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HomeMy WebLinkAboutC-4191 C--1-161 State Homeland Security Program Subrecipient Agreement Grant Year 2017 Between the County of Los Angeles and the City of Arcadia HOA.102204516.2HOA.102204516.1 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"). WITNESSETH WHEREAS, the U.S. Department of Homeland Security Title 2 Code of Federal Regulations (CFR) through the Office of Grants and Training (G&T), has provided financial assistance for the State Homeland Security Program (SHSP), Catalog of Federal Domestic Assistance (CFDA) 97.067 — Homeland Security Grant Program directly to the California Governor's Office of Emergency Services (Cal OES) for the 2017 SHSP, FAIN #EMW-2017-SS-00083, Federal Award dated October 20, 2017 with a performance period of September 1 , 2017 to May 31 , 2020. This Federal Award is not a R&D award; and WHEREAS, the Cal OES provides said funds to the County of Los Angeles (DUNS #052238763) as its Subgrantee, and the Chief Executive Office (CEO) is responsible for managing and overseeing the SHSP 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, organization, exercise and planning 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 the 2017 SHSP grant from Cal OES in the total amount of $10,308,294.00; and WHEREAS, the CEO now wishes to distribute 2017 SHSP grant funds to the Subrecipient in the amount of$110,624.00 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 of Los Angeles Board of Supervisors on April 3, 2018 authorized the CEO to prepare and execute this Agreement. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 1 NOW, THEREFORE, the County of Los Angeles and Subrecipient agree as follows: 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 W. Huntington Drive. Arcadia,.CA 91007. • §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 must be given are as follows: 1. The representative of the County of Los Angeles is, unless otherwise stated in this Agreement: Craig Hirakawa Chief Executive Office, LAC 500 West Temple Street, Room B-79-2 Los Angeles, CA 90012 Phone: (213) 974-1127 Fax: (213) 687-3765 chirakawa@ceo.lacounty.gov Giles Quan Chief Executive Office, LAC 500 West Temple Street, Room B-79-2 Los Angeles, CA 90012 Phone: (213) 974-2319 Fax: (213) 687-3765 gquan@ceo.lacounty.gov HOA.102204516.2 Grants/SHSP 2017/SR Agreements! Page 2 2. The representative of Subrecipient is: Name and Title: Dominic Lazzaretto,City Manager Organization/DUNS# City of Arcadia/08-219-7278 Address: 240 W. Huntington Drive City/State/Zip: Arcadia, CA 91007 Phone: (626) 574-5401 FOLK (626) 446-5729 Email: dlazzaretto@ArcadiaCA.gov With a copy to: Name and Title: Michael E. Lang, Fire Chief Organization City of Arcadia, Fire Department Address: 710 S. Santa Anita Avenue City/State/Zip: Arcadia, CA 91006 Phone: (626) 574-5101 Fax: (626) 446-7410 Email: mlang@ArcadiaCA.gov B. Formal notices, demands and communications to be given hereunder by either party must be made in writing and may be effected by personal delivery, regular U.S. Postal mail service and/or e-mail. In the event of personal delivery or email, the message will be deemed communicated upon receipt by the County of Los Angeles. In the event of mail service, the message will be deemed communicated as of the date of mailing. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 3 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 must be given, in accord with this section, within five (5) business days of said change. §103. Independent Party Subrecipient is acting hereunder as an independent party, and not as an agent or employee of the County of Los Angeles. An employee of Subrecipient is not, and will not be deemed, an employee of the County of Los Angeles by virtue of this Agreement, and Subrecipient must so inform each employee organization and each employee who is hired or retained under this Agreement. Subrecipient must 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 must provide the following signed documents to the County of Los Angeles, unless otherwise exempted: A. Certification and Disclosure Regarding Lobbying, attached hereto as Exhibit A and made a part hereof, in accordance with §411.A.14 of this Agreement. Subrecipient must 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. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions, 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, 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 is from September 1, 2017 to February 29, 2020, unless the County of Los Angeles, with Cal OES approval, HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 4 provides written notification to the Subrecipient that the performance period has been extended, in which case the performance period will be so extended by such written notification, as provided in §502, below. §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 2017 SHSP, which has been approved by Cal OES. This information is contained in a copy of the Final Grant Award Letter and Project 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 of Los Angeles 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 OES during the term of this Agreement. Upon approval, all other terms of this Agreement will remain in effect. Subrecipient must 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 must review the Federal Debarment Listing at https://www.sam.gov/portal/SAM/#1 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 or the receipt of single bid response of$150,000.00 or more, justification must be presented to CEO, who upon review will request approval from Cal OES. Such approval in writing must be obtained prior to the commitment of funds. E. Subrecipient must 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 must be in the form requested by the County of Los Angeles, and must be provided by the fifteenth (15th) of the following month. Subrecipient must submit claims for reimbursement in a timely manner. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 5 F. Subrecipient must provide an electronic copy of their Annual Single Audit Report, as required by 2 CFR Part 200, to CEO no later than March 31st (fiscal year ending June 30) or June 30th (fiscal year ending September 30) of the year following the reporting period; G. Subrecipient may be monitored by the County of Los Angeles on an annual basis to ensure compliance with Cal OES grant program requirements. The County of Los Angeles anticipates that said monitoring may include, at a minimum, one on- site visit during the term of this Agreement. H. Subrecipient must provide a Corrective Action Plan to CEO within thirty (30) days of any audit finding. I. Any equipment acquired pursuant to this Agreement must be authorized in the G&T Authorized Equipment List (AEL) available online at https://www.fema.gov/authorized-equipment-list and the Funding Guidelines of the 2017 SHSP Notice of Funding Opportunity, incorporated by reference, and attached hereto as Exhibit F. Subrecipient must provide the CEO 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 2017 SHSP can be found at Title 2 CFR Part 200.313. Any equipment acquired or obtained with Grant Funds: 1. 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 will be subject to the requirements of Title 2 CFR Part 200.313. For the purposes of this subsection, "Equipment" is defined as tangible nonexpendable property, having a useful life of more than one year which costs $5,000.00 or more per unit. Items costing less than $5,000.00, but acquired under the "Equipment" category of the Grant must also be listed on any required Equipment Listing. 1. Equipment must be used by Subrecipient in the program or project for which it was acquired as long as needed, whether or not the project or HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 6 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 must 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 must be given to other programs or projects supported by the awarding agency. 3. An Equipment Listing must be maintained listing each item of Equipment acquired with SHSP funds. The Equipment Listing must be kept up to date at all times. Any changes must be recorded in the Listing within ten (10) business days and the updated Listing is to be forwarded to the County of Los Angeles Auditor-Controller (A-C) Shared Services Division. The Equipment Property Records must be maintained that include: (a) a description of the property, (b) a serial number or other identification number, (c) the source of property, (d) who holds title, (e) the acquisition date, (f) and cost of the property, (g) percentage of Federal participation in the cost of the property, (h) the location, (i) use and condition of the property, (j) and any ultimate disposition data including the date of disposal and sale price of the property. Records must be retained by the subrecipient pursuant to Title 2, Part 200.313 (d) (1) of the CFR. 4. All Equipment obtained under this Agreement must have an appropriate identification decal affixed to it, and, when practical, must be affixed where it is readily visible. 5. A physical inventory of the Equipment must be taken by the Subrecipient and the results reconciled with the Equipment Listing at least once every two years or prior to any site visit by State or Federal auditors/monitors. The Subrecipient is required to have on file a letter certifying as to the accuracy of the Equipment Listing in the frequency as above, and provide to the CEO when requested. K. Any planning paid pursuant to this Agreement must conform to the guidelines as listed in 2017 SHSP, Notice of Funding Opportunity or subsequent grant year programs. L. Any training paid pursuant to this Agreement must conform to the guidelines as listed in 2017 SHSP, Notice of Funding Opportunity, and must be first submitted to CEO and then pre-authorized by Cal OES. A catalog of federally approved and sponsored training courses is available at https://www.firstrespondertraininq.gov/frt/. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 7 M. Any exercise paid pursuant to this Agreement must conform to the guidelines as listed in 2017 SHSP, Notice of Funding Opportunity. Detailed Homeland Security Exercise and Evaluation Program Guidance is available at https://preptooikit.fema.gov/web/hseep-resources. N. Subrecipient must provide to CEO a spending plan detailing the required steps and timeframes required to complete the approved projects within the grant timeframe. Subrecipient must submit the spending plan to CEO prior to final execution of the Agreement. O. Any organization activities paid pursuant to this Agreement must conform to the guidelines as listed in 2017 SHSP, Notice of Funding Opportunity. P. Any personnel activities paid pursuant to this Agreement must conform to the guidelines as listed in 2017 SHSP, Notice of Funding Opportunity. Q. Pursuant to this Agreement, indirect costs are not reimbursable. SECTION III PAYMENT §301. Payment of Grant Funds and Method of Payment A. The County of Los Angeles will reimburse Subrecipient up to the maximum grant amount of$110,624.00 as expenditures are incurred and paid by Subrecipient and all documentation is reviewed and approved by County of Los Angeles. All expenditures must 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 2017 SHSP Grant Award Letter from Cal OES. B. Subrecipient must submit reimbursement requests to the County of Los Angeles A-C 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 OES. Each reimbursement request must be accompanied by the Reimbursement Form (attached hereto as Exhibit G). All appropriate back-up documentation must be attached to the reimbursement form, including the method of procurement, purchase orders, invoices, report of goods received, and proof of payment. For training reimbursements, Subrecipient must include a copy of the class roster verifying training attendees, proof that prior approval was obtained from Cal OES HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 8 and that a Cal OES 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 sixty (60) days following completion of the exercise and submit proof of prior 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, reallocate unexpended grant funds to another subrecipient. Said reallocation may occur upon approval by the County of Los Angeles of a Subrecipient reimbursement submission, inquiry from the County of Los Angeles to the Subrecipient regarding fund utilization, 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. D. Payment of reimbursement request will be withheld by the County of Los Angeles until the County of Los Angeles 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 of Los Angeles will 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 do not, and will not be deemed to, affect the meaning or construction of any of the HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 9 terms or provisions hereof. The language of this Agreement will 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 must comply with all applicable laws of the United States of America, the State of California, and the County of Los Angeles. This Agreement will be enforced and interpreted, as applicable, under the laws of the United States of America, the State of California and the County of Los Angeles. If any part, term or provision of this Agreement is 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 will not be affected thereby. Applicable Federal or State requirements that are more restrictive will be followed. §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 all events, no party may recover more than once, suffer a penalty or forfeiture, or be unjustly compensated. §405. Prohibition Against Assignment or Delegation Subrecipient may not do any of the following, 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. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 10 §406. Permits Subrecipient and its officers, agents and employees must obtain and maintain all permits and licenses necessary for Subrecipient's performance hereunder and must 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 must 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 must 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 must 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). If required, Subrecipient must submit an Equal Employment Opportunity Plan to the Department of Justice Office of Civil Rights in accordance with guidelines listed at https://www.justice.gov/crt. Any subcontract entered into by the Subrecipient relating to this Agreement, to the extent allowed hereunder, will 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 will apply and will 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 HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 11 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 may 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: 1. A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract; 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 HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 12 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 may 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 may 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 must 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 are 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. H. The Subrecipient covenants that no member, officer or employee of Subrecipient may 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 must incorporate the foregoing subsections of this Section into every agreement that it enters into in connection with this grant and must 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.). HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 13 §411. Statutes and Regulations Applicable To All Grant Contracts A. Subrecipient must 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 must comply with applicable State and Federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. Subrecipient must 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: 1. CFR Subrecipient must comply with Title 2 CFR Part 200. 2. Single Audit Act Since Federal funds are used in the performance of this Agreement, Subrecipient must, as applicable, adhere to the rules and regulations of the Single Audit Act (31 USC Sec. 7501 et seq.), 2 CFR Part 200 and any administrative regulation or field memos implementing the Act. 3. Americans with Disabilities Act Subrecipient hereby certifies that, as applicable, it will comply with the Americans with Disabilities Act 42, USC §§12101 et seq., 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 Agreement, to the extent allowed hereunder, will 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 may be used for any partisan political activity, or to further the election or defeat of any candidate for public office. Neither may 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 may be used for any sectarian purpose or to support or benefit any sectarian activity. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 14 Subrecipient must 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 must require that the language of this Certification be included in the award documents for all sub-awards at all tiers and that all subcontractors 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 must 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 have the authority to audit, examine and make excerpts or transcripts from records, including all Subrecipient's method of procurement, 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 of Los Angeles regarding performance of this Agreement. 6. Records Maintenance Records, in their original form, must 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 must 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, must 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 must, 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 include but are not limited to purchase agreements, rental or lease agreements, third party agreements, consultant service contracts and construction subcontracts. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 15 Subrecipient must, as applicable, ensure that the terms of this Agreement with the County of Los Angeles are incorporated into all Subcontractor agreements. The Subrecipient must submit all Subcontractor agreements to the County of Los Angeles for review prior to the release of any funds to the Subcontractor. The Subrecipient must 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 must, 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 CFR 900, Subpart F). Subrecipient must, as applicable, comply 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 must, as applicable, comply with the Federal Fair Labor Standards Act (29 U.S.C. §201) regarding wages and hours of employment. None of the funds may be used to promote or deter union/labor organizing activities. CA Gov't Code Sec. 16645 et seq. 9. Civil Rights Subrecipient must, 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 HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 16 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; (j) the requirements of any other nondiscrimination statute(s) that 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 must, 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 must, as applicable, comply 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 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 must, 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 must, 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. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 17 Subrecipient must, 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 must, as applicable, ensure that the facilities under its ownership, lease or supervision that are 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 warrants and represents that it will, as applicable, comply with the California Environmental Quality Act (CEQA), Public Resources Code §21000 et seq. Subrecipient must, as applicable, comply with the Energy Policy and Conservation Act (P.L. 94-163, 89 Stat. 871). Subrecipient must, as applicable, comply with the provision of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 U.S.C. 3501 et. seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 11. Preservation Subrecipient must, 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.). 12. Suspension, Debarment, Ineligibility and Voluntary Exclusion Subrecipient must, as applicable, comply with Title 2 CFR Part §3000, regarding Suspension and Debarment, and Subrecipient must submit a Certification Regarding Debarment, attached hereto as Exhibit B, required by Executive Order 12549 and any amendment thereto. Said Certification must be submitted to the County of Los Angeles concurrent with the execution of this Agreement and must 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 must require that the language of this Certification be included in the award documents for all sub-award at all tiers and that all subcontractors certify accordingly. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 18 13. Drug-Free Workplace Subrecipient must, 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 must complete the Certification Regarding Drug-Free Workplace Requirements, attached hereto as Exhibit C, and incorporated herein by reference. Subrecipient must require that the language of this Certification be included in the award documents for all sub-award at all tiers and that all subcontractors certify accordingly. 14. Lobbying Activities Subrecipient must, 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 must, 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 Agreement Subrecipient must 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 must, 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 2 CFR Part 200; EO 12372; U.S. Department of Homeland Security, Office of State and Local Government Coordination and Preparedness, Office for 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 HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 19 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. 1. Travel Expenses Subrecipient, as provided herein, will 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 must be included in the contract budget(s). All travel, including out- of-State travel, that is not included in the budget(s) will 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 may not exceed the amounts established under the grant. 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 2017 Notice of Funding Opportunity and in the State's "Grant Assurances". By signing these Grant Assurances and accepting the Notice of Funding Opportunity, the County of Los Angeles became liable to the State for any funds that are used in violation of the grant requirements. The State's Grant Assurances are incorporated into this Agreement through Exhibit D. Subrecipient will be liable to the Grantor for any funds the State determines the Subrecipient used in violation of these Grant Assurances. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 20 Pursuant to this Agreement, Subrecipient shall execute the 2017 Certification of Grant Assurances in Exhibit D, accepting and agreeing to abide by all provisions, assurances, and requirements therein. Subrecipient agrees to 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. To the extent Exhibit D conflicts with language or provisions contained in this Agreement, or contains more restrictive requirements under Federal and State law, Exhibit D shall control. D. Noncompliance With Grant Requirements Subrecipient understands that failure to comply with any of the above assurances and requirements, including Exhibit D, 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. §412. Federal, State and Local Taxes Federal, State and local taxes are the responsibility of the Subrecipient as an independent party and not of the County of Los Angeles and must 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 If any project produces any invention 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 must report the fact and disclose the Invention promptly and fully to the County of Los Angeles. The County of Los Angeles will 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 will determine whether to seek protection on the Invention. The State will 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 hereby agrees to be bound by the Policy, and will contractually require its personnel to be bound by the Policy. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 21 B. Rights to Use Inventions As applicable, County of Los Angeles will 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 its discretion, may copyright the Material. If the County of Los Angeles declines to copyright the Material, the County of Los Angeles will 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 will 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 must comply with Title 24 CFR 85.34. D. Rights to Data The State and the County of Los Angeles will 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()(2) instead of unlimited rights. (Title 48 CFR 27.404(a)). E. Obligations Binding on Subcontractors Subrecipient must 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 must, as applicable, comply with California Family Code Section 5230 et seq. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 22 §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. §416. Compliance with Fair Chance Employment Practices Subrecipient shall comply with fair chance employment hiring practices set forth in California Government Code Section 12952, Employment Discrimination: Conviction History. Subrecipient's violation of this paragraph of the Agreement t may constitute a material breach of the Agreement. In the event of such material breach, County of Los Angeles may, in its sole discretion, terminate the Agreement. §417. Method of Payment and Required Information The County of Los Angles may, at its sole discretion, determine the most appropriate, efficient, secure, and timely form of payment provided under this Agreement. Subrecipient further agrees that the default form of payment shall be Electronic Funds Transfer (EFT) or direct deposit, unless an alternative method of payment is deemed appropriate by the A-C. Subrecipient shall provide the A-C with electronic banking and related information for the Subrecipient and/or any other payee that the Subrecipient designates to receive payment pursuant to this Agreement at https://directdeposit.lacounty.gov/. Such electronic banking and related information includes, but is not limited to: bank account number and routing number, legal business name, valid taxpayer identification number or TIN, a working e-mail address capable of receiving remittance advices and other payment related correspondence, and any other information that the A-C determines is reasonably necessary to process the payment and comply with all accounting, record keeping, and tax reporting requirements. Any provision of law, grant, or funding agreement requiring a specific form or method of payment other than EFT or direct deposit shall supersede this requirement with respect to those payments. At any time during the duration of this Agreement, the Subrecipient may submit a written request for an exemption to this requirement and must be based on specific legal, business or operational needs and explain why the payment method designated by the A-C is not feasible and an alternative is necessary. The A-C, in consultation with CEO, shall decide whether to approve exemption requests. