment of the invoice: The proof of payment for L.A. County Departments is the printout
from e -CAPS showing that the check cleared the bank. The proof of payment for other than L.A. County
Department is the corresponding copy of the bank's cleared check .
e) Calculations for use tax paid: When use tax is paid, clearly show the calculations of the use tax in the
invoice included in your claim.
f) Proof of payment of the use tax: Please provide official documents which authenticate the remittance
of the use tax to the state, the amount and the reference to the invoice being claimed,
g) E] Federal Debarment Listing: Please provide a screen print out of the queried Federal Debarment Listing
at http : / /www.epls.gov /eplslsearch.do , The listing needs to be queried prior to the purchase of the
items being claimed. This will certify that the vendor is allowed by the state.
6. If you are claiming services, supplies or any other type of items purchased thru a vendor or contractor, please
select with an X the method that you used to acquire the items (do not leave blank), Please note that competitive
bid and sole source are the only two valid purchasing methods.
a) Sole Source State Approval: for non -bid purchases of $100,000 or more to a single vendor, please
attach the sole source approval from the State. The approval needs to be requested from the State rp for
to the purchase of the items.
7. Enter the amount of your claim after you verify that your budget is sufficient to cover your request. When the
amount of the budget is not sufficient, please let CDAT know of the possible need for budget modification.
8. Enter the Total Amount by adding the subtotal claims included in each line.
SECTION D: SUB - RECIPIENT'S CERTIFICATION
1. Please read and check the box provided if you are an authorized signator.
2. Please read and check the box provided if you are an authorized signator.
3. Please sign the claim if you are an authorized signator of your agency.
4. When the authorized person is the same as the contact person in Section B you do not need to enter the
authorized contact information. If the authorized person and the contact person in Section B are different, please
enter all the fields in this area as requested.
Revised on 06/19/2012 Page 2 of 4
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR- CONTROLLER / SHARED SERVICES DIVISION
INSTRUCTIONS TO COMPLETE THE HOMELAND SECURITY GRANT REIMBURSEMENT FORM
ADDITIONAL ITEMS THAT YOU NEED TO ATTACKTO YOUR CLAIMS ,(ACCORDING TO
SOLUTION AREA):
For Equipment Claims:
a) [-] Equipment Inventory Listing (Print out & Excel File): Please include both the printout of the listing
and the corresponding excel file with your claim. The excel file is used to submit your claim with the
state and the printout as backup document for audits. If there is no serial # for your equipment please
assign a valid ID tag, or write "Consumable" (if it applies) do not write N/A or leave the corresponding
space blank. y1 Please ensure that the following information is in your listing: project #, alpha, equipment
description, AEL #, AEL title, invoice #, vendor, total cost, invoice date, acquired date, serial #, condition
and disposition, deployed location and grant year.
You need to inform us of any changes on the items above i1. This applies to each piece of
equipment added in the Inventory Listing, including when the items are disposed and /or no
longer useful. We will update the master inventory listing (per grant requirement) according to
the information you give us. Please make sure that you include all the attachments that are
necessary to provide us with the requested Information.
For Training Claims:
a) F-] State - Sponsored Training Reporting Form (with the tracking request #): Please add this form to the
claim's backup documentation. All the backup documentation submitted for the training claim needs to
agree with the training period and the detail description on the Training Reporting Form and the line item
of the Grant.
b) F-1 Receipts and paid invoices: please include the complete copy of the receipts and paid invoices with
your claim for itemized costs such as air plane tickets, hotel stays, instructor's fees, workshop cost,
facilities fees, consulting services, etc. Additionally, you will need to include the documents requested in
numeral 5 under Section C.
If you are including personnel cost with your training claim, please add the following:
c) 7 Documents that certify completion of the training: please attach supporting documents that show the
class name, dates of training, # of hours of the training class, printed name and signature of individual
taking the class and approval signature from supervisor or trainer (attach the information for backfilled
positions also). Examples of documents that certify completion of training are:
0 Attendance sheets s Agenda of the class
0 Sign in sheets • Training certificates
d) ❑ Summary Listing of Charges: Please add a listing which clearly shows the breakdown of the training
charges per employee and that match the total claimed. The listing should include the following:
employee name, assignment, job title, date, salary, hours claimed, regular rate, overtime rate, employee
benefits rate, claim amount per employee, clear calculations of amount claimed per employee and total
(equal to the amount claimed).
e) [—I Backup for the Benefits Rate: If you are adding benefits to your claim, please make sure that you
include the official calculation for the rate used.
f) Timecards: Include a printout of the corresponding timecards. Manual timecards need to indicate the #
of hours charged per day to the grant, supervisor's signature, employee name and signature. Automatic
system generated timecards need to be final approved and include the name of the employee and hours
charged per day to the grant.
g) F-] Explanation of timekeeping codes: When the supporting documentation (timesheet, payroll register,
etc.) includes timekeeping codes please provide a printout with the explanation of the usage as detailed
as possible.
Revised on 06/19/2012 Page 3 of 4
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR - CONTROLLER / SHARED SERVICES DIVISION
INSTRUCTIONS TO COMPLETE THE HOMELAND SECURITY GRANT REIMBURSEMENT FORM
For Training Claims (Continued):
h) Payroll register: The payroll register needs to clearly support and explain the amount claimed per
employee. It also needs to show the salary, hourly rate, employee benefits and overtime rate.
i) Roster of the backfilled positions: When you are claiming overtime for a backfilled position, please
attach the backfilled roster to your claim, The roster needs to include the name of the backfilling
employees, a short description of duties performed, the corresponding employee whose duties were
covered and the dates accordingly. Please make sure that the roster is signed and that you include
documentation corresponding to the the employee covered by the backfilling position.
For Planning Claims:
a) ❑ Deliverable (or final product): Please include with your claim the final product of the planning activity
(deliverable) that was identified in the grant award.
b) [7 Signed Certificate of Completion: The certificate of completion can be an e-mail confirming that the
planning activity was completed.
c) F� Invoices: If your planning claim includes charges invoiced by vendors, please see requirements and
documents you need to attach to your claim form under Section C (numeral 5 and numeral 6).
d) 7 Supporting Documentation for Personnel Cost: When your planning claim includes personnel cost,
please see d) to i) under Training Claim (supporting documents needed) and add to the documentation.
For Exercise Claims:
a) F—] Proof of State Approval of After Action Report (AAR): In order for your AAR to be approved you have
to submit it to the State using the ODP Portal (see link below), within 60 days following the completion of
the exercise. You need to notify the State when the AAR is uploaded so they can proceed with the
approval process.
https: / /hseep.dhs.gov /DHS_SSO/
b) F� Invoices: If your exercise claim includes charges invoiced by vendors please see requirements and
documents you need to attach to your claim form under Section C (numeral 5 and numeral 6).
c) F� Supporting Documentation for Personnel Cost: When your exercise claim includes personnel cost,
please see d) to i) under Training Claim (supporting documents needed) and add to the documentation.
Revised on 06/19/2012 Page 4 of 4