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 23 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, does 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 will 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 (25) pages and (7) Exhibits which constitute the entire understanding and agreement of the parties. HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 24 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 I/ - -?E? = a . SA HI A. H I Date Ch f xecutbe Officer A r BY BY. CELIA VALA J• N NAIMO Executive Officer, Board of Supervisors IT.itor-Controller APPROVED AS TO FORM MARY C. WICKHAM County Counsel BY Senior Deputy County Counsel BY `_ Dominic T.a77arettn OtreA31,2z(% City Representative tie(Signature) (Print Name) Date City Manager APPROVED AS TO FORM PBYP1::::;17"\-.• ( t Stephen P. Deitsch -/30 c"r_ City A orney(Signature) (Print Name) Date ATTEST j �, BY �t�I�� 1,11/ l `' r 7l �:�. isa Mussenden (of lerk(Signature) (Print Name) D e HOA.102204516.2 Grants/SHSP 2017/SR Agreements/ Page 25 EXHIBITS Exhibit A Certification and Disclosure Regarding Lobbying Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions Exhibit C Certification Regarding Drug-Free Workplace Exhibit D Certification of Grant Assurances Exhibit E Final Grant Award Letter and Project Worksheet(s) Exhibit F 2017 Notice of Funding Opportunity Exhibit G Reimbursement Form and Instructions HOA.102204516.2HOA.102204516.1 Cal OES 2-232 Approved by OMB 0348-0046 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. 6. Enter the name of the Federal agency making the award or loan 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-Cal OES 2-232(Revised 7/8/2013) Cal OES 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 Office of Management and Budget, Paperwork Reduction Project(0348-0046), Washington, D.C. 20503. Disclosure of Lobbying Activities-Cal OES 2-232(Revised 7/8/2013) EXHIBIT A Cal OES 2-232 Approved by OMB 0348-0046 DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 1.Type of Federal Action: 2. Status of Federal Action: 3. Report Type:El a. contract ® a. bid/offer/application E1 a. initial filing b. grant b. initial award b. material change c. cooperative agreement c. post-award For Material Change Only: d. loan e. loan guarantee Year Quarter f. loan insurance date of last report 4. Name apci Address of Reporting Entity: 5. If Reporting Entity in No.4 is Subawardee, City oT Arcadia Enter Name and Address of Prime: 240_W. Hunti gton Drive.Arcadia.CA 91007 Count of Los Angeles Chief Executive Office Prime Subawardee Homeland Security Grant Administration Tier, If known: 500 West Temple Street,Room 785 Los Angeles, CA 90012 Congressional District,if known: Congressional District,if known: 6. Federal Department/Agency: 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): (last name,first name,MI-include address if different from 10a) (attach Continuation Sheet(s)SF-LLL-A,if necessary) 11.Amount of Payment(check all that apply) : 13.Type of Payment(check all that apply): Actual Planned a retainer 12.Form of Payment(check all that apply): b. one-time fee a. cash c. commission 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: * 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 Lazzarrtto reliance was placed by the tier above when this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be Title: City Managir reported to the Congress semi-annually and will be available for public inspection. Any Telephone: (626) 574-5401 person who fails to file the required disclosure shall be subject to a civil penalty of not (area code) less than$10,000 and not more than$100,000 for each such failure. Date: Si,201$ Federal Use Only: Authorized for Local Reproduction Standard Form—LLL Disclosure of Lobbying Activities-Cal OES 2-232(Revised 7/8/2013) Approved by OMB 0348-0046 DISCLOSURE OF LOBBYING ACTIVITIES CONCONTINUATION SHEET Continuation of 10 a-b: additional sheets may be added if necessary Reporting Entity: Last Name First Name MI Address City Zip Last Name First Name MI Address City Zip Last Name First Name MI Address City Zip Last Name First Name MI Address City Zip 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-Cal OES 2-232(Revised 7/8/2013) EXHIBIT B 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) 1. 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/BORROWERJAGENCY Dominic Lazaretto Ci, y Manager_. . NAME AND TITLE OF AUTHORIZED REPRESENTATIVE atb SIG 'TURF 6` 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 it is later determined that the 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 STATE OF CALIFORNIA DRUG-FREE WORKPLACE CERTIFICATION STD. 21 COMPANY/ORGANIZATION NAME: City of Arcadia The contractor or grant recipient named above hereby certifies compliance with Government Code Section 8355 in matters relating to providing a drug-free workplace.The above-named contractor or recipient will: 1. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations, as required by Government Code Section 8355(a). 2. Establish a Drug-Free Awareness Program as required by Government Code Section 8355(b), to inform employees about all of the following: (a) The dangers of drug abuse in the workplace, (b) The person's or organization's policy of maintaining a drug-free workplace, (c) Any available counseling, rehabilitation and employee assistance programs, and (d) Penalties that may be imposed upon employees for drug abuse violations. 3. Provide as required by Government Code Section 8355(c), that every employee who works on the proposed contract or subgrant: (a) Will receive a copy of the company's drug-free policy statement, and (b) Will agree to abide by the terms of the company's statement as a condition of employment on the contract or subgrant. CERTIFICATION I,the official named below, hereby swear that I am duly authorized legally to bind the contractor or Recipient to the above described certification. I am fully aware that this certification, executed on the date and in the county below, is made under penalty of perjury under the laws of the State of California. Dominic T.azzaretto Or. 3 3112-6C OFFICAL'S NAME DATE EXECUTED County of Los Angeles EXECUTED IN THE COUNTY OF C• TRA OR or RECEIPEI.." IGNATURE TITLE 95-6000667 FEDERAL I.D.NUMBER Drug-Free Workplace Certification STD.21 (Revised 7/2015) STATEMENT ON THE DRUG-FREE WORKPLACE To comply with the enactment of Senate Bill 1120, 1170, Statutes of 1990), which established the Drug-Free Workplace Act of 1990, the City of Arcadia (your agency) accordingly provides this statement of compliance. In order to maintain funding e|igibi|bv, state mgencies, along with those in receipt of grant and contractual nmaamjm, must certify that they provide drug-free workplaces and have issued drug-free workplace statements to their employees(Section 8355(a)of the Government Code]. Consequently, in accordance with this directive, this statement is issued to meet this requirement. The City of Arcadia (your agency), an agency within the State of California has adopted this statement in compliance with legislation which addresses issues to avoid the dangers arising from drug and alcohol abuse in the workplace. These dangers include death and injury to the mmp|oyee, co-morNerm, or the public resulting from mooidents, dereliction of duty, poor judgment and carelessness. Substance abuse also results in lost pnoducthAtv, reduced effiniency, and increased absenteeism by the substance abuser and interferes with the job performance of employees who do not use illegal or unauthorized substances. 8355(b)(1)] California law prohibits the unlawful mnanufoc1uma, dinpenaabon, poosession, or illegal use of a controlled substance. That prohibition extends to all places and includes the worksite of California state employees. [Section Employees convicted of a violation of criminal drug sdetute, when the violation occurred at an employee's mmrkn|be, shall report the conviction to the granting and monitoring State agency upon conviction. [Section 8356Ad/1)(2)] In the event of the unlawful nnanufmctura, dhstrbuUon, diapenmaUon, possession or illegal use of a controlled substance at a State worksite, the State may take disciplinary action pursuant to the law and/or require the satisfactory completion of a drug abuse assistance or rehabilitation program. 8355(b)/4B The Employee Assistance Program (EAP) provides drug problem assessment and referral to appropriate counseling and rehabilitation services. The EAP is available to all agency employees. Procedures exist to ensure the confidentiality of EAP records. Contact your personnel office for further information. It is the intent of the City f Arcadia (your agency)to ensure by execution of this statement of compliance that each employee shall abide by the terms of this drug-free workplace statement. [Section 8355(c)] Drug-Free Workplace Certification STFJ.21 (Revised 7/2015) EXHIBIT D 4s�.. l * ica oEs ,y a' GOVERNO1'S ORRICE ;` OF EMERGENCY SERVICES Standard Assurances For All Cal OES Federal Grant Programs As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the legal authority to apply for federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay any non-federal share of project cost) to ensure proper planning, management and completion of the project described in this application, within prescribed timelines. I further acknowledge that the Applicant is responsible for reviewing and adhering to all requirements within the: (a) Applicable Federal Regulations (see below); (b) Federal Program Notice of Funding Opportunity (NOFO); (c) California Supplement to the NOFO; and (d) Federal and State Grant Program Guidelines. Federal Regulations Government cost principles, uniform administrative requirements and audit requirements for federal grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (C.F.R.).Updates are issued by the Office of Management and Budget (OMB) and can be found at http://www.whitehouse.gov/omb/. Significant state and federal grant award requirements (some of which appear in the documents listed above) are set forth below. The Applicant hereby agrees to comply with the following: 1. Proof of Authority The Applicant will obtain written authorization from the city council, governing board or authorized body in support of this project. This written authorization must specify that the Applicant and the city council, governing board, or authorized body agree: (a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required. (b) Any liability arising out of the performance of this agreement shall be the responsibility of the Applicant and the city council, governing board or authorized body. (c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board or authorized body; and (d) The official executing this agreement is, in fact, authorized to do so. This Proof of Authority must be maintained on file and readily available upon request. Homeland Security Grant Program—2017 Grant Assurances P 11 Initials' 2. Period of Performance The Applicant will initiate work after approval of the award and complete all work within the period of performance specified in the grant. 3. Lobbying and Political Activities As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons entering into a contract, grant, loan or cooperative agreement from an agency or requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan, the Applicant certifies that: (a) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (b) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its instructions. (c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§1501-1508 and §§7324- 7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with federal funds. Finally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation or policy without the express written approval from the California Governor's Office of Emergency Services (Cal OES) or the federal awarding agency. 4. Debarment and Suspension As required by Executive Orders 12549 and 12689, and 2 C.F.R. §200.212 and codified in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the federal government. The Applicant certifies that it and its principal, subgantees, recipients or subrecipients: Homeland Security Grant Program—2017 Grant Assurances Pa 11 Initials (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; (b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (2)(b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transaction (federal, state, or local)terminated for cause or default. Where the Applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 5. Non-Discrimination and Equal Employment Opportunity The Applicant will comply with all federal statutes relating to non-discrimination. These include, but are not limited to, the following: (a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §2000d et. seq.) which prohibits discrimination on the basis of race, color, or national origin and requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services; (b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex in any federally funded educational program or activity; (c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. §794), which prohibits discrimination against those with disabilities or access and functional needs; (d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability and requires buildings and structures be accessible to those with disabilities and access and functional needs (42 U.S.C. §§ 12101-12213.); (e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age; (f) Public Health Service Act of 1912 (42 U.S.C. §§ 290), relating to confidentiality of patient records regarding substance abuse treatment; (g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §3601 et seq.), relating to nondiscrimination in the sale, rental or financing of housing as implemented by the Department of Housing and Urban Development at 24 C.F.R. 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 Homeland Security Grant Program—2017 Grant Assurances P Initials (all units in buildings with elevators and ground-floor units in buildings without elevators)— be designed and constructed with certain accessible features (See 24 C.F.R. § 100.201); ; (h) Executive Order 11246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over$10,000 in Government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin; (i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin in hiring and employment in both the United States federal workforce and on the part of government contractors; (j) California Public Contract Code §10295.3, which prohibits discrimination based on domestic partnerships and those in same sex marriages; (k) DHS policy to ensure the equal treatment of faith-based organizations, under which all applicants and recipients must comply with equal treatment policies and requirements contained in 6 C.F.R. Part 19; (I) Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made; and (m)The requirements of any other nondiscrimination statute(s) which may apply to the application. In addition to the items listed in (a) through (m), the Applicant will comply with California's Fair Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in employment because of ancestry, familial status, race, color, religious creed (including religious dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth, or breastfeeding), gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical disability, genetic information, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave (California Government Code §§ 12940, 12945, 12945.2), military and veteran status, and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions. 6. Drug-Free Workplace As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. §701 et seq.), the Applicant certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined in the Act. 7. Environmental Standards The Applicant will comply with state and federal environmental standards, which may be prescribed pursuant to the following, as applicable: (a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000- 21177), to include coordination with the city or county planning agency; (b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000- 15387); Homeland Security Grant Program—2017 Grant Assurances Pa of 11 Ini ials' (c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters; (d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401)which regulates air emissions from stationary and mobile sources; (e) Institution of environmental quality control measures under the National Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which focuses on the environmental and human health effects of federal actions on minority and low-income populations with the goal of achieving environmental protection for all communities; (f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988; (g) Executive Order 11514 which sets forth national environmental standards; (h) Executive Order 11738 instituted to assure that each federal agency empowered to enter into contracts for the procurement of goods, materials, or services and each federal agency empowered to extend federal assistance by way of grant, loan, or contract shall undertake such procurement and assistance activities in a manner that will result in effective enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive Order 11990 which requires preservation of wetlands; (i) The Safe Drinking Water Act of 1974, (P.L. 93-523); Q) The Endangered Species Act of 1973, (P.L. 93-205); (k) Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.); (I) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section 176(c)of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.); (m)Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to § 13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution. 8. Audits For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F Audit Requirements. 9. Access to Records In accordance with 2 C.F.R. §200.336, the Applicant will give the awarding agency, the Comptroller General of the United States and, if appropriate, the state, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award. Homeland Security Grant Program—2017 Grant Assurances P� 1 Initials ' .r The Applicant will require any subrecipients, contractors, successors, transferees and assignees to acknowledge and agree to comply with this provision. 10. Conflict of Interest The Applicant will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 11. Financial Management False Claims for Payment The Applicant will comply with 31 U.S.0 §§ 3729-3733 which sets forth that no recipient shall submit a false claim for payment, reimbursement or advance. 12. Reporting -Accountability The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (P.L. 109-282), specifically (a)the reporting of subawards obligating $25,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This includes the provisions of FFATA, which includes requirements for executive compensation, and also requirements implementing the Act for the non-federal entity at 2 C.F.R. Part 25 Financial Assistance Use of Universal Identifier and Central Contractor Registration and 2 C.F.R. Part 170 Reporting Subaward and Executive Compensation Information. 13.Whistleblower Protections The Applicant also must comply with statutory requirements for whistleblower protections at 10 U.S.C. §2409, 41 U.S.C. §4712, and 10 U.S.C. §2324, 41 U.S.C. §4304 and §4310. 14. Human Trafficking The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in effect: (2) procuring a commercial sex act during the period of time that the award is in effect: or (3) using forced labor in the performance of the award or subawards under the award. 15. Labor Standards The Applicant will comply with the following federal labor standards: (a) The Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally-assisted construction contracts or subcontracts; and (b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to employees of institutes of higher learning (IHE), hospitals and other non-profit organizations. 16.Worker's Compensation The Applicant must comply with provisions which require every employer to be insured to protect workers who may be injured on the job at all times during the performance of the work of this Homeland Security Grant Program—2017 Grant Assurances P Y 11 Initial Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et seq. 17. Property-Related If applicable to the type of project funded by this federal award, the Applicant will: (a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of federal participation in purchase; (b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires subrecipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more; (c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.); and (d) Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures. 18. Certifications Applicable Only to Federally-Funded Construction Projects For all construction projects, the Applicant will: (a) Not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the federal awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with federal assistance funds to assure nondiscrimination during the useful life of the project; (b) Comply with the requirements of the awarding agency with regard to the drafting, review and approval of construction plans and specifications; and (c) Provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State. 19. Use of Cellular Device While Driving is Prohibited Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These laws prohibit driving a motor vehicle while using an electronic wireless communications device to write, send, or read a text-based communication. Drivers are also prohibited from the use of a wireless telephone without hands-free listening and talking, unless to make an emergency call to 911, law enforcement, or similar services. Homeland Security Grant Program—2017 Grant Assurances PaT 1 Initials 20. California Public Records Act and Freedom of Information Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program, or provided in the course of an entity's grant management activities that are under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act, California Government Code section 6250 et seq. The Applicant should consider these laws and consult its own State and local laws and regulations regarding the release of information when reporting sensitive matters in the grant application, needs assessment, and strategic planning process. HOMELAND SECURITY GRANT PROGRAM - PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS 21. Reporting Accusations and Findings of Discrimination If during the past three years the recipient has been accused of discrimination on any basis the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS Financial Assistance Office and the DHS Office for Civil Rights and Civil Liberties (CRCL) by e-mail at crcl(7a,hq.dhs.gov or by mail at U.S. Department of Homeland Security Office for Civil Rights and Civil Liberties, Building 410, Mail Stop #0190, Washington, D.C. 20528. If the courts or administrative agencies make a finding of discrimination on grounds of race, color, national origin (including LEP), sex, age, disability, religion, or familial status against the recipient, or the recipients settle a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS Financial Assistance Office and the CRCL by e-mail or mail at the addresses listed above. The United States has the right to seek judicial enforcement of these obligations. 22.Acknowledgment of Federal Funding from DHS All recipients must acknowledge their use of federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds. 23.Activities Conducted Abroad All recipients must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. 24. Best Practices for Collection and Use of Personally Identifiable Information (PII) DHS defines personally identifiable information (PII) as any information that permits the identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual. All recipients who collect PII are required to have a publically-available privacy policy that describes standards on the usage and maintenance of PII they collect. Recipients may also Homeland Security Grant Program—2017 Grant Assurances P 11 Initial ' find the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template a useful resource respectively. 25. Copyright All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an acknowledgement of U.S. Government sponsorship (including the award number) to any work first produced under federal financial assistance awards. 26. Duplication of Benefits Any cost allocable to a particular federal financial assistance award provided for in 2 C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance awards to overcome fund deficiencies, to avoid restrictions imposed by federal statutes, regulations, or federal financial assistance award terms and conditions, or for other reasons. However, these prohibitions would not preclude recipients from shifting costs that are allowable under two or more awards in accordance with existing federal statutes, regulations, or the federal financial assistance award terms and conditions. 27. Energy Policy and Conservation Act All recipients must comply with the requirements of 42 U.S.C. §6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act. 28. Federal Debt Status All recipients are required to be non-delinquent in their repayment of any federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A-129. 29. Fly America Act of 1974 All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B-138942 30. Hotel and Motel Fire Safety Act of 1990 In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all recipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. §2225a. Homeland Security Grant Program—2017 Grant Assurances Pe�of�11 Initials ' 31. Non-supplanting Requirements All recipients who receive federal financial assistance awards made under programs that prohibit supplanting by law must ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non-federal sources. 32. Patents and Intellectual Property Rights Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L. No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard patent rights clause located at 37 C.F.R. § 401.14. 33. SAFECOM All recipients who receive federal financial assistance awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. 34.Terrorist Financing All recipients must comply with Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. Recipients are legally responsible to ensure compliance with the Order and laws. 35. Reporting of Matters Related to Recipient Integrity and Performance If the total value of the recipient's currently active grants, cooperative agreements, and procurement contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the period of performance of this federal financial assistance award, you must comply with the requirements set forth in the government-wide Award Term and Condition for Recipient Integrity and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is incorporated here by reference in the award terms and conditions. 36. USA Patriot Act of 2001 All recipients must comply with requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. 37. Use of DHS Seal, Logo, and Flags All recipients must obtain permission from their DHS Financial Assistance Office, prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. Homeland Security Grant Program—2017 Grant Assurances Pa y 11 Initials IMPORTANT The purpose of the assurance is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in this assurance. This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds. All appropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above. All of the language contained within this document must be included in the award documents for all subawards at all tiers. All recipients are bound by the Department of Homeland Security Standard Terms and Conditions 2017, Version 7.0, hereby incorporated by reference, which can be found at: https://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions. The undersigned represents that he/she is authorized by the Applicant to enter into this agreement for and on behalf of the said Applicant. Applicant: City of Arcadia Signature of Authorized Agent: Printed Name of Authorized Agent: Dominic-La7zare+to Title: City Manager Date: Cc cot34 31 25:4 Homeland Security Grant Program—2017 Grant Assurances Pa e-1 Initials EXHIBIT D COUNTY OF LOS ANGELES 2017 CERTIFICATION OF GRANT ASSURANCES As the duly authorized representative of the Subrecipient, I hereby certify Subrecipient's complete acceptance of Exhibit D, and agreement to abide by all provisions, assurances, conditions and requirements of the Grant Assurances therein. BY ' _ Jo. Dominic Lazzaretto Oe.XpR City Representative i le(Signature) (Print Name) Date City Manager APPROVED AS TO FORM BY r' , ; 'tc'ti.�. J 40 1.1 Stephen P. Deitsch ( 3 L7 / City A orney(Signature) (Print Name) Date ATTEST r Lisa Mussendenlb 1 24118 City Clerk(Signature) (Print Name) D e HOA.102204513.1 EXHIBIT E EDMUND G.BROWN JR. MARK S.G!"IILARDUCCI GOVERNOR DIRECTOR �' ES 0vFRMGR S SEEICE 0" s ERGZN 1 SERVICES October 20, 2017 Sachi Hamai Chief Executive Office Los Angeles County 500 West Temple Street, Room 713 Los Angeles, CA 90012 SUBJECT: NOTIFICATION OF SUBRECIPIENT AWARD APPROVAL Fiscal Year(FY)2017 Homeland Security Grant Program Grant#2017-0083,Cal OES ID#037-00000 Subrecipient Performance Period: September 1, 2017, to May 31,2020 Dear Ms. Hamai: The California Governor's Office of Emergency Services (Cal OES)approved your FY 2017 Homeland Security Grant Program(HSGP)award in the amount of$10,308,294. Once your completed application is received and approved, you may request reimbursement of eligible grant expenditures using the Cal OES Financial Management Forms Workbook available at www.caloes.ca.gov. During the review process, a Cal OES Program Representative will examine and evaluate your FY 2017 HSGP grant application. Throughout the grant cycle, Cal OES will use performance milestones set in the Department of Homeland Security/Federal Emergency Management Agency Grants Reporting Tool (GRT)as indicators of performance and grant management capacity and this information may be used in assessing future competitive grant applications. All activities funded with this award must be completed within the Subrecipient performance period. You are required to comply with all applicable federal, state, and local environmental and historic preservation(DIP)requirements. Additionally, Aviation/Watercraft requests, Establish/Enhance Emergency Operations Center projects,projects requiring EHP review, and sole source procurement requests and controlled equipment requests require additional approvals from Cal OES. Subrecipients must obtain written approval for these activities prior to incurring any costs, in order to be reimbursed for any related costs under this grant. Subrecipients are also required to obtain a performance bond prior to the purchase of any equipment item over $250,000, including any aviation or watercraft financed with homeland security dollars. Performance bonds must be submitted to your Program Representative no later than the time of reimbursement. 3650 SCHRIEVER AVENUE,MATHER,CA 95655 (916)845-8506 TELEPEIONE,(916)845-8511 FAx Sachi Hamai October 20, 2017 Page 2 of 2 Following acceptance of this award, you must enter your grant information into the GRT for the Biannual Strategy Implementation Report(BSIR) period. The GRT can be accessed online at https://www.reporting.odp.dhs.gov/. Your agency must prepare and submit the BSIR to Cal OES via the GRT semi-annually for the duration of the grant performance period or until you complete all activities and the grant is formally closed. Failure to submit required reports could result in grant reduction, suspension, or termination. This grant is subject to all provisions of 2 CFR Part 200, Subpart F—Audit Requirements. Any funds received in excess of current needs, approved amounts, or those found owed as a result of a final review or audit, must be refunded to the State within 30 days upon receipt of an invoice from Cal OES. Your dated signature is required on this letter. Please sign and return the original to your Cal OES Program Representative within 20 days of receipt and keep a copy for your files. For further assistance,please feel free to contact your Cal OES Program Representative or the Homeland Security Grants Unit at(916) 845-8186. Sincerely, Ca/ MARK S. GHILARDUCCI Director Si chi lanai Date Los Angeles County 0 0 a 0 t .1 a -0 Ns. a ni m' m a u -o u v N O O j O > y .. O O o O O "O V rj L0 to p z V, 0 z 0 an t\ C w C rn H j C Y 0 Y a0a R7 y -0 a ra a) of 1a a, o N; 1- = V = V O a, N' z O F. 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M O i_ ,i o * O O N .-1 N O L C , Otte, ,,,, ._ C '6 a) CO V a w ., — n w rn= m co=0 10 ' a) m u '° ui -. m a) ' o i= N to a LL a C a`x1 tt1iiHiI ustVa0 m11; a' va >J � 9 E 0H m F B afa w a, V a> rX a7 o vi-0 t a 7 7 . _ j a� o C j C a) C a ma .C.. ! E ! C — l\L = N O Q N 'O U O U N (a w c _ E n— a w w . o v Ev M J a v am vNr UmFv ..u a a o y ti N a, a,a, . ap o'p o O N O O r1 o o_ o. o o c I I EXHIBIT F The U.S.Department of Homeland Security(DHS) Notice of Funding Opportunity(NOFO) Fiscal Year 2017 Homeland Security Grant Program (HSGP) NOTE: Eligible recipients who plan to apply for this funding opportunity but who have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management(SAM),should take immediate action to obtain a DUNS Number,if applicable,and then to register immediately in SAM. New registration can take an average of 7-10 business days to process in SAM. SAM must send out some information for validation with outside parties before your registration can be activated;this includes Taxpayer Identification Number(TIN)validation with the Internal Revenue Service (IRS)and Commercial and Government Entity(CAGE) validation/assignment with the Department of Defense(DoD). This timeframe may be longer if the information you provide is flagged for manual validation by either party. If you notice your registration has had a `Submitted' status for longer than 10 business days, and you have not otherwise been contacted to correct or update information, please contact the Federal Service Desk at 866-606-8220 or https://www.fsd.gov. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at: http://www.Grants.gov/web/grants/register.html. Detailed information regarding DUNS and SAM is also provided in Section D of this NOFO, subsection, Content and Form of Application Submission. A. Program Description Issued By U.S. Department of Homeland Security(DHS), Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD) Catalog of Federal Domestic Assistance (CFDA)Number 97.067 CFDA Title Homeland Security Grant Program (HSGP) Notice of Funding Opportunity Title Fiscal Year 2017 Homeland Security Grant Program • State Homeland Security Program (SHSP) • Urban Area Security Initiative (UASI) • Operation Stonegarden(OPSG) NOFO Number DHS-17-GPD-067-00-01 Authorizing Authority for Program Section 2002 of the Homeland Security Act of 2002, as amended (Pub. L.No. 107-296) (6 U.S.C. § 603) Page 1 of 86 FY 2017 HSGP NOFO Appropriation Authority for Program Department of Homeland Security Appropriations Act, 2017 (Pub. L. No. 1 1 5-3 I) Program Type New Program Overview,Objectives, and Priorities Overview The purpose of the Fiscal Year(FY)2017 HSGP is to support state, local and tribal efforts to prevent terrorism and other catastrophic events and to prepare the Nation for the threats and hazards that pose the greatest risk to the security of the United States. References to these priorities can be found throughout this document. The FY 2017 HSGP provides funding to implement investments that enhance terrorism preparedness and serve to build, sustain, and deliver the 32 core capabilities essential to achieving the National Preparedness Goal(the Goal)of a secure and resilient Nation. The building, sustainment, and delivery of these core capabilities are not exclusive to any single level of government, organization, or community, but rather, require the combined effort of the whole community, inclusive of children, individuals with disabilities and others with access and functional needs, diverse communities, and people with limited English proficiency. The FY 2017 HSGP supports the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery based on allowable costs. The FY 2017 HSGP will provide federal funds to assist state, local,tribal, and territorial agencies to obtain the resources required to support implementation of the National Preparedness System (NPS)and the Goal of a secure and resilient Nation. Among the five basic homeland security missions noted in the DHS Quadrennial Homeland Security Review, HSGP supports the goal to Strengthen National Preparedness and Resilience. HSGP is comprised of three grant programs: • State Homeland Security Program (SHSP) • Urban Area Security Initiative (UASI) • Operation Stonegarden (OPSG) Together,these grant programs fund a range of activities, including planning, organization, equipment purchase,training, exercises, and management and administration across all core capabilities and mission areas. Objectives • State Homeland Security Program (SHSP): The SHSP assists state,tribal, territorial, and local preparedness activities that address high-priority preparedness gaps across all core capabilities that support terrorism preparedness. All supported investments are based on capability targets and gaps identified during the Threat and Hazard Identification and Risk Assessment(THIRA)process, and assessed in the State Preparedness Report(SPR). Page 2 of 86 FY 2017 HSGP NOFO • Urban Area Security Initiative(UASI): The UASI program assists high-threat, high-density Urban Areas in efforts to build, sustain, and deliver the capabilities necessary to prevent, protect against, mitigate, respond to, and recover from acts of terrorism. • Operation Stonegarden (OPSG): The OPSG Program supports enhanced cooperation and coordination among Customs and Border Protection (CBP), United States Border Patrol (USBP), and Federal, state, local, tribal, and territorial law enforcement agencies. The OPSG Program provides funding to support joint efforts to secure the United States' borders along routes of ingress from international borders to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. All three programs are risk-driven, capabilities-based and outline high-priority needs relating to terrorism preparedness. For these programs to be effective, government officials and elected leaders,working with the whole community, must consider how to sustain current capability levels, while also addressing potential gaps. Priorities The Goal defines what it means for the whole community to be prepared for all types of disasters and emergencies. The NPS is the instrument the Nation employs to build, sustain, and deliver core capabilities in order to achieve the Goal of a secure and resilient Nation. Complex and far-reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities,private and nonprofit sectors, faith-based organizations, and all levels of government. The guidance,programs, processes, and systems that support each component of the NPS allows for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. DHS/FEMA publishes the annual National Preparedness Report(NPR)to communicate progress in building, sustaining, and delivering the core capabilities outlined in the Goal. This analysis provides a National perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of shared concern. The NPR can be found at http://www.fema.gov/national-preparedness-report. In developing applications for the FY 2017 HSGP, recipients should consider funding projects that address core capability gaps within the NPR national areas for improvement that relate to terrorism preparedness, including: • Cybersecurity; • Infrastructure Systems; • Economic Recovery; • Housing; and • Natural and Cultural Resources. Page 3 of 86 FY 2017 HSGP NOFO In addition, DHS/FEMA requires recipients to prioritize investments that address capability targets and gaps identified through the annual THIRA and SPR process. These assessments set capability targets and measure current ability to-meet those targets. Minimum funding amounts are not prescribed by the DHS for these capability targets and gaps; however, recipients must support state, local,tribal,regional, and national efforts in achieving the desired outcomes of these priorities. Grant funds must clearly support resources the recipients need to achieve the THIRA targets and close capability gaps. Appendix B-Program Priorities addresses additional areas where funding can be applied to strengthen preparedness efforts. B. Federal Award Information Award Amounts,Important Dates,and Extensions Available Funding for the HSGP NOFO: $1,037,000,000 HSGP Programs FY 2017 Allocation State Homeland Security Program $402,000,000 Urban Area Security Initiative $580,000,000 Operation Stonegarden $55,000,000 Total $1,037,000,000 For details on program-specific funding amounts, refer to Appendix A—FY 2017 Program Allocations. Period of Performance: Thirty-six(36)months Extensions to the Period of Performance (PoP) are allowed. For additional information on PoP extensions, refer to Section H—Additional Information of this NOFO. Projected Period of Performance Start Date: September 1, 2017 Projected Period of Performance End Date: August 31,2020 Funding Instrument: Grant Page 4 of 86 FY 2017 HSGP NOFO C. Eligibility Information Eligible Applicants -All 56 states and territories,which includes any state of the United States,the District of Columbia,the Commonwealth of Puerto Rico,the U.S. Virgin Islands, Guam,American Samoa, and the Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. For those states that are eligible for UASI and OPSG funding, the State Administrative Agency(SAA) is the only entity eligible to submit applications to DHS/FEMA on behalf of UASI and OPSG applicants. A list of eligible UASIs and OPSG States can be found in Appendix A. Tribal governments may not apply directly for HSGP funding; however, funding may be available to tribes under the SHSP and OPSG through the SAA. Eligibility Criteria Eligible high-risk Urban Areas for the FY 2017 UASI program have been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSAs) in the United States. Sub-awards will be made by the SAA to the designated Urban Areas identified in Appendix A - FY 2017 Program Allocations. Eligible sub-recipients under the FY 2017 OPSG Program are local units of government at the county level or equivalent level of government and Federally-recognized tribal governments in states bordering Canada or Mexico and states and territories with international water borders. All applicants must have active ongoing USBP operations coordinated through a CBP sector office to be eligible for OPSG funding. Under the FY 2017 OPSG Program, subrecipients eligible to apply for and receive a subaward directly from the SAA are divided into three Tiers. Tier 1 entities are local units of government at the county level or equivalent and Federally-recognized tribal governments that are on a physical border in states bordering Canada, states bordering Mexico, and states and territories with international water borders. Tier 2 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 1 county. Tier 3 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 2 eligible subrecipient. Tier 2 and Tier 3 eligible subrecipients may be eligible to receive funding based on border security risk as determined by the USBP, as described in Section E of the NOFO. Other Eligibility Criteria National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2017, recipients must ensure and maintain adoption and implementation of NIMS. FEMA describes the specific training and activities involved in NIMS implementation in the NIMS Training Program (https://www.fema.gov/training-0)and the NIMS Implementation Objectives (https://www.fema.gov/implementation-guidance-and-reporting,). Page 5 of 86 FY 2017 HSGP NOFO Incident management activities require carefully managed resources(personnel, teams, facilities, equipment and/or supplies). Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities. Recipients should manage resources purchased or supported with FEMA grant funding according to NIMS resource management guidance. In addition, Comprehensive Preparedness Guide (CPG)201: Threat and Hazard Identification and Risk Assessment Guide, Second Edition,available at http://www.fema.gov/threat-and-hazard-identification-and-risk- assessment, emphasizes how communities can use THIRA results to make decisions about how to allocate limited resources. Additional information on resource management and NIMS resource typing definitions and job titles/position qualifications is on DHS/FEMA's website under http://www.fema.gov/resource-manag.ement-mutual-aid. Emergency Management Assistance Compact(EMAC)Membership In support of the Goal, recipients must belong to, be located in, or act as a temporary member of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 2017 HSGP funding must be readily deployable and NIMS typed when possible to support emergency or disaster operations per existing EMAC agreements. In addition, funding may be used for the sustainment of core capabilities that,while they may not be physically deployable, support national response capabilities such as Geographic/Geospatial Information Systems(GIS), interoperable communications systems, capabilities as defined under the mitigation mission area of the Goal, and fusion centers. Law Enforcement Terrorism Prevention Activities (LETPA) Per section 2006 of the Homeland Security Act of 2002, as amended(6 U.S.C. § 607), DHS/FEMA is required to ensure that at least 25 percent(25%)of grant funding appropriated for grants awarded under HSGP's authorizing statute are used for law enforcement terrorism prevention activities. DHS/FEMA meets this requirement, in part, by requiring all SHSP and UASI recipients to ensure that at least 25 percent(25%)of the combined HSGP funds allocated under SHSP and UASI are dedicated towards law enforcement terrorism prevention activities, as defined in 6 U.S.C. § 607. The LETPA allocation can be from SHSP,UASI, or both. This requirement does not include award funds from OPSG. Please refer to Appendix A— FY 2017 Program Allocations for LETPA minimum allocations for SHSP and UASI by jurisdiction. The 25 percent(25%) LETPA allocation is in addition to the 80 percent(80%)pass through requirement to local units of government and Tribes, referenced below. The National Prevention Framework describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, in order to thwart an initial or follow on terrorist attack, and provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eligible for use Page 6 of 86 FY 2017 HSGP NOFO as LETPA focused funds. In addition, where capabilities are shared with the protection mission area,the National Protection Framework activities are also eligible. Other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator. Cost Share or Match There is no cost share or match requirement for the FY 2017 HSGP. D. Application and Submission Information Key Dates and Times Date Posted to Grants.2uv: June 2,2017 Application Submission Deadline: June 22,2017, 5:00 p.m. EDT All applications must be received by the established deadline. The Non-Disaster(ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of the full application. In general, DHS/FEMA will not review applications that are not received by the deadline or consider them for funding. DHS/FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant's control that prevent submission of the application by the deadline, or other exigent or emergency circumstances. If there are technical issues, please notify the respective FEMA Headquarters (HQ) Program Analyst before the application deadline. Applicants should contact the Centralized Scheduling and Information Desk(CSID) for FEMA HQ Program Analyst contact information. CSID can be reached by phone at(800) 368-6498 or by e-mail at askcsid@,dhs.gov, Monday through Friday, 9:00 a.m.—5:00 p.m. EDT. Anticipated Funding Selection Date: September 1,2017 Anticipated Award Date: No later than September 30, 2017 Address to Request Application Package Application forms and instructions are available at Grants.gov (hard copies of the NOFO and associated application materials are not available). To access these materials, go to Grants.gov, select"Applicants"then"Apply for Grants." In order to obtain the application package, select"Download a Grant Application Package."Enter the CFDA and/or the funding opportunity number located on the cover of this NOFO, select "Download Package,"and then follow the prompts to download the application package. Applicants experiencing difficulties accessing information or who have any questions, should call the Grants.gov customer support hotline at(800) 518-4726. Page 7 of 86 FY 2017 HSGP NOFO In addition,the Telephone Device for the Deaf(TDD)and/or Federal Information Relay Service (FIRS)number available for this Notice is: (800)462-7585. Applications will be processed through the Grants.gov portal and DHS/FEMA's ND Grants System. Content and Form of Application Submission Applying for an award under this program is a multi-step process. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Failure of an applicant to comply with any of the required steps before the application deadline may disqualify their application from funding. The steps involved in applying for an award under this program are: 1. Applying for, updating, or verifying their Data Universal Numbering System (DUNS)Number; 2. Applying for, updating, or verifying their Employer ID Number(EIN); 3. Updating or verifying their System for Award Management(SAM) Registration; 4. Establishing an Authorized Organizational Representative(AOR)in Grants.gov; 5. Submitting an initial application in Grants.gov; and 6. Submitting the final application in the ND Grants system. Each of the required steps associated with the application process are explained in the sections below. Unique Entity Identifier and System for Award Management(SAM) Before applying for a DHS/FEMA grant at Grants.gov, applicants must have a DUNS number, be registered in SAM, and be approved as an AOR. The steps for completing these pre-application processes are outlined below. NOTE: Applicants are encouraged to register early. The pre-application registration processes can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact the applicant's ability to meet required submission deadlines. Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS)Number The DUNS number must be included in the data entry field labeled "Organizational DUNS" on the SF-424 form. Instructions for obtaining a DUNS number can be found at the following website: http://www.Grants.gov//web/grants/applicants/organization- registration/step-l-obtain-duns-number.html. The applicant must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Applicants should verify they have a DUNS number, or take the steps necessary to obtain one. Applicants can receive a DUNS number at no cost by calling the DUNS number request line at 866- Page 8 of 86 FY 2017 HSGP NOFO 705-5711. DHS/FEMA cannot assist applicants with questions related to obtaining a current DUNS number. Obtain an Employer Identification Number(EIN) DHS/FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and for grant award payment; both EIN and DUNS are also required to register with SAM(see below). The EIN base for an organization is the Internal Revenue Service(IRS)Tax ID number, for individuals it is their social security number, (both the EIN and social security number are nine-digit numbers). Organizations and individuals submitting their applications must correctly differentiate the EIN from the DUNS number since both are nine-digit numbers. If these numbers are not correctly identified in the application, a delay in the issuance of the funding award or incorrect payment to a recipient organization may result. Organizations applying for an EIN should plan on a minimum of two full weeks to obtain an EN. For assistance in registering an EIN please contact the IRS helpline. DHS/FEMA cannot assist applicants with questions related to obtaining a current EIN. Register with the System for Award Management(SAM) Applicants applying for grant funds electronically through Grants.gov must register with SAM. Step-by-step instructions for registering with SAM can be found here: http://www.Grants.gov/web/grants/app l icants/organization-regi stration/step-2-regi ster- with-sam.html. All applicants must register with SAM in order to apply online. Failure to register with the SAM will result in the application being rejected by Grants.gov during the submissions process. Payment under any DHS/FEMA award is contingent on the recipient's having a current SAM registration. The SAM registration process must be completed by the applicant. It is imperative that the information provided by the applicant is correct and current. Please ensure that the organization's name, address, DUNS number, and EN are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other DHS/FEMA awards. SAM registration is a multi-step process including validating the EIN with the IRS to obtain a Commercial and Government Entity(CAGE)code. The CAGE code is only valid for one year after issuance and must be current at the time of application. SAM sends notifications to the registered user via email 60, 30, and 15 days prior to expiration of the SAM registration for the Entity. SAM registration may lapse due to inactivity. To update or renew the Entity records(s) in SAM applicants will need to create a SAM User Account and link it to the migrated Entity records. For assistance registering, please go to SAM or call 866-606-8220. DHS/FEMA cannot assist applicants with questions related to registering in SAM or obtaining a current CAGE code. Page 9 of 86 FY 2017 HSGP NOFO Authorized Organizational Representative(AOR) The next step in the registration process is creating ausername and password with Grants.gov to become an AOR. AORs will need to know the DUNS number of the organization for which they will be submitting applications to complete this process. Applicants must register the individual who is able to make legally binding commitments for the applicant organization as the AOR;this step is often missed and it is crucial for valid submissions. To read more detailed instructions for creating a profile on Grants.gov visit: http://www.Grants.gov/web/grants/applicants/organization- registration/step-3-username-password.html. AOR Authorization After creating a profile on Grants.gov,the E-Biz Point of Contact(POC)who is a representative from the applicant organization listed as the contact for SAM, will receive an email to grant the AOR permission to submit applications on behalf of the organization. The E-Biz POC will then log in to Grants.gov and approve an individual as the AOR,thereby granting permission to submit applications. To learn more about AOR Authorization, visit: http://www.Grants.gov/web/grants/applicants/organization- registration/step-4-aor-authorization.html. To track an AOR status, visit: http://www.Grants.gov/web/grants/applicants/organization-registration/step-5-track-aor- status.html. Electronic Signature Applications submitted through Grants.gov constitute an electronically signed application. When submitting the application through Grants.gov,the name of the applicant's AOR will be inserted into the signature line of the application. Applicants experiencing difficulties accessing information or who have questions should call the Grants.gov customer support hotline at(800)518-4726 or email Grants.gov at mai Ito:support(a;Grants.gov. The Federal awarding agency may not make a Federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award,the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award. Submitting an Initial Application in Grants.gov Following completion of the procedures above, all applicants must submit their initial application through Grants.gov. Applicants may need to first create a Grants.gov user profile by visiting the Get Registered section of the Grants.gov website. Successful completion of this step is necessary for DHS/FEMA to determine eligibility of the applicant. Applicants should complete this initial step on-line which requires completing: • Standard Form 424 (SF-424),Application for Federal Assistance, and • Grants.gov Certification Regarding Lobbying Form. Page 10 of 86 FY 2017 HSGP NOFO Both forms are available in the Forms tab under SF-424 Family. The initial application cannot be started or submitted in Grants.gov unless the applicant's registration in SAM is confirmed. The information submitted in Grants.gov will be retrieved by ND Grants,which will allow DHS/FEMA to determine if an applicant is eligible. Applicants are encouraged to submit their initial application in Grants.gov at least ten days before the June 22, 2017,application deadline. Applicants experiencing difficulties accessing information should call the Grants.gov customer support hotline at 800-518-4726 or email Grants.gov at support@grants.gov. DHS/FEMA cannot assist applicants with questions related to registering with Grants.gov. Submitting the Final Application in ND Grants After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/FEMA after the initial application is submitted in Grants.gov and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. In ND Grants applicants will be prompted to submit all of the information contained in the following forms. Applicants should review these forms before applying to ensure they have all the information required: • Standard Form 424A, Budget Information(Non-construction); • Standard Form 424B, Standard Assurances(Non-construction); and • Standard Form LLL, Disclosure of Lobbying Activities. In addition, applicants must submit copies of the following in ND Grants: • Investment Justification;and • Indirect Cost Agreement, if applicable. Applicants must submit copies of the following in ND Grants, if applying for construction projects: • Standard Form 424C, Budget Information(Construction); and • Standard Form 424D, Standard Assurances(Construction). Applicants needing assistance registering for the ND Grants system should contact ndgrantsra`fema.gov or(800) 865-4076. Page 11 of 86 FY 2017 HSGP NOFO HSGP Specific Application Instructions Development of the Investment Justification (SHSP and UASI) As part of the FY 2017 HSGP application process for-SHSP and UASI funds, applicants must develop formal investment justifications(IJs)that address the proposed investments. Each IJ must demonstrate how proposed investments: • Support terrorism preparedness; • Address capability gaps identified as State priorities in the most recent SPR (applicable to states only); • Align resources that support targets set in the Urban Area, state, and/or regional THIRAs and national priorities, as outlined in the NPR; and • Engage and/or impact the whole community, including children, older adults, pregnant women, individuals with limited English proficiency, individuals with disabilities and others with access and functional needs, and ensure the protection of civil rights in the building, sustainment, and delivery of core capabilities. Each IJ must explain how the proposed investments will support the applicant's efforts to: • Prevent a threatened or an actual act of terrorism; • Prepare for all hazards and threats,while explaining the nexus to terrorism preparedness; • Protect citizens, residents, visitors, and assets against the greatest threats and hazards, relating to acts of terrorism; and/or • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an act of terrorism or other catastrophic incident. Alignment of Proposed Investments to the THIRA(SHSP and UASI) As noted above, investments and projects must clearly address capability targets identified in the THIRA and gaps noted in the SPR. • When completing investment level information, applicants must identify the most relevant portions of their THIRA, SPR(States only) and Capability Estimation and explain how the proposed investment will address at least one of the identified capability gaps. The applicant should use page numbers and reference specific sections of the THIRA. Development of Investments and Projects (SHSP) • Applicants must propose at least one and include up to 10 investments. • Applicants must propose at least one project within each investment in their IJ to describe the activities they would plan to implement with SHSP funds. There is no limit to the number of projects that may be submitted. • Any projects funded with SHSP funds that are not included in the application must subsequently be included in the first Biannual Strategy Implementation Page 12 of 86 FY 2017 HSGP NOFO Report(BSIR). For further information on the BSIR, refer to Section F, subsection Program Performance Reporting Requirements of this NOFO. • Of the proposed investments,recipients using SHSP funds are required to propose one (1) single investment in support of a designated fusion center that will be funded by SHSP funds. Recipients must coordinate with the fusion center when developing a fusion center investment prior to submission. • Recipients investing in emergency communications must describe how activities align to their Statewide Communication Interoperable Plan(SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator(SWIC)and/or Statewide Interoperability Governance Body(SIGB)when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. Development of Investments and Projects(UASI) • Applicants must propose at least one and include up to 10 investments. • Urban Areas must propose at least one project within each investment in their IJ to describe the activities they are planning to implement with UASI funds. There is no limit to the number of projects that may be submitted. Any projects funded with UASI funds that are not included in the application must subsequently be included in the first BSIR. • Of the proposed 10 investments, Urban Areas are required to propose one(1) single investment in support of a designated fusion center within the Urban Area, if applicable. Recipients must coordinate with the fusion center when developing a fusion center investment prior to submission. • If UASI funds are used by the SAA in support of the Urban Area, the SAA must, as part of the list of proposed investments, describe how UASI funds will be used by the SAA to directly support the Urban Area. • Recipients investing in emergency communications must describe how activities align to the SCIP. Recipients must coordinate with the SWIC and/or SIGB when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. Completing IJs in the Grant Reporting Tool (GRT) (SHSP and UASI) The IJ Planning Guide contains the IJ template and instructions for collecting the required information for investments and projects. A fillable version of the IJ template can be obtained from the FEMA HQ Program Analyst. Applicants should contact the Centralized Scheduling and Information Desk(CSID) for FEMA HQ Program Analyst contact information. CSID can be reached by phone at 800-368-6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 9:00 a.m.—5:00 p.m. EDT. Additionally, applicants should utilize the Project Worksheet to assemble the information required for each project,which will facilitate the input of that information into the GRT. For more information on how to complete IJs, refer to the Investment Justification Planning Guide located on fema.gov/grants. Page 13 of 86 FY 2017 HSGP NOFO Development of Concept of Operations for OPSG As part of the FY 2017 OPSG application process, each eligible local unit of government at the county or Federally-recognized tribal government level must develop a strategic plan called a Concept of Operations(CONOP)/Application,which is a formal proposal of action to address a specific situation and forms the basis for Operations Orders (discussed below), in coordination with state and Federal law enforcement agencies,to include, but not limited to CBP/USBP. CONOPs that are developed at the county level should be inclusive of city, county,tribal,and other local law enforcement agencies that are eligible to participate in OPSG operational activities,and the CONOP/Application should describe participating agencies in the Executive Summary. CONOP/Application details should include the names of the agencies, points of contact,and individual funding requests. All CONOPs/Applications must be developed in collaboration with the local USBP sector office,the SAA and the local unit of government. Requests for funding in CONOPs/Applications must be based on risks and the operational enforcement support requirements of its corresponding USBP Sector. Sector offices will forward the CONOPs to USBP Headquarters for vetting and coordination. Applicants will forward corresponding OPSG Applications to the SAA for submission to FEMA. USBP Headquarters will reconcile all submitted CONOPs with the OPSG Applications. For more information, refer to Appendix D—FY 2017 OPSG Operations Order Template and Instructions and Appendix E—OPSG Operational Guidance of this NOFO. Intergovernmental Review An intergovernmental review may be required. Applicants must contact their state's Single Point of Contact(SPOC)to comply with the state's process under Executive Order 12372(see http://www.fws.gov/policy/library/rgeoI2372.pdf). Name and addresses of the SPOCs are maintained at the Office of Management and Budget's home page at http://www.whitehouse.gov/omb/grants spoc to ensure currency. Funding Restrictions Federal funds made available through this award may be used only for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other Federal award, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the Federal Government or any other government entity. Additionally,DHS/FEMA has issued IB 407a: Use of Grant Funds for Controlled Equipment: Update for Fiscal Year 2017, which has placed further restrictions on controlled equipment. For more information on the Controlled Equipment List and Prohibited Equipment, see Appendix C - Funding Guidelines. Environmental Planning and Historic Preservation (EHP)Compliance As a Federal agency, DHS/FEMA is required to consider the effects of its actions on the environment and/or historic properties to ensure that all activities and programs funded by the agency, including grant funded projects, comply with federal EHP regulations, laws and Executive Orders as applicable. Recipients and sub-recipients proposing projects that have the potential to impact the environment, including but not limited to Page 14 of 86 FY 2017 HSGP NOFO construction of communication towers,modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities, must participate in the DHS/FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with supporting documentation so that DHSIFEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, DHS/FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project; otherwise, DHS/FEMA may not be able to fund the project due to non-compliance with EHP laws, executive order, regulations and policies. Additionally, all recipients are required to comply with GPD EHP Policy Guidance. This EHP Policy Guidance can be found in FP 108-023-1 at https://www.fema.gov/media- library/assets/documents/85376.and GPD EHP Compliance and Reference Documentation at: https://www.fema.gov/environmental-planning-and-historic- preservation-compliance. SAFECOM Recipients and subrecipients who receive awards under HSGP that wholly or partially provide funding for emergency communication projects and related activities must comply with Appendix D of the SAFECOM Guidance on Emergency Communications Grants. Appendix D outlines requirements for any FEMA recipient using funds for emergency communication activities. These requirements include alignment to national and state communications plans, project coordination, and technical standards for emergency communications technologies. The SAFECOM Guidance is intended to ensure that Federally-funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. The signatory authority for the SAA must certify in writing to DHS/FEMA their compliance with the SAFECOM Guidance on Emergency Communications Grants, specifically Appendix D. This letter should be coordinated with the SWIC or SWIC equivalent for each State. Funds Transfer Restriction The recipient is prohibited from transferring funds between programs (includes SHSP, UASI, and OPSG). Recipients are allowed to submit an investment/project where funds come from multiple funding sources (i.e., SHSP/UASI); however,recipients are not allowed to divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS/FEMA. For additional details on restrictions on the use of funds, refer to Appendix C—Funding Guidelines. Indirect(Facilities &Administrative IF&A])Costs Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate agreement with their cognizant federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's Page 15 of 86 FY 2017 HSGP NOFO cognizant federal agency) is required at the time of application, and must be provided to DHS/FEMA before indirect costs are charged to the award. Pre-award Costs Pre-award costs are allowable only with the prior writien approval of DHS/FEMA and as included in the award agreement. To request pre-award costs a written request must be included with the application, signed by the Authorized Representative of the entity. The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval. Cost Principles Costs charged to this award must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. Direct Costs Planning Planning related costs are allowed under this program only as described in this NOFO. Organization Organization related costs are allowed under this program only as described in this NOFO. Equipment Equipment related costs are allowed under this program only as described in this NOFO. Training Training related costs are allowed under this program only as described in this NOFO. Exercises Exercise related costs are allowed under this program only as described in this NOFO. Personnel Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable HSGP planning,training, exercise, and equipment activities. Under the OPSG Program, overtime costs are allowable only in so far as they meet the intent of the program. Recipients and sub-recipients may not use more than 50%of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50%personnel cap, please see FP 207-093-1, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412—the PRICE Act)at https://www.fema.gov/media-library/assets/documents/85384. Page 16 of 86 FY 2017 HSGP NOFO Operational Overtime Operational Overtime costs are allowed under this program only as described in this NOFO. Prior to use of funds for operational overtime, recipients must receive approval from DHS/FEMA. Travel Domestic travel costs are allowed under this program, as provided for in this NOFO. International travel is not an allowable cost under this program unless approved in advance by DHS/FEMA. Construction and Renovation Construction and renovation costs to achieve capability targets related to preventing, preparing for, protecting against, or responding to acts of terrorism are allowed under this program. For construction costs to be allowed,they must be specifically approved by DHS/FEMA in writing prior to the use of any program funds for construction or renovation. Limits on the total amount of grant funding that may be used for construction or renovation may apply. See Appendix C - Funding Guidelines for additional details. Additionally, recipients are required to submit Standard Form 424C. Maintenance and Sustainment Maintenance and Sustainment related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable as described in FEMA Policy, Maintenance Contracts and Warranty Coverage Funded by Preparedness Grants Policy,FP 205-402-125-1 (http://www.fema.gov/media-library/assets/documents/32474). Management and Administration (M&A)Costs Management and administration(M&A)activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent(5%)of HSGP funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Sub-recipients may also retain a maximum of up to five percent(5%)of funding passed through by the state solely for M&A purposes associated with the HSGP award. A state's HSGP funds for M&A calculation purposes includes the sum total of its SHSP, UASI, and,where applicable, OPSG awards. While the SAA may retain up to five percent(5%)of this total for M&A, the state must still ensure that all sub-recipient award amounts meet the mandatory minimum pass through requirements which are applicable to each HSGP program. To meet this requirement, the percentage of SHSP, UASI and OPSG funds passed through to local jurisdictions must be based on the state's total HSGP award prior to withholding any M&A. For additional information on SHSP and UASI M&A,refer to IB 365: Management and Administration Costs in the Homeland Security Grant Program. For additional clarification on OPSG M&A,refer to DHS/FEMA Policy FP-207-087-1, which can be found at http://www.fema.gov/library/viewRecord.do?id=7837. Page 17 of 86 FY 2017 HSGP NOFO Critical Emergency Supplies Critical emergency supplies are allowed under this program only as described in this NOFO. Secure Identification Secure Identification costs are allowed under this program only as described in this NOFO. E. Application Review Information Allocations Risk Methodology Based upon the requirements of the Homeland Security Act of 2002, as amended, DHS/FEMA continues to use risk to determine final HSGP allocations. DHS/FEMA defines risk as: "potential for an unwanted outcome resulting from an incident, event, or occurrence, as determined by its likelihood and the associated consequences"(see http://www.dhs.gov/xlibrary/assets/dhs-risk-lexicon-2010.pdf). The DHS/FEMA risk methodology is focused on three elements: • Threat—likelihood of an attack being attempted by an adversary; • Vulnerability—likelihood that an attack is successful, given that it is attempted; and • Consequence—effect of an event, incident or occurrence The risk methodology determines the relative risk of terrorism faced by a given area taking into account the potential risk of terrorism to people, critical infrastructure, and economic security. The analysis includes threats from domestic violent extremists, international terrorist groups, and individuals inspired by terrorists abroad. SHSP Allocations FY 2017 SHSP funds will be allocated based on two factors: minimum amounts as legislatively mandated, and DHS/FEMA's risk methodology. Each state and territory will receive a minimum allocation under SHSP using thresholds established in the Homeland Security Act of 2002, as amended. All 50 States,the District of Columbia, and the Commonwealth of Puerto Rico will receive 0.35 percent of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended. Each of the four territories (American Samoa, Guam,the Northern Mariana Islands, and the U.S. Virgin Islands)will receive a minimum allocation of 0.08 percent of the total funds allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended. For details on program-specific funding amounts, refer to Appendix A—FY 2017 Program Allocations. UASI Allocations FY 2017 UASI funds will be allocated based on DHS/FEMA's risk methodology. Eligible candidates for the FY 2017 UASI program have been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Page 18 of 86 FY 2017 HSGP NOFO Statistical Areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programs-surveys/metro- micro.html. For details on program-specific funding amounts, refer to Appendix A—FY 2017 Program Allocations. OPSG Allocations The FY 2017 OPSG Risk Assessment is designed to identify the risk to border security and to assist with the distribution of funds for the grant program. Funding under OPSG is distributed based on the risk to the security of the border. Entities eligible for funding are the state, local and tribal law enforcement agencies that are located along the border of the United States. For the purposes of OPSG, risk is defined as the potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence. Based upon ongoing intelligence analysis and extensive security reviews, DHS/CBP continues to focus the bulk of OPSG funds based upon risk analyses. The risk model used to allocate OPSG funds considers the potential risk that certain threats pose to border security and estimate the relative risk faced by a given area. In evaluating risk, DHS/CBP considers intelligence, situational awareness, criminal trends, and statistical data specific to each of the border sectors, and the potential impacts that these threats pose to the security of the border area. For vulnerability and consequence, DHS/CBP considers the expected impact and consequences of successful border events occurring in specific areas. Threat and vulnerability are evaluated based on specific operational data from DHS/CBP. Threat components present in each of the Sectors are used to determine the overall threat score. These components are: terrorism, criminal aliens, drug trafficking organizations, and alien smuggling organizations. Application Evaluation Criteria Prior to making a federal award, FEMA is required by 31 U.S.C. § 3321 and 41 U.S.C. § 2313 to review information available through any OMB-designated repositories of government-wide eligibility qualification or financial integrity information. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant: (1) financial stability; (2)quality of management systems and ability to meet management standards; (3)history of performance in managing federal award; (4)reports and findings from audits; and(5)ability to effectively implement statutory, regulatory, or other requirements. FEMA will evaluate FY 2017 HSGP applications for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments. FEMA's review will include verification that each IJ or project: Page 19 of 86 FY 2017 HSGP NOFO • Aligns to at least one core capability identified in the Goal; • Effectively addresses capability targets identified in the THIRA and gaps noted in the SPR; and • Supports a NIMS-typed resource and whether those assets are deployable/shareable to support emergency or disaster operations per existing EMAC agreements. In addition to the above, FEMA will evaluate whether proposed projects are: 1)both feasible and effective at reducing the risks for which the project was designed; and 2) able to be fully completed within the three-year PoP. FEMA will use the information provided in the application and after the submission of the first BSIR to determine the feasibility and effectiveness of a grant project. Information that would assist in the feasibility and effectiveness determination includes the following: • Scope of work(purpose and objectives of the project, identification of what is being protected, identification of core capability addressed and whether the core capability is identified in the SPR, where applicable, as a priority); • Desired outcomes, including expected long-term impact where applicable, and discussion of which core capability gap it helps to close and how; • Summary of status of planning and design accomplished to date(e.g. included in a capital improvement plan); and • Project schedule. Recipients are expected to conform, as applicable,with accepted engineering practices, established codes, standards, modeling techniques, and best practices, and participate in the development of case studies demonstrating the effective use of grant funds, as requested. Review and Selection Process SHSP and UASI To ensure the effectiveness of proposed investments and projects, all applications will undergo a federal review. The federal review will be conducted by FEMA HQ Program Analysts. FEMA HQ Program Analysts will use a checklist to verify compliance with all administrative and eligibility criteria identified in the NOFO. All proposed investments in core capability POETE elements must align to a capability gap in the SPR. IJs will be reviewed at both the investment and project level. A program hold may be placed on any investment which is found to be noncompliant. Fusion center investments will be jointly reviewed by FEMA and the DHS Office of Intelligence and Analysis (I&A) for compliance with HSGP NOFO requirements to prioritize the alignment of requests with results from the annual Fusion Center Assessment Program. If a fusion center investment does not meet the requirements, a Fusion Center Addendum must be completed and submitted for review and approval prior to expending funds allocated to fusion center activities. Page 20 of 86 FY 2017 HSGP NOFO OPSG Applications will be reviewed by the SAA and USBP Sector Headquarters for • completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the Operations Orders. For more information on Operations Orders and other requirements of OPSG see Appendix E—OPSG Operational Guidance. DHS/FEMA will verify compliance with all administrative and eligibility criteria identified in the NOFO and required submission of Operations Orders and Inventory of Operations Orders by the established due dates. DHS/FEMA and USBP will use the results of both the risk analysis and the federal review by DHS/FEMA to make recommendations for funding to the Secretary of Homeland Security. FY 2017 OPSG funds will be allocated competitively based on risk-based prioritization using the OPSG Risk Assessment described above. Final funding allocations are determined by the Secretary,who may consider information and input from various law enforcement offices or subject-matter experts within the Department. Factors considered include, but are not limited to: threat, vulnerability, miles of border, and other border- specific law enforcement intelligence, as well as feasibility of FY 2017 Operation Orders to designated localities within Border States and territories. For details on program- specific funding amounts, please refer to Appendix A— FY 2017 Program Allocations. Supplemental Financial Integrity Review Prior to making a Federal award where the Federal share is expected to exceed the simplified acquisition threshold, currently$150,000, DHS/FEMA is required to review and consider any information about the applicant in the Federal Awardee Performance and Integrity Information System (FAPIIS),which is also accessible through the SAM website. • An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a Federal awarding agency previously entered. • DHS/FEMA will consider any comments by the applicant, in addition to the FAPIIS information, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants, as described in 2 CFR §200.205. F. Federal Award Administration Information Notice of Award Notification of award approval is made through the ND Grants system through an automatic electronic mail to the awardee authorized official listed in the initial application. The"award date" for HSGP will be the date that DHS/FEMA approves the award. The awardee should follow the directions in the notification to confirm acceptance of the award. Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of award have been satisfied, or the award is otherwise Page 21 of 86 FY 2017 HSGP NOFO rescinded. Failure to accept the grant award within the 90-day timeframe may result in a loss of funds. Recipients must accept their awards no later than 90 days from the award date. The recipient shall notify the awarding agency of its intent to accept and proceed with work under the award through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the ND Grants Recipient TraininL, Manual. Administrative and National Policy Requirements All successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions, which are available online at: DHS Standard Terms and Conditions. The applicable DHS Standard Administrative Terms and Conditions will be those in effect at the time the award was made. Before accepting the award the AOR should carefully review the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under Federal Awards. Recipients must accept all conditions in this NOFO as well as any Special Terms and Conditions in the Notice of Award to receive an award under this program. SHSP and UASI Pass-Through Requirements Awards made to the SAA for HSGP carry additional pass-through requirements. Pass- through is defined as an obligation on the part of the SAA to make funds available to local units of government, combinations of local units,tribal governments, or other specific groups or organizations. Four requirements must be met to pass-through grant funds: • The SAA must make a firm written commitment to pass through grant funds to sub-recipients; • The SAA's commitment must be unconditional (i.e.,no contingencies for availability of SAA funds); • There must be documentary evidence (i.e., award document, terms and conditions)of the commitment; and • The award terms must be communicated to the sub-recipient. Timing and Amount The-SAA must pass-through at least 80 percent(80%) of the funds awarded under SHSP and UASI to local or tribal units of government within 45 calendar days of receipt of the funds. "Receipt of the funds"occurs either when the SAA accepts the award or 15 calendar days after the SAA receives notice of the award, whichever is earlier. SAAs are sent notification of their HSGP awards via the Grant Program Directorate's (GPD)Non-disaster(ND)Grants system. If an SAA accepts its award within 15 calendar days of receiving notice of the award in the ND Grants system,the 45-calendar days • Page 22 of 86 • FY 2017 HSGP NOFO pass-through period will start on the date the SAA accepted the award. Should an SAA not accept their HSGP awarcj within 15 calendar days of receiving notice of the award in the ND Grants system,the 45-calendar days pass-through period will begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system. It is important to note that the PoP start date does not directly affect the start of the 45- calendar days pass-through period. For example, an SAA may receive notice of their HSGP award on August 20, 2017, while the PoP dates for that award are September 1, 2017 through August 31, 2019. In this example,the 45-day pass-through period will begin on the date the SAA accepts their HSGP award or September 4, 2017(15_calendar days after the SAA was notified of the award),whichever date occurs first. The PoP start date of September 1, 2017,would not affect the timing of meeting the 45-calendar-day pass-through requirement. Other SHSP and UASI Pass-Through Requirements The signatory authority of the SAA must certify in writing to DHS/FEMA that pass- through requirements have been met. A letter of intent(or equivalent)to distribute funds is not considered sufficient. The pass-through requirement does not apply to SHSP awards made to the District of Columbia, Guam, American Samoa,the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana Islands. The Commonwealth of Puerto Rico is required to comply with the pass-through requirement and its SAA must also obligate at least 80 percent (80%)of the funds to local units of government within 45 calendar days of receipt of the funds. Any UASI funds retained by the SAA must be used to directly support the designated Urban Areas in the state. The SAA must propose an investment describing how such UASI funds it retains will be used to directly support the Urban Area. Under SHSP,the SAA may retain more than 20 percent(20%)of funding for expenditure made by the state on behalf of the local unit(s)of government. This may occur only with the written consent of the local unit of government, specifying the amount of funds to be retained and the intended use of funds. States shall review their written consent agreements yearly and ensure that they are still valid. If a written consent agreement is already in place from previous fiscal years, DHS/FEMA will continue to recognize it for FY 2017, unless the written consent review indicates the local government is no longer in agreement. If modifications to the existing agreement are necessary,the SAA should contact their assigned FEMA HQ Program Analyst. Additional OPSG Requirements The recipient must pass through 100 percent(100%)of OPSG allocations to eligible jurisdictions. The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county-level or equivalent Operational Order/Fragmentary Operations Order budget has been reviewed and approved through an official electronic mail notice issued by DHS/FEMA removing this special programmatic condition. Page 23 of 86 FY 2017 HSGP NOFO Reporting Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. Federal Financial Reporting Requirements - Federal Financial Report(FFR) Recipients must report obligations and expenditures on a quarterly basis through the FFR (SF-425)to DHS/FEMA. Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS). A FFR must be submitted quarterly throughout the PoP, including partial calendar quarters, as well as for periods where no grant award activity occurs. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. Recipients may review the Federal Financial Reporting Form(FFR)(SF-425)at: https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1, SF-425 OMB#4040-0014. Financial Reporting Periods and Due Dates The following reporting periods and due dates apply for the FFR: Reporting Period Report Due Date October 1 —December 31 January 30 January 1 —March 31 April 30 April 1 —June 30 July 30 July 1 —September 30 October 30 Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with the requirements of Government and Accountability Office's (GAO)Government Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/text-idx?node=sp2.1.200.f Program Performance Reporting Requirements Performance Progress Reports (PPRs) Recipients are responsible for providing updated performance reports on a biannual basis as an attachment in ND Grants. The PPR should include the following: • A brief narrative of the overall project status; • A summary of project expenditures; and Page 24 of 86 FY 2017 HSGP NOFO • A description of any potential issues that may affect project completion. As part of the PPR,.recipients will be required to report the following information related to fusion center projects: • Progress toward addressing shortfalls identified by their annual Fusion Center Assessment results. Program Performance Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR: Reporting Period Report Due Date January 1 —June 30 July 30 July 1 —December 31 January 30 Additional Programmatic Reporting Requirements and Information Biannual Strategy Implementation Report(BSIR) In addition to the quarterly financial and biannual performance progress reports, recipients are responsible for completing and submitting BSIRs through the Grants Reporting Tool (GRT). The BSIR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30 (the summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show progress of implementation for every project, as well as how expenditures support Planning, Organization, Equipment, Training and Exercises (POETE). The first BSIR will be due January 30, 2017 (30 days after the end of the first reporting period for the award). Subsequent BSIR reports will require recipients to report on a project-by- project basis. State Preparedness Report(SPR) The SPR is an annual capability assessment. The Post-Katrina Emergency Management Reform Act of 2006(PKEMRA) requires an SPR from any state/territory receiving Federal preparedness assistance administered by DHS/FEMA. Each state submits an annual SPR to DHS/FEMA. UASI recipients can complete an SPR on a voluntary basis. Completing a SPR helps identify capability gaps and prioritize investments required to reach the THIRA targets, resulting in a stronger investment justification. Refer to Appendix B—FY 2017 HSGP Program Priorities for additional guidance on SPR requirements. Threat and Hazard Identification and Risk Assessment(THIRA) States, territories, and Urban Areas should review and, if necessary, revise and update their THIRAs on an annual basis. A single THIRA submission will support multiple Page 25 of 86 FY 2017 HSGP NOFO grant awards received by a jurisdiction. This submission is valid for the entire PoP of the individual grant award(s). Further details on the THIRA as it relates to HSGP Program requirements can be found in Appendix B-Program Priorities. For additional guidance on THIRA, please refer to CPG 201, Second Edition, available at http:/ivvvvv.tema.gov/threat-and-hazard- identification-and-risk-assessment. Emergency Operations Plan (EOP) Recipients must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide(CPG) 101 Version 2.0,Developing and Maintaining Emergency Operations Plans. Recipients will use the Unified Reporting Tool(URT)to report their compliance with this reporting requirement. Supplemental Information Reporting Systems In addition to ND Grants, the following information systems are used for the submission of required reports: Grant Reporting Tool (GRT) The Grants Reporting Tool (GRT) is the system in which HSGP recipients will submit their BSIR information. HSGP recipients are responsible for filing a semi- annual BSIR report in the GRT and should register to create an account as soon as possible. Recipients should go to the following link and follow the links to create a new account: https://www.reporting.odp.dhs.gov/. This report is used to track the progress toward the completion of projects. FY 2017 Unified Reporting Tool (URT) The URT is DHS/FEMA's collection mechanism for THIRA, SPR, and related preparedness information. The FY 2017 URT includes questions related to NIMS adoption and implementation, CPG 101v2 compliance, and other preparedness questions, as appropriate. Information on the URT, including when recipients will receive the tool and how to use the tool, will be sent to recipients later in 2017. Closeout Reporting Requirements Within 90 days after the end of the PoP, or after an amendment has been issued to close out a grant,whichever comes first, recipients must submit a final FFR and final progress report detailing all accomplishments and a qualitative summary of the impact of those accomplishments throughout the PoP, as well as the following documentation: 1) Final request for payment, if applicable; 2) SF-425—Final FFR; 3) Final Performance Progress Report; 4) A qualitative narrative summary on the impact of those accomplishments throughout the entire PoP submitted to the respective FEMA HQ Program Page 26 of 86 FY 2017 HSGP NOFO Analyst, which includes a description of progress made in closing core capability gaps identified in the SPR and reaching THIRA targets; and 5) Other documents required by program guidance or terms and conditions of the award. After these reports have been reviewed and approved by DHS/FEMA, a close-out notice will be completed. The notice will indicate the PoP as closed, list any remaining funds that will be de-obligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR. In addition, any HSGP recipient that issues sub-awards to any sub-recipient is responsible for closing out those sub-awards as described in 2 C.F.R. § 200.343. HSGP recipients must ensure that they complete the closeout of their sub-awards_in time to submit all necessary documentation and information to DHS/FEMA during the closeout of their own grant award. The recipient is responsible for returning any funds that have been drawn down but remain as unliquidated on recipient financial records. G. DHS/FEMA Awarding Agency Contact Information Contact and Resource Information Centralized Scheduling and Information Desk(CSID) CSID is a non-emergency comprehensive management and information resource developed by DHS/FEMA for grant stakeholders. CSID provides general information on all DHS/FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the federal, state, and local levels.. When necessary, recipients will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at(800) 368-6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 9:00 a.m.—5:00 p.m. EST. GPD Grant Operations Division GPD's Grant Operations Division Business Office provides support regarding financial matters and budgetary technical assistance. Additional guidance and information can be obtained by contacting the FEMA Call Center at 866-927-5646 or via e-mail to ASK- GMD(adhs.gov. FEMA Regions FEMA Regions may also provide fiscal support, including pre-and post-award administration and technical assistance such as conducting cash analysis, financial monitoring, and audit resolution to the grant programs included in this solicitation. GPD will provide programmatic support and technical assistance. Contact information for the ten FEMA Regions is available at the following websites: Page 27 of 86 FY 2017 HSGP NOFO Region I https://www.fema.gov/region-i-ct-me-ma-nh-ri-vt Region II https://www.fema.gov/region-ii-nj-nv-pr-vi-0 Region III https://www.fema.gov/region-iii-dc-de-md-pa-va-wv Region IV https://www.fema.gov/region-iv-al-fl-ga-ky-ms-nc-sc-tn Region V https://www.fema.gov/region-v-il-mi-mn-oh-wi Region VI https://www.fema.gov/region-vi-arkansas-louisiana-new-mexico-oklahoma-texas Region VII https://www.fema.gov/region-vii-ia-ks-mo-ne Region VIII https://www.fema.gov/region-viii-co-mt-nd-sd-ut-wy Region IX https://www.fema.gov/fema-region-ix-arizona-california-hawaii-nevada- pacific-islands Region X https://www.fema.gov/region-x-contact-information-ak-id-or-wa GPD Environmental Planning and Historic Preservation (GPD EHP) The DHS/FEMA GPD EHP Team provides guidance and information about the EHP review process to recipients and sub-recipients. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinfo@fema.gov. EHP Technical Assistance, including the EHP Screening Form, can be found online at: https://www.fema.gov/environmental-planning-and-historic-preservation-compliance. Systems Information Grants.gov. For technical assistance with Grants.gov, please call the customer support hotline at(800) 518-4726. Non-Disaster(ND) Grants. For technical assistance with the ND Grants system, please contact ndgrants@fema.gov or(800) 865-4076. H. Additional Information National Preparedness The National Preparedness Goal defines what it means for the whole community to be prepared for all types of disasters and emergencies. The National Preparedness System is the instrument the Nation employs to build, sustain, and deliver core capabilities in order to achieve the Goal of a secure and resilient Nation. DHS/FEMA coordinates with local, state,territory, and tribal governments as well as the private and non-profit sectors to facilitate a whole community,risk-driven, and capabilities-based approach to preparedness. This risk-driven, capabilities-based approach is grounded in the identification and assessment of risk through the THIRA. For additional information on THIRA,please refer to: http://www.fema.gov/threat-and-hazard-identification-and-risk-assessment. Recipients should review and, if necessary, revise and update their THIRAs on an annual basis to ensure that the community's shared understanding of risk evolves to account for changes in the risk landscape, including successful mitigation efforts, emerging threats,hazards, and associated consequences. Information on the National Preparedness System can be found at http://www.fema.gov/national-preparedness-system. Additional details Page 28 of 86 FY 2017 HSGP NOFO regarding the National Preparedness System and how it is supported by HSGP can be found in Appendix B - Program Priorities. Active Shooter Preparedness DHS aims to enhance national preparedness through a whole community approach by providing the necessary products,tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. To that end, DHS has developed a comprehensive"Active Shooter Preparedness"website,which includes a variety of informational resources. The website address is: https://www.dhs.gov/active-shooter- preparedness. In addition, within the Homeland Security Information Network(HSIN),the Joint DHS and FBI Countering Violent Extremism (CVE)and Active Shooter Web Portal provides a restricted-access forum to share Unclassified For Official Use Only(FOUO), Sensitive but Unclassified(SBU), and Law Enforcement Sensitive (LES) Information. The portal provides users and training practitioners with accurate, appropriate, and relevant CVE and Active Shooter training development resources, subject-matter expert information, and outreach initiatives. It also has forums to provide feedback, products useful to others, and allows participants to ask questions concerning CVE or the Active Shooter Program. Persons with a job-related duty, public service interest, or who support a CVE and/or Active Shooter program can request access into this Portal. Additional information can be found on the DHS website at: https://www.dhs.gov/cveas-portal#. States,territories, and Urban Areas are encouraged to review the referenced active shooter guidance, evaluate their preparedness needs in conjunction with, or supplemental to, their THIRA and SPR processes, and to utilize preparedness grant funds as necessary to address any capability gaps identified in this area. Expanded Allowable Costs for General Purpose Equipment HSGP allows expenditures on general purpose equipment if it aligns to and supports one or more core capabilities identified in the Goal and has a nexus to terrorism. General purpose equipment must be sharable through the Emergency Management Assistance Compact(EMAC) 1 and allowable under 6 U.S.C. § 609. Examples of such general purpose equipment may include: • Law enforcement vehicles; • Emergency medical services (EMS)equipment and vehicles; • Fire service equipment and vehicles,to include hose, pump accessories, and foam concentrate for specialized chemical, biological, radiological, nuclear, and explosives (CBRNE)response; and Except for American Samoa and the Commonwealth of the Northern Mariana Islands which are not required to belong to EMAC at this time. Page 29 of 86 FY 2017 HSGP NOFO • Office equipment for staff" engaged in homeland security program activity. Equipment allowability is based on the Authorized Equipment List(AEL) but exceptions may be considered on a case-by-case basis if(1)the equipment identified to be purchased directly maps to a core capability contained within the Goa13, and(2)the equipment's purpose (when operational) falls under the permitted use of funds in accordance with the Homeland Security Act of 2002, as amended. Payments DHS/FEMA uses the Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer(DD/EFT)method of payment to recipients. To enroll in the DD/EFT, recipients must complete a Standard Form 1199A, Direct Deposit Form. Monitoring and Evaluation Recipients will be monitored on an annual and as needed basis by DHS/FEMA staff, both programmatically and financially,to ensure that the project goals, objectives, performance requirements,timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring may be accomplished through desk-based reviews, on-site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed. Case Studies As part of its grant oversight responsibility, FEMA is conducting a series of grant effectiveness case studies jointly with grant recipients to highlight how states and urban areas have used federal grants to improve preparedness. The purpose of the project is to better understand the factors that jurisdictions consider when determining which grant projects to fund, how grant recipients measure grant effectiveness, and to document key findings and success stories that will help both grant recipients and FEMA more effectively communicate the importance of federal grant programs to policymakers and the public. Although not mandatory, recipients are encouraged to participate given the mutual benefits to be gained from this collaborative effort. Conflict of Interest To eliminate and reduce the impact of conflicts of interest in the sub-award process, recipients and sub-recipients must follow their own policies and procedures regarding the 2 This applies to all homeland security personnel,and is not limited to management and administration staff,and costs are to be captured outside the cap on management and administration costs. 3 https://www.fema.gov/media-library/assets/documents/25959 Page 30 of 86 FY 2017 HSGP NOFO elimination or reduction of conflicts of interest when making sub-awards. Recipients and pass-through entities are also required to follow any applicable Federal, state, local, tribal, or territorial statutes or regulations governing conflicts of interest in the making of sub-awards. The recipient or sub-recipient must disclose to the respective Program Analyst, in writing, any real or potential conflict of interest as defined by the Federal, state, local, tribal or territorial statutes or regulations or their own existing policies, which may arise during the administration of the Federal award within five days of learning of the conflict of interest. Similarly, sub-recipients must disclose any real or potential conflict of interest to the pass-through entity as required by the recipient's conflict of interest policies, or any applicable Federal, state, local, tribal, or territorial statutes or regulations. Conflicts of interest may arise during the process of DHS/FEMA making a Federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship,with an applicant, sub-applicant, recipient, sub-recipient, or DHS/FEMA employees. Extensions Extensions to this program are allowed. Extensions to the initial PoP identified in the award will only be considered through formal, written requests to the recipient's FEMA HQ Program Analyst and must contain specific and compelling justifications as to why an extension is required. SAAs are advised to coordinate with the FEMA HQ Program Analyst as needed, when preparing an extension request. All extension requests must address the following: 1) Grant program, fiscal year, and award number; 2) Reason for delay—this must include details of the legal, policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline; 3) Current status of the activity/activities; 4) Approved PoP termination date and new project completion date; 5) Amount of funds drawn down to date; 6) Remaining available funds,both Federal and non-federal; 7) Budget outlining how remaining Federal and non-federal funds will be expended; 8) Plan for completion, including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and 9) Certification that the activity/activities will be completed within the extended PoP without any modification to the original Statement of Work, as described in the investment justification and approved by DHS/FEMA. Extension requests will be granted only due to compelling legal, policy, or operational challenges. Extension requests will only be considered for the following reasons: Page 31 of 86 FY 2017 HSGP NOFO • Contractual commitments by the grant recipient with vendors or sub-recipients prevent completion of the project within the existing PoP; • The project must undergo a complex environmental review that cannot be completed within this timeframe; • Projects are long-term by design and therefore acceleration would compromise core programmatic goals; and • Where other special circumstances exist. Recipients must submit all proposed extension requests to DHS/FEMA for review and approval no later than 120 days prior to the end of the PoP. In accordance with GPD policy,extensions are typically granted for no more than a six month time period. Page 32 of 86 FY 2017 HSGP NOFO Appendix A — FY 2017 HSGP Program Allocations FY 2017 SHSP Allocations State/Territory FY 2017 Allocation Alabama $3,752,000 Alaska $3,752,000 American Samoa $857,600 Arizona $4,551,000 Arkansas $3,752,000 California $60,159,500 Colorado $3,963,000 Connecticut $3,962,000 Delaware $3,752,000 District of Columbia $4,124,500 Florida $11,023,500 Georgia $6,790,000 Guam $857,600 Hawaii $3,752,000 Idaho $3,752,000 Illinois $16,391,500 Indiana $3,962,000 Iowa $3,752,000 Kansas $3,752,000 Kentucky $3,962,000 Louisiana $3,962,000 Maine $3,752,000 Maryland $6,136,500 Massachusetts $5,628,000 Michigan $6,641,000 Minnesota $3,962,000 Mississippi $3,752,000 Missouri $3,962,000 Montana $3,752,000 Nebraska $3,752,000 Nevada $3,752,000 New Hampshire $3,752,000 New Jersey $8,337,000 New Mexico - $3,752,000 New York $76,930,000 North Carolina $5,472,000 North Dakota $3,752,000 Northern Mariana Islands $857,600 Page 33 of 86 Appendix A—FY 2017 HSGP Program Allocations State/Territory FY 2017 Allocation Ohio $7,681,000 Oklahoma $3,752,000 Oregon $3,822,100 Pennsylvania $10,037,500 Puerto Rico $3,752,000 Rhode Island $3,752,000 South Carolina $3,752,000 South Dakota $3,752,000 Tennessee $3,962,000 Texas $21,481,000 U.S. Virgin Islands $857,600 Utah $3,752,000 Vermont $3,752,000 Virginia $7,428,500 Washington $6,476,000 West Virginia $3,752,000 Wisconsin $3,962,000 Wyoming $3,752,000 Total $402,000,000 Page 34 of 86 Appendix A—FY 2017 HSGP Program Allocations FY 2017 UASI Allocations State/Territory Funded Urban Areas FY 2017 UASI Allocation Arizona Phoenix Area $5,180,000 California Anaheim/Santa Ana Area $5,180,000 Bay Area $27,536,000 Los Angeles/Long Beach Area $68,110,000 Riverside Area $2,837,000 Sacramento Area $2,837,000 San Diego Area $16,158,000 Colorado Denver Area $2,837,000 District of Columbia National Capital Region $52,809,000 Florida Miami/Fort Lauderdale Area $5,180,000 Tampa Area $2,837,000 Georgia Atlanta Area $8,430,000 Illinois Chicago Area $68,110,000 Indiana Indianapolis Area $1,000,000 Maryland Baltimore Area $4,212,000 Massachusetts Boston Area $17,270,000 Michigan Detroit Area $5,180,000 Minnesota Twin Cities Area $5,180,000 Missouri St. Louis Area $2,837,000 Nevada Las Vegas Area $2,837,000 New Jersey Jersey City/Newark Area $20,034,000 New York New York City Area $178,123,000 North Carolina Charlotte Area $2,837,000 Ohio Cleveland Area $2,837,000 Oregon Portland Area $2,837,000 Pennsylvania Philadelphia Area $17,763,000 Pittsburgh Area $2,837,000 Texas Dallas/Fort Worth/Arlington Area $14,802,000 Houston Area $23,193,000 San Antonio Area $1,000,000 Utah Salt Lake City Area $1,000,000 Virginia Hampton Roads Area $1,000,000 Washington Seattle Area $5,180,000 Total $580,000,000 Page 35 of 86 Appendix A—FY 2017 HSGP Program Allocations FY 2017 SHSP and UASI LETPA Minimums Funded Urban UASI Total UASI SHSP Total State/Territory Allocation LETPA Area(s) Allocation Allocation Allocation by State Alabama $3,752,000 $3,752,000 $938,000 Alaska $3,752,000 $3,752,000 $938,000 American Samoa • $857,600 $857,600 $214,400 Arizona Phoenix Area $5,180,000 $5,180,000 $4,551,000 $9,731,000 $2,432,750 Arkansas $3,752,000 $3,752,000 $938,000 Anaheim/Santa $5,180,000 Ana Area Bay Area $27,536,000 Los California Angeles/Long $68,110,000 $122,658,000 $60,159,500 $182,817,500 $45,704,375 Beach Area Riverside Area $2,837,000 Sacramento $2,837,000 Area San Diego Area $16,158,000 Colorado Denver Area $2,837,000 $2,837,000 $3,963,000 $6,800,000 $1,700,000 Connecticut $3,962,000 $3,962,000 $990,500 Delaware $3,752,000 $3,752,000 $938,000 District of National Capital $52,809,000 $52,809,000 $4,124,500 $56,933,500 $14,233,375 Columbia Region Miami/Fort $5,180,000 Florida Lauderdale Area $8,017,000 $11,023,500 $19,040,500 $4,760,125 Tampa Area $2,837,000 Georgia Atlanta Area $8,430,000 $8,430,000 $6,790,000 $15,220,000 $3,805,000 Guam $857,600 $857,600 $214,400 Hawaii $3,752,000 $3,752,000 $938,000 Idaho $3,752,000 $3,752,000 $938,000 Illinois Chicago Area $68,110,000 $68,110,000 $16,391,500 $84,501,500 $21,125,375 Indiana Indianapolis $1,000,000 $1,000,000 $3,962,000 $4,962,000 $1,240,500 Area Iowa $3,752,000 $3,752,000 $938,000 Kansas $3,752,000 $3,752,000 $938,000 Kentucky $3,962,000 $3,962,000 $990,500 Louisiana $3,962,000 $3,962,000 $990,500 Maine $3,752,000 $3,752,000 $938,000 Maryland Baltimore Area $4,212,000 $4,212,000 $6,136,500 $10,348,500 $2,587,125 Massachusetts Boston Area $17,270,000 $17,270,000 $5,628,000 $22,898,000 $5,724,500 Michigan Detroit Area $5,180,000 $5,180,000 $6,641,000 $11,821,000 $2,955,250 Minnesota Twin Cities $5,180,000 $5,180,000 $3,962,000 $9,142,000 $2,285,500 Area Mississippi $3,752,000 $3,752,000 $938,000 Missouri St. Louis Area $2,837,000 $2,837,000 $3,962,000 $6,799,000 $1,699,750 Montana $3,752,000 $3,752,000 $938,000 Page 36 of 86 Appendix A—FY 2017 HSGP Program Allocations Funded Urban UASI Total UASI SHSP Total State/Territory Area(s) Allocation LETPA Allocation Allocation Allocation by State Nebraska $3,752,000 $3,752,000 $938,000 Nevada Las Vegas Area $2,837,000 $2,837,000 $3,752,000 $6,589,000 $1,647,250 New $3,752,000 $3,752,000 $938,000 Hampshire Jersey New Jersey City/Newark $20,034,000 $20,034,000 $8,337,000 $28,371,0.00 $7,092,750 Area New Mexico $3,752,000 $3,752,000 $938,000 New York New York City $178,123,000 $178,123,000 $76,930,000 $255,053,000 $63,763,250 Area North Carolina Charlotte Area $2,837,000 $2,837,000 $5,472,000 $8,309,000 $2,077,250 North Dakota $3,752,000 $3,752,000 $938,000 Northern $857,600 $857,600 $214,400 Mariana Islands Ohio Cleveland Area $2,837,000 $2,837,000 $7,681,000 $10,518,000 $2,629,500 Oklahoma $3,752,000 $3,752,000 $938,000 Oregon Portland Area $2,837,000 $2,837,000 $3,822,100 $6,659,100 $1,664,775 Philadelphia $17,763,000 Pennsylvania Area $20,600,000 $10,037,500 $30,637,500 $7,659,375 Pittsburgh Area $2,837,000 Puerto Rico $3,752,000 $3,752,000 $938,000 Rhode Island $3,752,000 $3,752,000 $938,000 South Carolina $3,752,000 $3,752,000 $938,000 South Dakota $3,752,000 $3,752,000 $938,000 Tennessee $3,962,000 $3,962,000 $990,500 Dallas/Fort Worth/Arlington $14,802,000 Texas Area $38,995,000 $21,481,000 $60,476,000 $15,119,000 Houston Area $23,193,000 San Antonio $1,000,000 Area U.S.Virgin $857,600 $857,600 $214,400 Islands Utah Salt Lake City $1,000,000 $1,000,000 $3,752,000 $4,752,000 $1,188,000 Area Vermont $3,752,000 $3,752,000 $938,000 Virginia Hampton Roads $1,000,000 $1,000,000 $7,428,500 $8,428,500 $2,107,125 Area Washington Seattle Area $5,180,000 $5,180,000 $6,476,000 $11,656,000 $2,914,000 West Virginia $3,752,000 $3,752,000 $938,000 Wisconsin $3,962,000 $3,962,000 $990,500 Wyoming $3,752,000 $3,752,000 $938,000 Total 580,000,000 580,000,000 402,000,000 982,000,000 245,500,000 Page 37 of 86 Appendix A—FY 2017 HSGP Program Allocations FY 2017 OPSG Eligible States and Territories States and Territories Alabama Massachusetts Pennsylvania Alaska Michigan Rhode Island Arizona Minnesota South Carolina California Mississippi Texas Connecticut Montana Vermont • Delaware New Hampshire Virginia Florida New Jersey Washington Georgia New Mexico Wisconsin Hawaii New York Puerto Rico Idaho North Carolina U.S. Virgin Islands Louisiana North Dakota American Samoa Maine Ohio Guam Maryland Oregon Northern Mariana Islands Note:Not all applicants are guaranteed to receive funding under the FY 2017 OPSG. Page 38 of 86 Appendix A—FY 2017 HSGP Program Allocations Appendix B — FY 2017 HSGP Program Priorities Alignment of HSGP to the National Preparedness System The Nation uses the National Preparedness System to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the Goal). The Goal is"a secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk." The objective of the National Preparedness System is to facilitate an integrated,whole community, risk-informed,capabilities-based approach to preparedness. Complex and far- reaching threats and hazards require the engagement of individuals, families, communities, private and nonprofit sectors, faith-based organizations, and all levels of government (http://www.fema.gov/whole-community). Recipients will use the components of the National Preparedness System to support building, sustaining, and delivering these core capabilities. The components of the National Preparedness System are: Identifying and Assessing Risk; Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing and Updating. Additional information on the National Preparedness System is available at http://www.fema.gov/national-preparedness-system. The FY 2017 HSGP contributes to the implementation of the National Preparedness System by financially supporting the ability of States and local jurisdictions to build, sustain, and deliver core capabilities identified in the Goal. The HSGP's allowable costs support efforts across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. A key focus and requirement of the HSGP is to prevent terrorism and other catastrophic events and to prepare the Nation for the threats and hazards that pose the greatest risk to the security of the United States, and the greatest risks along the Nation's Borders. When applicable, funding should support deployable assets that can be used anywhere in the Nation through automatic assistance and mutual aid agreements, including but not limited to the Emergency Management Assistance Compact(EMAC). Recipients are expected to consider national areas for improvement identified in the 2016 National Preparedness Report as they relate to terrorism preparedness. They include cybersecurity; economic recovery; housing; infrastructure systems; natural and cultural resources; and supply chain integrity and security. Addressing these areas for improvement will enhance preparedness nation-wide. Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities. In addition, DHS/FEMA requires recipients to prioritize grant funding to address capability gaps identified through the THIRA and SPR process. These assessments identify the jurisdiction's capability targets, current ability to meet those targets, and capability gaps. Recipients must prioritize grant funds to address high-priority core capabilities with low capability levels. The FY 2017 HSGP supports investments that improve the ability of jurisdictions nationwide to: Page 39 of 86 Appendix B—FY 2017 HSGP Program Priorities • Prevent a threatened or an actual act of terrorism; • Protect citizens, residents, visitors, and assets against the greatest threats that pose the greatest risk to the security of the United States; • Mitigate the loss of life and property by lessening the impact of future catastrophic events; • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or • Recover through a focus on the timely restoration, strengthening, accessibility and revitalization of infrastructure,housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident; and do so in a manner that engages the whole community while ensuring the protection of civil rights. The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities, improved training and exercise programs, innovation, and appropriate administrative, finance, and logistics systems. Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements States,territories, and Urban Areas should review and, if necessary, revise and update their THIRAs on an annual basis. A single THIRA submission will support multiple grant awards received by a jurisdiction. This submission is valid for the entire PoP of the individual grant award(s). The THIRA, a four-step risk assessment process,provides a comprehensive approach for identifying and assessing risks and associated impacts. It expands on existing local,tribal, territorial, and state Hazard Identification and Risk Assessments(HIRAs)and other risk methodologies by broadening the factors considered in the process, incorporating the whole community throughout the entire process, and by accounting for important community-specific characteristics. CPG 201, Second Edition is available at http://www.fema.gov/threat-and- hazard-identification-and-risk-assessment. In step four of the THIRA process, a jurisdiction estimates the resources required to deliver the capability targets set in their THIRAs. Communities express resource requirements as a list of whole community resources needed to successfully achieve their capability targets. Each jurisdiction should decide which combination of resources is most appropriate to achieve its capability targets. The SPR is an annual self-assessment of state preparedness submitted by the 56 States and territories to DHS/FEMA. The Post-Katrina Emergency Management Reform Act of 2006 (PKEMRA)requires an SPR from any state or territory receiving Federal preparedness assistance administered by the Department of Homeland Security. Reporting • Urban Areas should review and, if necessary, revise and update their THIRAs on an annual basis.UASIs should submit their updated THIRAs to the designated SAA. THIRA updates should be in alignment with CPG 201, Second Edition. Page 40 of 86 Appendix B—FY 2017 HSGP Program Priorities Urban Areas should coordinate internally to ensure THIRAs represent all jurisdictions within the Urban Area. • o For FY 2017, if any updates are made to an Urban Area THIRA, Step 4 of the THIRA should be completed for all Response and Recovery core capabilities, including the core capabilities common to multiple mission areas. • States and territories should review and, if necessary, revise and update their THIRAs on an annual basis. States and territories should submit their THIRA updates along with their annual SPR through the URT and email a copy of the URT submission to their respective FEMA Regional Federal Preparedness Coordinator(refer to the FEMA Region websites above)and copy fema- - spr@fema.dhs.gov. THIRA submissions should be in alignment with CPG 201, Second Edition. o For FY 2017, SHSP recipients should complete Step 4 of the THIRA for all Response and Recovery core capabilities, including the common core capabilities for those mission areas. • States and territories must submit their SPRs to FEMA no later than December 31 each year. SAAs should coordinate with eligible Urban Areas in advance of this deadline to include the Urban Area's input when conducting the statewide SPR assessment. Building and Sustaining Capabilities States are required to prioritize grant funding for building and sustaining capabilities in areas with capability gaps identified through the THIRA and SPR process. Reporting • In each HSGP recipient's BISR, as part of programmatic monitoring, recipients will be required to describe how expenditures support maintenance and sustainment of core capabilities. HSGP recipients will, on a project-by-project basis, check one of the following: — Building a capability acquired with HSGP funding; or — Sustaining a capability acquired with HSGP funding. NIMS Implementation Recipients receiving HSGP funding are required to implement NIMS. NIMS defines a national, interoperable approach for sharing resources, coordinating and managing incidents, and communicating information. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, mitigation, response, and recovery. FY 2017 HSGP recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment,tracking and recovery of resources. Reporting • Recipients report on NIMS implementation through the URT. Page 41 of 86 Appendix B—FY 2017 HSGP Program Priorities Fusion Centers DHS has identified state and major Urban Area fusion centers as a critical component of our Nation's distributed homeland security and counterterrorism architecture. They provide grassroots intelligence and analytic capabilities within the state and local jurisdiction (http://www.dhs.gov/state-and-major-urban-area-fusion-centers). To that end, DHS/FEMA preparedness grants will continue to support designated state and major Urban Area fusion centers(hI!' \ fusion-center-locations-and-contact-information)and the maturation of the Information Sharing Environment(ISE). The national network of fusion centers(National Network)provides a mechanism for the Federal Government to receive information from state, local, tribal, and territory partners, which helps create a more complete threat picture at the National level. Participating in the Nationwide Suspicious Activity Reporting(SAR) Initiative enables fusion centers to receive and analyze suspicious activity reporting from frontline public safety personnel,the private sector, and the public, and ensure the sharing of SAR with the Federal Bureau of Investigation's Joint Terrorism Task Forces for further investigation. In support of this strategic vision,the DHS/FEMA is requiring designated state and major Urban Area fusion centers to participate in an annual assessment of their performance. As maturation of the National Network continues to be a high-priority in FY 2017, DHS/FEMA is requiring that all fusion center-related funding requests be consolidated into a single(1) investment for states or Urban Areas in which designated fusion centers reside. The single investment provides states and Urban Areas a means to centrally manage and report on fusion center related activities. Recipients must coordinate with the fusion center when developing the fusion center investment prior to application submission. The fusion center must utilize its individual assessment data when developing the investment. Each proposed project included in the fusion center investment must align to, and reference, specific performance areas of the Assessment that the funding is intended to support. Additionally, any jurisdiction or agency that leverages HSGP funds to support intelligence-or fusion process-related activities (e.g., intelligence unit, real time crime information and analysis centers)must ensure efforts are integrated and/or coordinated with the state or major Urban Area fusion center(s). State and major Urban Area fusion centers receiving SHSP and/or UASI grant funds will be evaluated based on compliance with the guidance and requirements for the National Network as set forth by DHS I&A through the annual Fusion Center Assessment. • FY2017 Fusion Center Grant requirements are listed at http://www.dhs.gov/homeland- security-grant-program-hsgp. • DHS/FEMA approved analyst courses that meet the grant requirement are listed at http://www.dhs.gov/fema-approved-intelligence-analyst-training-courses. Through the PPR, fusion centers will report on the compliance with measurement requirements within the fusion centers priority through the annual Fusion Center Assessment managed by DHS I&A and reported to FEMA. Page 42 of 86 Appendix B—FY 2017 HSGP Program Priorities Planning to Deliver Capabilities Recipients shall develop and maintain,jurisdiction wide, all threats and hazards EOPs consistent with CPG 101 v.2. Recipients must update their EOP at least once every two years. Reporting • Recipients report EOP compliance with CPG 101 v2 in the URT. Validating Capabilities Recipients should engage elected and appointed officials and other whole community stakeholders to identify long-term training and exercise priorities. These priorities must address capability targets and gaps identified through the annual THIRA and SPR processes, areas for improvement identified from real-world events and preparedness exercises, and national areas for improvement identified in the most recent NPR. Recipients should document these priorities and use them to deploy a schedule of exercise events and supporting training activities in a Multi-Year Training and Exercise Plan(TEP). Information related to Multi-year TEPs and Training and Exercise Planning Workshops (TEPWs)can be found on the Homeland Security Exercise and Evaluation Program (HSEEP)website at https://www.fema.gov/exercise. All recipients will develop and maintain a progressive exercise program consistent with HSEEP. A progressive,multi-year exercise program is a series of increasingly complex exercises linked to a set of common program priorities with each successive exercise building upon the previous one until proficiency is achieved. The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Recipients are strongly encouraged to nominate exercises into the NEP. For additional information on the NEP, please refer to http://www.fema.gov/national-exercise- program. Reporting • Recipients are required to develop a Multi-year TEP that identifies training and exercise priorities and activities. The Multi-year TEP shall be submitted to hseep@fema.dhs.gov no later than 90 days after the completion of the TEPW. • Recipients are required to submit either one After Action Report/Improvement Plan (AAR/IP) for each HSGP-funded progressive exercise series; or individual AAR/IPs for each HSGP-funded exercise to hseep@fema.dhs.gov no more than 90 days after completion of the exercise. • Recipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Recipients are encouraged to use the HSEEP AAR/IP template located at https://www.fema.gov/exercise. Page 43 of 86 Appendix B—FY 2017 HSGP Program Priorities Supplemental SHSP Guidance Governance In keeping with the guiding principles of governance for all DHS/FEMA preparedness programs, recipients must coordinate activities across preparedness disciplines and levels of government, including state,territorial, local, and tribal governments. A cohesive planning framework should incorporate DHS/FEMA resources, as well as those from other Federal, state, local,tribal, territorial, private sector, and faith-based community organizations. Specific attention should be paid to how available preparedness funding sources can effectively support a whole community approach to emergency preparedness and management and the enhancement of core capabilities. To ensure this,the SAA must establish or reestablish a unified Senior Advisory Committee (SAC). Senior Advisory Committee(SAC) The SAC builds upon previously established advisory bodies under HSGP (including the SHSP and UASI programs),Nonprofit Security Grant Program(NSGP), Transit Security Grant Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies that should be included on the SAC include: Urban Area Working Groups(UAWGs), Statewide Interoperability Governing Board (SIGB),Area Maritime Security Committees (AMSCs), Regional Transportation Security Working Groups(RTSWGs), Citizen Corps Whole Community Councils, Disability Inclusion Working Groups, and Children's Working Groups. SAC membership shall include at least one representative from relevant stakeholders including: • Individuals from the counties, cities,towns, and Indian tribes within the State or high-risk urban area, including, as appropriate, representatives of rural, high-population, and high- threat jurisdictions; • UASI-funded Urban Areas; • Citizen Corps Whole Community Councils; • Local or tribal government officials; • Tribal organizations; • Emergency response providers, including representatives of the fire service, law enforcement, emergency medical services, and emergency managers; • Public health officials and other appropriate medical practitioners; • Individuals representing educational institutions, including elementary schools, community colleges, and other institutions of higher education; • State and regional interoperable communications coordinators, as appropriate; • State and major urban area fusion centers,as appropriate; and • Non-profit, faith based, and other voluntary organizations such as the American Red Cross. SACs are encouraged to develop subcommittee structures, as necessary,to address issue-or region-specific considerations. Page 44 of 86 • Appendix B—FY 2017 HSGP Program Priorities The responsibilities of a SAC include: • Integrating preparedness activities across disciplines,the private sector, non-profit organizations, faith-based and community organizations, and all levels of government, including local, state, tribal, and territorial, with the goal of maximizing coordination and reducing duplication of effort; • Creating a cohesive planning network that builds and implements preparedness initiatives using DHS/FEMA resources, as well as other Federal, state, local, tribal, territorial, local, private sector, and faith-based community resources; • Management of all available preparedness funding sources to ensure their effective use of and to minimize duplication of effort; • Ensuring applications for SHSP and UASI funds align with the capability gaps identified in the THIRA and SPR; • Assist in preparation and revision of the State, regional, or local homeland security plan or the threat and hazard identification and risk assessment, as the case may be; and • Assist in determining effective funding priorities for SHSP grants. SAC Composition and Scope 1. Membership. The SAC must include whole community intrastate and interstate partners as applicable and have balanced representation among entities with operational responsibilities for terrorism/disaster prevention, protection, mitigation, response, and recovery activities within the state, and include representation from the stakeholder groups and disciplines identified above. The membership of the SAC must reflect the threats and hazards identified in the state's THIRA as well as each of the core capabilities, in particular those core capabilities identified as having large capability gaps identified in the state's most recent SPR. SAAs will use the URT to verify compliance of SAC charter requirements. Further, the SAC must include representatives that were involved in the production of the state's THIRA and represent the interests of the five mission areas as outlined in the Goal. The above membership requirement does not prohibit states, Urban Areas, regional transit and port entities, or other recipients of DHS/FEMA preparedness funding from retaining their existing structure under separate programs; however,at a minimum,those bodies must support and feed into the larger SAC. The composition, structure and charter of the SAC should reflect this focus on building core capabilities, instead of simply joining previously existing advisory bodies under other grant programs. The SAA must ensure that appropriate representation from defined UASI-funded Urban Areas is included on the SAC. DHS/FEMA strongly encourages that, wherever possible, previously established local working groups be leveraged for this purpose to ensure that UASI resources are managed in the most efficient and effective manner possible. The UAWG should also support state efforts to develop the THIRA and SPR, particularly as it relates to UASI activities. Page 45 of 86 • Appendix B—FY 2017 HSGP Program Priorities For designated Urban Areas,the SAA POCs are responsible for identifying and coordinating with the POC for the UAWG, who should be a member of the SAC. The POC's contact information must be provided to DHS/FEMA with the grant application. SAAs must work with existing Urban Areas to ensure that information for current POCs is on file with DHS/FEMA. Finally, DHS/FEMA recommends that organizations advocating on behalf of youth, older adults and individuals with disabilities, individuals with limited English proficiency and others with access and functional needs, socio-economic factors and cultural diversity, be invited to participate in the SAC. 2. Collaboration with state agencies and other stakeholder organizations. Program representatives from the following entities should be members of the SAC (as applicable): State Primary Care Association, State Homeland Security Advisor(HSA)(if this role is not also the SAA), State Emergency Management Agency(EMA)Director, State Public Health Officer, State Public Safety Officer(and SAA for Justice Assistance Grants, if different), State Coordinator for DoD 1033 Program , State Court Official, State Emergency Medical Services(EMS)Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen Corps Whole Community Council, the State Emergency Medical Services for Children(EMSC)Coordinator, State Education Department, State Human Services Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General. Senior Advisory Committee Charter The governance of the SHSP and UASI programs through the SAC should be directed by a charter. All members of the SAC should sign and date the charter showing their agreement with its content and their representation on the Committee. Revisions to the governing charter must be sent to the recipient's assigned FEMA HQ Program Analyst. The SAC charter must at a minimum address the following: • A detailed description of the SAC's composition and an explanation of key governance processes, including how the SAC is informed by the state's THIRA and SPR data reflecting capability gaps and the approach to address gaps in core capabilities; • A description of the frequency at which the SAC will meet; • How the committee will leverage existing governance bodies; • A detailed description of how decisions on programmatic priorities funded by SHSP and UASI are made and how those decisions will be documented and shared with its members and other stakeholders, as appropriate; and • A description of defined roles and responsibilities for financial decision making and meeting administrative requirements. . To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness information submitted in the state's BSIR with members of the SAC. SAAs are also encouraged to share their THIRA and SPR with members of the SAC applying for other FEMA preparedness Page 46 of 86 Appendix B—FY 2017 HSGP Program Priorities • grants in order to enhance their understanding of statewide capability gaps. The charter should be made available upon request to promote transparency in decision-making related to HSGP activities. To manage this effort and to further reinforce collaboration and coordination across the stakeholder community, a portion of the 20 percent(20%)holdback of a state or territory award may be utilized by the SAA for the purpose of supporting the SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents, protocols, and procedures. SAAs will use the URT to verify compliance of SAC charter requirements. Supplemental UASI Guidance The UASI program is intended to provide financial assistance to address the unique multi- discipline planning, organization, equipment,training, and exercise needs of high-threat, high- density Urban Areas, and to assist these areas in building and sustaining capabilities to prevent, protect against, mitigate, respond to, and recover from threats or acts of terrorism using the whole community approach. Urban Areas must use UASI funds to employ regional approaches to overall preparedness and are encouraged to adopt regional response structures whenever appropriate. UASI program implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention, protection, mitigation, response, and recovery activities within the region. In some instances, Urban Area boundaries cross state borders. States must ensure that the identified Urban Areas take an inclusive regional approach to the development and implementation of the UASI program and involve the contiguous jurisdictions, mutual aid partners, port authorities,rail and transit authorities, state agencies, state-wide Interoperability Coordinators, Citizen Corps Whole Community Council(s), and campus law enforcement in their program activities. Composition Pursuant to provisions of the Homeland Security Act of 2002, as amended, eligible Urban Areas were determined based on an analysis of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by the Office of Management and Budget(OMB). MSAs are used by DHS/FEMA to determine eligibility for participation in the program. Geographical areas queried do not equate to minimum mandated membership representation of an Urban Area, nor does this guarantee funding for geographical areas queried. UAWGs must continue to take a regional approach to membership but are not required to expand or contract existing Urban Area participation to conform to MSA composition. Detailed information on MSAs is publicly available from the United States Census Bureau at http://www.census.gov/population/www/metroareas/metrodef.html. UASI Program Requirements The SAA will be responsible for ensuring compliance with the fiduciary and programmatic administration requirements of the UASI program. Page 47 of 86 Appendix B—FY 2017 HSGP Program Priorities • • Identify POCs. The SAA must confirm a specific POC with the designated Urban Area. The SAA POCs are responsible for identifying and coordinating with the POC for the UAWG. This information must be provided to DHS/FEMA with the grant application. SAAs must work with existing Urban Areas to ensure that information for current POCs is on file with DHS/FEMA. • Define the Urban Area. The SAA POC, in coordination with the candidate Urban Areas, must define the Urban Area, as it will apply to the UASI program. The identified city or combined entity represents the candidate Urban Area eligible to apply for funding under the UASI program. For those Urban Areas with a combined entity,that area represents the minimum area that must be part of the defined Urban Area. The definition of the Urban Area is limited to jurisdictions contiguous to the geographic area used to determine eligibility, or those jurisdictions in that area which have established formal mutual aid agreements. States may request a waiver for this limitation for regions previously established by Executive Order, law, or compact. For the purposes of the UASI program,the Washington, D.C. Urban Area will consist of the National Capital Region(NCR) as set forth in 10 U.S.C. §2674(f)(2). In coordination with the SAA, the UAWG may redefine the geographic boundaries of an existing Urban Area through the addition of jurisdictions to the UAWG, as it will apply to the UASI program. The SAA POC must notify DHS/FEMA of this change. Establish the UAWG. Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, and emergency management)that comprise the defined Urban Area. It must also be inclusive of local Whole Community Citizen Corps Council and tribal representatives. The UAWG should also include at least one representative from each of the following significant stakeholders: • Local or tribal government officials; • Emergency response providers, which shall include representatives of the fire service, law enforcement, emergency medical services, and emergency managers; • Public health officials and other appropriate medical practitioners; • Individuals representing educational institutions, including elementary schools, community colleges, and other institutions of higher education; • State and regional interoperable communications coordinators, as appropriate; and • State and major urban area fusion centers, as appropriate. Members of the UAWG shall be a representative group of individuals from the counties, cities, towns, and tribes within the State or high-risk urban area, including, as appropriate, representatives of rural, high-population, and high-threat jurisdictions. • In addition,the UAWG should include officials responsible for the administration of Centers for Disease Control and Prevention(CDC)and Assistant Secretary for Preparedness and Response's (ASPR)cooperative agreements. Finally, it must be inclusive of members advocating on behalf of youth, older adults, individuals with Page 48 of 86 Appendix B—FY 2017 HSGP Program Priorities disabilities, individuals with limited English proficiency and others with access and functional needs, socio-economic factors and cultural diversity. The SAA POC must ensure that appropriate representation for the defined Urban Area is included per this guidance. DHS/FEMA strongly encourages that, wherever possible, previously established local working groups should be leveraged for this purpose to ensure that UASI funded resources are managed in the most efficient and effective manner possible. The UAWG should support state efforts to develop the SPR, particularly as it relates to UASI funded activities. UASI recipients can complete an SPR on a voluntary basis and should coordinate with the respective state(s). Completing an SPR helps to identify capability gaps and to prioritize investments required to reach the THIRA targets, resulting in a stronger investment justification. • Governance. The jurisdictions identified in Appendix A—FY 2017 Program Allocations represent the candidate Urban Areas eligible to apply for funding. The UAWG will be responsible for coordinating the development and implementation of all program initiatives. States and Urban Areas must consider including counties within which the cities reside, contiguous jurisdictions, MSAs, operational areas, and mutual aid partners, as appropriate, in the governance process. In keeping with sound project management practices,the UAWG must ensure that its approach to critical issues such as membership, governance structure, voting rights, grant management and administration responsibilities, and funding allocation methodologies are formalized in a working group charter or other form of standard operating procedure related to the UASI program governance. The charter must also outline how decisions made in UAWG meetings will be documented and shared with UAWG members. The UAWG charter must be on file with DHS/FEMA prior to drawing down UASI funding and must be available to all UAWG members to promote transparency in decision- making related to the UASI program. UASIs will use the URT to verify UAWG structure and membership. Urban Areas must notify the SAA and FEMA HQ Program Analyst of any updates to the UAWG structure or membership. • Develop Urban Area THIRA. As a result of the improved governance process and the rationale for maintaining and sustaining existing capabilities and the development of new capabilities, members of the UAWG should be involved in the development of an Urban Area THIRA coordinated with the state THIRA and SPR, and subsequent updates. UAWGs must ensure that applications for funding under the UASI Program align with the capability gaps identified in the Urban Area THIRA. • Allocation of Funds. The use and allocation of all grant funds available through the UASI program must focus on the investments identified in the Urban Area's IJ and investments in building capabilities should focus on resource requirements identified in the THIRA to the extent practicable. The use of funds must also be consistent with overall UASI program guidelines,the National Preparedness System, and must develop Page 49 of 86 Appendix B—FY 2017 HSGP Program Priorities or sustain one or more core capabilities in the Goal. Funds used to support whole community and individual preparedness related efforts, such as engaging non- governmental organizations demonstrating the integration of children, individuals with disabilities or access and functional needs, limited English proficiency, and individuals from underserved socio-economic populations in all phases of emergency management, participation of disaster volunteers, such as Community Emergency Response Teams (CERTs) in training, exercises and response and recovery operations, and educating the public should be coordinated with local CERT programs and/or Citizen Corps Whole • Community Councils. _ The UAWG, in coordination with the SAA POC, must develop a methodology for allocating funding available through the UASI program. The UAWG must reach consensus on all UASI funding allocations. If consensus cannot be reached within the 45-day time period allotted for the state to obligate funds to sub-recipients,the SAA must make the allocation determination. The SAA must provide written documentation verifying the consensus of the UAWG, or the failure to achieve otherwise, on the allocation of funds and submit it to DHS/FEMA immediately after the 45-day time period allotted for the state to obligate funds to sub-recipients. Any UASI funds retained by the state must be used in direct support of the Urban Area. States must provide documentation to the UAWG and DHS/FEMA upon request demonstrating how any UASI funds retained by the state are directly supporting the Urban Area. If the SAA intends to retain any UASI funds,the SAA must prepare an investment that demonstrates how the retained funds will be used to directly support the designated Urban Area in the state. This investment should be included in the designated Urban Area's IJ. Supplemental SHSP and UASI Guidance Collaboration with Other Federal Preparedness Programs DHS/FEMA strongly encourages states, Urban Areas, and regions to understand other federal preparedness programs in their jurisdictions and to work with them in a collaborative manner to leverage all available resources and avoid duplicative activities. For example,the U. S. Department of Health and Human Services(HHS)has two robust preparedness programs— Centers Disease Control and Prevention (CDC)Public Health Emergency Preparedness(PHEP) cooperative agreement program and Assistant Secretary for Preparedness and Response's (ASPR)Hospital Preparedness Program(HPP)cooperative agreement program—that focus on preparedness capabilities. CDC's 15 public health preparedness capabilities and ASPR's eight healthcare preparedness capabilities serve as operational components for many of the core capabilities, and collaboration with the PREP directors and HPP coordinators can build capacity around shared interests and investments that fall in the scope of these HHS cooperative agreements and the HSGP. States and Urban Areas should coordinate among the entire scope of federal partners, national initiatives and grant programs to identify opportunities to leverage resources when implementing their preparedness programs. These may include but are not limited to: Medical Reserve Corps; Emergency Medical Services for Children grants; ASPR HPP; CDC PHEP; CDC Cities Readiness Initiative; Strategic National Stockpile Programs; Page 50 of 86 Appendix B—FY 2017 HSGP Program Priorities EMS; Department of Justice grants;the Department of Defense 1033 Program; and NPPD/Office of Infrastructure Protection's Regional Resilience Assessment Program (RRAP). However, coordination is not limited to grant funding. It also includes leveraging assessments such as TSA's Baseline Assessment and Security Enhancement(BASE); reporting from the Intelligence Community, risk information such as U.S. Coast Guard's Maritime Security Risk Analysis Model (MSRAM), and USBP Sector Analysis. Each SHSP and UASI funded investment that addresses biological risk, patient care or health systems preparedness should be implemented in a coordinated manner with other Federal programs that support biological and public health incident preparedness such as those administered by the HHS ASPR,the CDC, and the U.S. Department of Transportation's (DOT) National Highway Traffic Safety Administration. Federal agencies participating in the Emergency Preparedness Grant Coordination process are working to identify current preparedness activities and areas for collaboration across federal grants with public health and healthcare preparedness components. The participating federal agencies include: • Department of Health and Human Services (HHS)Assistant Secretary for Preparedness and Response(ASPR) • Department of Homeland Security(DHS) Federal Emergency Management Agency (FEMA) • HHS Centers for Disease Control and Prevention(CDC) • HHS Health Resources and Services Administration(HRSA) • Department of Transportation(DOT)National Highway Traffic Safety Administration (NHTSA) Federal agencies are actively coordinating guidance and technical assistance and encourage all recipients to actively coordinate preparedness activities for their jurisdictions. More information on the Emergency Preparedness Grant Coordination process can be found at http://www.fema.gov/media-library/assets/documents/114411. Ensuring the Protection of Civil Rights As the Nation works towards achieving the Goal it is important to continue to protect the civil rights of individuals. Recipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations. These populations include, but are not limited to individuals with disabilities and others with access and functional needs, individuals with limited English proficiency, and other diverse racial and ethnic populations in accordance with Section 504 of the Rehabilitation Act of 1973, Title VI of the Civil Rights Act of 1964, and related statutes. The DHS Standard Terms and Conditions includes the civil rights provisions that apply to recipients. These terms and conditions can be found at DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at: http://www.fema.gov/office-equal-rights. Page 51 of 86 Appendix B—FY 2017 HSGP Program Priorities Collaboration with Nonprofit Organizations SHSP and UASI recipients are encouraged to work with the nonprofit community to address terrorism and all hazards prevention-concerns, seek input on the needs of the nonprofit sector, and support the goals of their investments. Collaboration with Tribes DHS/FEMA strongly encourages states, Urban Areas, and regions to work with tribal nations in overall initiatives such as whole community preparedness and emergency management planning. Multiple Purpose or Dual-Use of Funds For both SHSP and UASI, many activities which support the achievement of target capabilities related to terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. However, all SHSP and UASI funded projects must assist recipients and sub-recipients in achieving target capabilities related to preventing,preparing for, protecting against, or responding to acts of terrorism. Improving Cybersecurity When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity("The Framework")developed by the National Institute of Standards and Technology(NIST). The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program,the Framework provides initial guidance. For organizations with more advanced practices,the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks. The Department of Homeland Security's Critical Infrastructure Cyber Community C3 Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure Cyber Community C3 Voluntary Program can be found at www.dhs.gov/ccubedvp. The Department of Homeland Security's Enhanced Cybersecurity Services (ECS)program is an example of a resource that assists in protecting U.S.-based public and private entities and combines key elements of capabilities under the"Detect" and"Protect" functions to deliver an impactful solution relative to the outcomes of the Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and state, local, tribal, and territorial governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain types of malicious traffic from entering a company's networks. Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.dhs.gov/enhanced-cybersecurity-services for a current list of ECS CSP points of contact. Page 52 of 86 Appendix B—FY 2017 HSGP Program Priorities Mass Casualty Incident Preparedness and Individual Preparedness Although the Citizen Corps Program(CCP)and Metropolitan Medical Response System (MMRS)are no longer funded as discrete grant programs within HSGP, SAAs may include IJs funding to support CCP and MMRS activities/programs. Activities funded under these projects must meet the allowability requirements of the SHSP and UASI programs. The following coordination requirements will remain in place for proposed activities that support mass casualty incident preparedness, as well as citizen preparedness. Mass casualty preparedness must be conducted in collaboration with state/city/local health departments that administer federal funds from HHS to enhance the integration of local emergency management, public health, emergency medical services, and health care systems into a coordinated, sustained local capability to respond effectively to a mass casualty incident or a response to catastrophic events and acts of terrorism. The Federal Interagency Committee on Emergency Medical Services(FICEMS)has recommended that State and local EMS systems improve their mass casualty incident triage capabilities through adoption of triage protocols and systems that are based on the Model Uniform Core Criteria. Recipients must also demonstrate how their investments will increase the effectiveness of emergency preparedness planning and response for the whole community by integrating and coordinating activities including_under- represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations. Further, recipients are strongly encouraged to collaborate with local,regional, and state public health and health care partners, including Medical Reserve Corps Units Community Emergency Response Teams(CERTs)Citizen Corps Whole Community Councils, as well as leverage other federal programs, such as the HHS ASPR Hospital Preparedness Program and Emergency Systems for Advance Registration of Volunteer Health Professionals, CDC Cities Readiness Initiative, PHEP, and Strategic National Stockpile Programs. Whole Community Preparedness SHSP and UASI recipients should engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience. Recipients should have a coordinating body to serve-as their Citizen Corps or Whole Community Council, with• membership that may include, but is not limited to: representatives from emergency management, homeland security, law enforcement, fire service, EMS,public health or their designee, elected officials,the private sector(especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations(including faith-based, community-based, and voluntary organizations), advocacy groups for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations. Recipients must also integrate program design and delivery practices that ensure representation and services for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations. Page 53 of 86 Appendix B—FY 2017 HSGP Program Priorities Individual preparedness must be coordinated by an integrated body of government and nongovernmental representatives. Recipients must have a coordinating body to serve as their Citizen Corps Whole Community Council, with membership that includes, but is not limited to: representatives from emergency management, homeland security, law enforcement, fire service, EMS, public health or their designee, elected officials,the private sector(especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations(including faith-based, community-based, and voluntary organizations), advocacy groups for under- represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with Tower economic capacity and other underserved populations. In addition to the Citizen Corps Whole Community Councils and CERT programs,the following preparedness programs are allowable expenses: • Prepareathon: FEMA's Individual and Community Preparedness Division(ICPD) launched Prepareathon(formerly America's PrepareAthon!) in 2013,with the goal of empowering individuals and communities to take action to improve their preparedness and resilience. The purpose of Prepareathon is to motivate people and communities to take action to prepare for and protect themselves against disasters. Supported by FEMA, communities conduct Prepareathon events year-round with a focus on encouraging participants to take specific actions to protect themselves from the disasters most likely to affect them and their community. Prepareathon events are unique to each community and may be aligned to a particular theme in the Ready Campaign's National Seasonal Preparedness Messaging Calendar(www.ready.gov/prepare). Prepareathon is a critical part of FEMA's overarching mission to support citizens and first responders to ensure that as a Nation we work together to build, sustain and improve our capability to prepare for, protect against, respond to, recover from, and mitigate all hazards. • Youth Preparedness Resources to support practitioners as they create and run programs in their communities are available at www.ready.gov/youth-preparedness. One of these resources,the Youth Preparedness Catalog, identifies over 200 existing programs, curricula, and resources that may be of interest to those seeking an introduction to, or learning more about, youth preparedness programs. The Catalog describes national, regional, and state-level programs. The Catalog can be found at http://www.fema.gov/media-library/assets/documents/94775. Emergency Management Accreditation Program With funds provided through FY 2017 HSGP, states have the opportunity to encourage their local jurisdictions to pursue assessment and accreditation under the Emergency Management Accreditation Program(EMAP). EMAP's assessment and accreditation of emergency management organizations against consensus-based, American National Standards Institute(ANSI)-certified standards allows for standardized benchmarking of critical functions necessary for an emergency management Page 54 of 86 Appendix'B—FY 2017 HSGP Program Priorities • organization to meet the core capabilities identified in the Goal. Additional information on the EMAP Standard is available at http://www.emaponline.org. Supplemental OPSG Guidance OPSG provides funding to designated localities to enhance cooperation and coordination between Federal, State, local,tribal, and territorial law enforcement agencies in a joint mission to secure the United States Borders along routes of ingress from international borders to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. OPSG is intended to support Border States and territories of the United States in accomplishing the following objectives: • Increase capability to prevent, protect against, and respond to border security issues; • Increase coordination and collaboration among Federal, state, local, tribal, and territorial law enforcement agencies; • Continue the distinct capability enhancements required for border security and border protection; • Provide intelligence-based operations through USBP Sector Level experts to ensure safety and operational oversight of Federal, state, local, tribal, and territorial law enforcement agencies participating in OPSG operational activities; • Support a request to any Governor to activate, deploy, or redeploy specialized National Guard Units/Packages and/or elements of state law enforcement to increase or augment specialized/technical law enforcement elements operational activities; and • Continue to increase operational,material and technological readiness of state, local, tribe, and territorial law enforcement agencies. OPSG funds must be used to provide an enhanced law enforcement presence and to increase operational capabilities of Federal, state, local, tribal, and territorial law enforcement, promoting a layered, coordinated approach to law enforcement within Border States and territories of the United States. • Federal, State,Local,Tribal,and Territorial OPSG Integrated Planning Team (IPT). It is required that Federal, state, local,tribal,and territorial partners establish and maintain a formalized OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP,the SAA, and participating law enforcement agencies' OPSG program representatives. • No less than two IPT meetings must take place during every funding year: — Prior to submitting the Concept of Operations(application) — Prior to submitting the Campaign Plan Coordination Requirements All operational plans should be crafted in cooperation and coordination among Federal, state, local,tribal, and territorial partners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the USBP Sector Page 55 of 86 Appendix B—FY 2017 HSGP Program Priorities • Headquarters with geographic responsibility for the applicant's location in developing and submitting an Operations Order with an embedded budget to the SAA. After awards are announced, prospective recipients will re-scope the draft Operations Order and resubmit as a final Operations Order with an embedded budget, based on actual dollar amounts awarded. Final Operations Orders will be approved by the appropriate Sector Headquarters and forwarded to Headquarters, Office of Border Patrol, Washington,D.C.,before funding is released. Recipients may not begin operations, obligate, or expend any funds until the final Operations Order and embedded budget has been approved by FEMA GPD and USBP Headquarters and any existing special conditions and/or restrictions are removed. Management and Administration (M&A) Management and administration (M&A) activities are those directly relating to the management and administration of OPSG funds, such as financial management and monitoring. Sub- recipients and friendly forces may retain funding for M&A purposes;however,the total amount retained by both the sub-recipient and friendly forces cannot exceed 5%of the subrecipient award. Friendly forces are local law enforcement entities that are second tier sub-recipients under OPSG. In other words, friendly forces are entities that receive a subaward from a subrecipient under the OPSG program. Friendly Forces must comply with all requirements of sub-recipients under 2 C.F.R. Part 200. Other Requirements National Information Exchange Model(NIEM). DHS/FEMA requires all grant recipients to use the latest NIEM specifications and guidelines when using HSGP funds to develop, procure, or implement homeland security information exchanges, including systems and databases. This includes,but is not limited to the use of Extensible Markup Language(XML) and Java Script Object Notation(JSON). Further information about NIEM specifications and guidelines is available at http://www.niem.gov. 28 C.F.R. Part 23 Guidance. DHS/FEMA requires that any information technology system funded or supported by these funds comply with 28 C.F.R.Part 23, Criminal Intelligence Systems Operating Policies, if this regulation is determined to be applicable. Page 56 of 86 Appendix B—FY 2017 HSGP Program Priorities Appendix C — FY 2017 HSGP Funding Guidelines Recipients must comply with all the requirements in 2 C.F.R. Part 200(Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards). In general, recipients should consult with their FEMA HQ Program Analyst prior to making any investment that does not clearly meet the allowable expense criteria established by this NOFO. Funding guidelines established within this section support the five mission areas—Prevention, Protection, Mitigation, Response, and Recovery—and associated core capabilities within the Goal. Allowable investments made in support of the HSGP priorities as well as other capability- enhancing projects must have a nexus to terrorism preparedness and fall into the categories of planning, organization, exercises,training, or equipment aligned to a capability gap in the SPR. Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness and return on investment aligned to the relevant POETE element, and FEMA encourages recipients to provide the results of that analysis to FEMA. Continuity of Operations Continuity planning and operations are an inherent element of each core capability and the coordinating structures that provide them. Continuity operations increase resilience and the probability that organizations can perform essential functions in the delivery of core capabilities that support the mission areas. FEMA is responsible for coordinating the implementation and development,execution, and assessment of continuity capabilities among executive departments and agencies. To support this role, FEMA develops and promulgates Federal Continuity Directives(FCDs)to establish continuity program and planning requirements for executive departments and agencies and Continuity Guidance Circulars (CGCs) for state, local,tribal, and territorial governments, non-governmental organizations, and private sector critical infrastructure owners and operators. This direction and guidance assists in developing capabilities for continuing the essential functions of federal and state, local,tribal,territorial governmental entities as well as the public/private critical infrastructure owners, operators, and regulators enabling them. Presidential Policy Directive 40, FCD 1, FCD 2, CGC 1, and CGC 2 outline the overarching continuity requirements and guidance for organizations and provides guidance, methodology, and checklists. For additional information on continuity programs, guidance, and directives,visit http://www.fema.gov/guidance-directives and https://www.fema.gov/national-continuity- programs. Planning(SHSP and UASI) SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities and such as those associated with the development, and review and revision of the THIRA, SPR, continuity of operations plans and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current EOP that conforms to the guidelines outlined in CPG 101 v 2.0. Page 57 of 86 Appendix C–FY 2017 HSGP Funding Guidelines Organization (SHSP and UASI) Organizational activities include: . • Program management; • Development of whole community partnerships,through groups such as Citizen Corp Councils; • Structures and mechanisms for information sharing between the public and private sector; • Implementing models, programs,and workforce enhancement initiatives to address ideologically-inspired radicalization to violence in the homeland; • Tools,resources and activities that facilitate shared situational awareness between the public and private sectors; • Operational Support; • Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident; • Responding to an increase in the threat level under the National Terrorism Advisory System (NTAS), or needs 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. All SAAs are allowed to utilize up to 50 percent(50%)of their SHSP funding and all Urban Areas are allowed up to 50 percent(50%)of their UASI funding for personnel costs. At the request of a recipient,the FEMA Administrator may grant a waiver of the 50 percent(50%) limitation noted above. Requests for waivers to the personnel cap must be submitted by the authorized representative of the SAA to GPD in writing on official letterhead,with the following information: • Documentation explaining why the cap should be waived; • Conditions under which the request is being submitted; and • A budget and method of calculation of personnel costs both in percentages of the grant award and in total dollar amount. To avoid supplanting issues,the request must also include a three-year staffing history for the requesting entity. Organizational activities under SHSP and UASI include: • Intelligence Analysts. Per the Personnel Reimbursement for Intelligence Cooperation and Enhancement(PRICE)of Homeland Security Act(Pub. L.No. 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, Page 58 of 86 Appendix C—FY 2017 HSGP Funding Guidelines — Previously served as an intelligence analyst for a minimum of two years either in a Federal intelligence agency,the military, or state and/or local law enforcement intelligence unit. All fusion center 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. A certificate of completion of such training must be on file with the SAA and must be made available to the recipient's respective FEMA HQ Program Analyst upon request. • 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 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/FEMA 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 and other catastrophic events, operational overtime costs are allowable for increased protective security measures at critical infrastructure sites or other high-risk locations and to enhance public safety during mass gatherings and high-profile events, as determined by the recipient or sub- recipient through intelligence threat analysis. SHSP or UASI funds for organizational costs may be used to support select operational expenses associated with increased security measures. in the following authorized categories: — Backfill and overtime expenses for staffing state or major Urban Area fusion centers; — Hiring of contracted security for critical infrastructure sites; — Participation in Regional Resiliency Assessment Program activities; — Public safety overtime; — 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 USBP. SHSP or UASI funds may only be spent for operational overtime costs upon prior approval provided in writing by the FEMA Administrator per the instructions in IB 379: Page 59 of 86 Appendix C—FY 2017 HSGP Funding Guidelines Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding. 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 UAWG and DHS/FEMA upon request demonstrating how any UASI funds retained by the state would directly support the Urban Area. Organization (OPSG) • Operational Overtime Costs. OPSG funds should be used for operational overtime costs associated with law enforcement activities, in support of border law enforcement agencies for increased border security enhancement. At the request of a recipient,the FEMA Administrator 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 OPSG personnel waiver request should: — Be requested on official letterhead, include a written justification, and be signed by the local jurisdiction; — Include a budget and method of calculation of personnel costs both in percentage of the grant award and in total dollar amount; — Include an approved Operations Order from the USBP Sector office which supports the local jurisdiction's written justification; and — Be coordinated with the USBP Sector, SAA, and the DHS/CBP Office of the Border Patrol (OBP). • Personnel — 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. — OPSG funds may_support a Governor's request 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. — Costs associated with backfill for personnel supporting operational activities are allowable. — As with all OPSG personnel costs, OPSG grant funds will be used to supplement existing funds, and will not replace (supplant)funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds. — Temporary or Term Appointments o Sub-recipients may utilize temporary or term appointments for the purpose of augmenting the law enforcement presence on the borders. However, applying Page 60 of 86 Appendix C—FY 2017 HSGP Funding Guidelines % funds toward hiring full-time or permanent sworn public safety officers is • unallowable. o For OPSG purposes,temporary appointments are non-status appointments for less than one year. o For OPSG purposes,term appointments are non-status appointments for one year, extendable for one year as necessary. o OPSG-funded temporary or term appointments may not exceed the approved period of performance. o OPSG funding for temporary or term appointments may pay for salary only. Benefits are not allowable expenses for term or temporary employees. o OPSG remains a non-hiring program. Appropriate uses of temporary or term appointments include: • Ta carry out specific enforcement operations work for ongoing OPSG funded patrols throughout the Sector Area of Operation; • To staff operations of limited duration; such as OPSG enhanced enforcement patrols targeting specific locations or criminal activity; and, • To fill OPSG positions in activities undergoing transition or personnel shortages and local backfill policies(medical/military deployments) • OPSG term and temporary appointments must have all necessary certifications and training to enforce state and local laws. OPSG funds will not be used to train or certify term or temporary appointments except as otherwise stated in the OPSG section of this NOFO. • DHS provides no guarantee of funding for temporary or term appointments. In addition to the terms of this NOFO, sub-recipients must follow their own applicable policies and procedures regarding temporary or term appointments. • Travel,Per Diem,and Lodging. OPSG funds may be used for domestic travel and per diem, including costs associated with the deployment/redeployment of personnel to border areas and for travel associated with law enforcement entities assisting other local jurisdictions in law enforcement activities. In addition, allowable costs include supporting up to six month deployment of law enforcement personnel to critical Southwest Border locations for operational activities(travel costs must be in accordance with applicable travel regulations). Equipment(SHSP and UASI) The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories and equipment standards for HSGP are listed on the Authorized Equipment List (AEL). The AEL is available at http://www.fema.gov/authorized-equipment-list. Unless otherwise stated, equipment must meet all mandatory regulatory and/or DHS/FEMA-adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Page 61 of 86 Appendix C—FY 2017 HSGP Funding Guidelines Grant funds may be used for the procurement of medical countermeasures. Procurement of medical countermeasures must be conducted in collaboration with state, city, or local health departments that administer Federal funds from HHS for this purpose and with existing MMRS committees where available, in order to sustain their long-term planning for appropriate, rapid, and local medical countermeasures, including antibiotics and antidotes for nerve agents, cyanide, and other toxins. Procurement must have a sound threat based justification with an aim to reduce the consequences of mass casualty incidents during the first crucial hours of a response. Prior to procuring pharmaceuticals, recipients must have in place an inventory management plan to avoid large periodic variations in supplies due to coinciding purchase and expiration dates. Recipients are encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals must include a budget for the disposal of expired drugs within each fiscal year's PoP for HSGP. The cost of disposal cannot be carried over to another DHS/FEMA grant or grant period. EMS electronic patient care data systems should comply with the most current data standard of the National Emergency Medical Services Information System (www.NEMSlS.org). Equipment(OPSG) • Equipment Marking. Because equipment purchased with OPSG funding is intended to be used to support Operation Stonegarden activities, it must be appropriately marked to ensure its ready identification and primary use for that purpose. When practicable, any equipment purchased with OPSG funding shall be prominently marked as follows: "Purchased with DHS funds for Operation Stonegarden Use" • Fuel Cost and/or Mileage Reimbursement. There is no cap for reimbursement of fuel and mileage costs in support of operational activities. • Vehicle and Equipment Rentals. Allowable purchases under OPSG include patrol cars and other mission-specific vehicles whose primary use is to increase operational activities/patrols on or near a border nexus in support of approved border security operations. A detailed justification must be submitted to the respective FEMA HQ Program Analyst prior to purchase. Training(SHSP and UASI) Allowable training-related costs under HSGP include the establishment, support, conduct, and attendance of training specifically identified under the SHSP and UASI programs and/or in conjunction with emergency preparedness training by other Federal agencies (e.g., HHS and DOT). Training conducted using HSGP funds should address a performance gap identified through a TEP or other assessments(e.g.,National Emergency Communications Plan NECP Goal Assessments)and contribute to building a capability that will be evaluated through a formal exercise. Any training or training gaps, including training related to under-represented diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations, should be Page 62 of 86 • Appendix C—FY 2017 HSGP Funding Guidelines identified in a TEP and addressed in the state or Urban Area training cycle. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation • and Evaluation model of instructional design. Recipients are also encouraged to utilize the FEMA training courses offered through the Emergency Management Institute, the Center for Domestic Preparedness, the National Domestic Preparedness Consortium, and other partners. The FEMA training course catalog is found by accessing the following link: www.firstrespondertraining.gov. • Exercises(SHSP and UASI) Exercises conducted with grant funding should be managed and conducted consistent with HSEEP. HSEEP guidance for exercise design, development, conduct, evaluation, and improvement planning is located at https://www.fema.gov/exercise. Maintenance and Sustainment(SHSP,UASI,and OPSG) The use of DHS/FEMA preparedness grant funds for maintenance contracts, warranties,repair or replacement costs, upgrades, and user fees are allowable, as described in FEMA Policy FP 205- 402-125-1 under all active and future grant awards, unless otherwise noted. With the exception of maintenance plans purchased incidental to the original purchase of the equipment,the period covered by maintenance or warranty plan must not exceed the PoP of the specific grant funds used to purchase the plan or warranty. Grant funds are intended to support the Goal by funding projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective,the policy set forth in GPD's IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs which must be in 1)direct support of existing capabilities; (2)must be an otherwise allowable expenditure under the applicable grant program; (3)be tied to one of the core capabilities in the five mission areas contained within the Goal, and(4) shareable through the Emergency Management Assistance Compact. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than DHS/FEMA preparedness grant program dollars. Law Enforcement Terrorism Prevention Activities Allowable Costs(SHSP and UASI) Activities eligible for use of LETPA focused funds include but are not limited to: • Maturation and enhancement of designated state and major Urban Area fusion centers, including information sharing and analysis,threat recognition,terrorist interdiction, and training/hiring of intelligence analysts; • Coordination between fusion centers and other analytical and investigative efforts including,but not limited to Joint Terrorism Task Forces(JTTFs), Field Intelligence Groups(FIGs), High Intensity Drug Trafficking Areas(HIDTAs), Regional Information Sharing Systems(RISS) Centers, criminal intelligence units, and real-time crime analysis centers; Page 63 of 86 Appendix C—FY 2017 HSGP Funding Guidelines • Implementation and maintenance of the Nationwide SAR Initiative, including training for front line personnel on identifying and reporting suspicious activities; • Implementation of the "If You See Something, Say SomethingTM"campaign to raise public awareness of indicators of terrorism and terrorism-related crime and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. Note: DHS requires that the Office of Public Affairs (OPA)be given the opportunity to review and approve any public awareness materials (e.g., videos, posters,tri-folds, etc.)developed using HSGP grant funds for the"If You See Something, Say SomethingTM" campaign to ensure these materials are consistent with the Department's messaging and strategy for the campaign and the initiative's trademark. This coordination with OPA should be facilitated by the FEMA HQ Program Analyst; • Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical infrastructure site or at-risk nonprofit organizations; and • Building and sustaining preventive radiological and nuclear detection capabilities, including those developed through the Securing the Cities initiative. Law Enforcement Readiness(OPSG) OPSG grant funds may be used to increase operational, material, and technological readiness of state, local,tribal, and territorial law enforcement agencies. The Delegation of Immigration Authority, Section 287(g)of the Immigration and Nationality Act(INA)program allows a state or local law enforcement entity to enter into a partnership with Immigration and Customs Enforcement(ICE), under a joint Memorandum of Agreement(MOA), in order to receive delegated authority for immigration enforcement within their jurisdictions. OPSG grant funds may be requested and may be approved on a case by case basis for immigration enforcement training in support of the border security mission. Requests for training will be evaluated on a case by case basis and can only be used for certification in the 287 (g)program provided by DHS/ICE. OPSG sub-recipients with agreements under Section 287(g)of the INA(8 U.S.C. 1357(g))to receive delegated authority for immigration enforcement within their jurisdictions may also be reimbursed for 287(g)related operational activities with approval from FEMA on a case by case basis. For OPSG, sub-recipients must be authorized by USBP Headquarters and Sectors and operational activities must be coordinated through a USBP Sector. Federally-Led Task Forces and Investigations(SHSP and UASI) In addition, reimbursement for operational overtime law enforcement activities related to combating transnational crime organizations in support of efforts to enhance capabilities for _ detecting, deterring, disrupting, and preventing acts of terrorism is an allowable expense under SHSP and UASI on a case by case basis. Allowable costs are limited to overtime associated with federally requested participation in federally-led task forces and investigations, 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. SHSP and UASI operational overtime for combating transnational crime organizations require prior approval in writing by the FEMA Administrator per the instructions in IB 379(Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding). Page 64 of 86 Appendix C—FY 2017 HSGP Funding Guidelines Regional Border Projects (OPSG) Recipients are encouraged to prioritize the acquisition and development of regional projects on the borders to maximize interoperability and coordination capabilities among federal agencies and with state, local, and tribal law enforcement partners. Such regional projects include: • Communications equipment: — Radio systems and repeaters • Situational Awareness equipment: — License Plate Reader Networks — Visual detection and surveillance systems — Sensor Systems — Radar Systems(for air incursions) Controlled Equipment(SHSP,UASI,and OPSG) Grant funds may be used for the purchase of Controlled Equipment, however, because of the nature of the equipment the potential impact on the community,there are additional and specific requirements in order to acquire this equipment. Refer to IB 407a: Use of Grant Funds for Controlled Equipment: Update for Fiscal Year 2017, for the complete Controlled Equipment List and specific requirements for acquiring controlled equipment with DHS/FEMA grant funds. FEMA Form 087-0-0-1: Controlled Equipment Request is available for download at https://www.fema.gov/media-library/assets/documents/115708. Requirements for Small Unmanned Aircraft System(SHSP,UASI,and OPSG) All requests to purchase Small Unmanned Aircraft System (SUAS)with FEMA.grant funding must also include a description of the policies and procedures in place to safeguard individuals' privacy, civil rights, and civil liberties of the jurisdiction that will purchase,take title to, or otherwise use the SUAS equipment. Critical Emergency Supplies(SHSP and UASI) Critical emergency supplies, such as shelf stable products, water, and basic medical supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state must have DHS/FEMA's approval of a five-year viable inventory management plan,which should include a distribution strategy and related sustainment costs if planned grant expenditure is over$100,000. If grant expenditures exceed the minimum threshold,the five-year inventory management plan will be developed by the recipient and monitored by FEMA GPD with the assistance of the FEMA Logistics Management Directorate (LMD). FEMA GPD will coordinate with LMD and the respective FEMA Region to provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA GPD and LMD 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. Page 65 of 86 Appendix C—FY 2017 HSGP Funding Guidelines SAAs(through their Emergency Management Office) are strongly encouraged to consult with theirrespective FEMA Regional Logistics Chief regarding disaster logistics-related issues.- States are further encouraged to share their DHS/FEMA approved plan with local jurisdictions and Tribes. Construction and Renovation (SHSP and UASI) Project construction using SHSP and UASI funds may not exceed the greater of$1,000,000 or 15 percent(15%)of the grant award. For the purposes of the limitations on funding levels, communications towers are not considered construction. See guidance on communication towers below. Written approval must be provided by DHS/FEMA prior to the use of any HSGP funds for construction or renovation. When applying for construction funds, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C Budget and Budget detail citing the project costs. Recipients using funds for construction projects must comply with the Davis-Bacon Act(40 U.S.C. § 3141 et seq.). Recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor(DOL)wage determinations, is available from the following website https://www.dol.gov/whd/govcontracts/dbra.htm. OPSG funds may not be used for any type of construction. Communications Towers. When applying for funds to construct communication towers, recipients and sub-recipients must submit evidence that the FCC's Section 106 review process has been completed and submit all documentation resulting from that review to GPD using the guidelines in EHP Supplement prior to submitting materials for EHP review. Completed EHP review materials for construction and communication tower projects must be submitted as soon as possible to get approved by the end of the PoP. EHP review materials should be sent to gpdehpinfo@fema.gov. Personnel(SHSP and UASI) Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable HSGP planning,training, exercise, and equipment activities. Personnel may include but are not limited to: training and exercise coordinators, program managers for activities directly associated with SHSP and UASI funded activities, intelligence analysts, and statewide interoperability coordinators (SWIC). For further details, SAAs should refer to FP 207-093-1, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412-the PRICE Act), or contact their FEMA HQ Program Analyst. Page 66 of 86 Appendix C-FY 2017 HSGP Funding Guidelines 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. The following are definitions as it relates to personnel costs: • Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable DHS/FEMA program activities as specified in this guidance. This may not include new personnel who are hired to fulfill any non-DHS/FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent(FTE)employees. • Overtime. These expenses are limited to the additional costs which result from personnel working over and above 40 hours of weekly work time as a direct result of their performance of DHS/FEMA-approved activities specified in this guidance. Overtime associated with any other activity is not eligible. • Backfill-related Overtime. Also called"Overtime as Backfill,"these expenses are limited to overtime costs which result from personnel who are working overtime(as identified above)to perform the duties of other personnel who are temporarily assigned to DHS/FEMA-approved activities outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees. • Supplanting. Grant funds will be used to supplement existing funds,and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non- federal resources occurred for reasons other than the receipt or expected receipt of federal funds. Operational Packages(OPacks) (SHSP and UASI) Applicants may elect to pursue OPack funding, such as Canine Teams,Mobile Explosive Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as to sustain existing OPacks. Applicants must commit to minimum training standards to be set by DHS 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 new OPacks-related projects, applicants must demonstrate the need for developing a new capability at the expense of sustaining an existing core capability. 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.gov/files/programs/gc 1200693579776.shtm or http://www.getyouhome.gov/html/eng map.html. Other Secure Identification Initiatives(SHSP) SHSP funds may also be used to support the Department's additional efforts to enhance secure identification, including driver's license and identification security enhancements. Activities that facilitate secure identification, including IT enhancements for identification management and Page 67 of 86 Appendix C—FY 2017 HSGP Funding Guidelines 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 may continue implementing activities previously funded through the Driver's License Security Grant Program (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; • Satisfy driver's license identification material requirements; • 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. 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. OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law enforcement operations or activities not directly related to providing enhanced coordination between local and federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer to FP 207-093-1 at https://www.fema.gov/media-library/assets/documents/85384, or contact their FEMA HQ Program Analyst at(800)368-6498 for guidance and clarification. Due to the nature of OPSG, exercise expenses are not allowable costs under OPSG. Unallowable Costs(SHSP,UASI and OPSG) Per FEMA policy,the purchase of weapons and weapons accessories, including ammunition, is not allowed with HSGP funds. Prohibited Equipment(SHSP,UASI and OPSG) Grant funds may not be used for the purchase of Prohibited Equipment. Refer to IB 407a: Use of Grant Funds for Controlled Equipment: Update for Fiscal Year 2017. Page 68 of 86 Appendix C—FY 2017 HSGP Funding Guidelines Additional Planning Assistance FEMA's National Preparedness Directorate (NPD)offers technical assistance(TA)that is designed to provide recipients and sub-recipients with specialized expertise to improve and enhance the continuing development of state and local emergency management across the five mission areas of the Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision-makers in open discussion of options to improve plans and planning in light of their jurisdiction's needs. While there is no direct cost to approved jurisdictions for DHS/FEMA TA,jurisdictions are expected to invest staff resources and take ownership of the resulting products and tools. TA deliveries combine current emergency management best practices with practical consideration of emerging trends,through discussion facilitated by DHS/FEMA contract specialists and with the support of FEMA Region operational specialists. Additionally, peer-to- peer representation may also be included from other jurisdictions that have recently addressed the same planning issue. The TA request form can be accessed at http://www.fema.gov/national-incident-management- system/fem a-tec h n i c a l-assistance-division. Additional Training Information Per DHS/FEMA Grant Programs Directorate Policy FP 207-008-064-1, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on September 9, 2013, states,territories,tribal entities and urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state,territory,tribal or Urban Area Training Point of Contact(TPOC)and falls within the FEMA mission scope and the jurisdiction's Emergency Operations Plan (EOP). The only exception to this policy is for Countering Violent Extremism courses, which must be approved in advance by the DHS Office for Civil Rights and Civil Liberties. For additional information on review and approval requirements for training courses funded with preparedness grants please refer to the following policy: http://www.fema.gov/media-library/assets/documents/34856. DHS/FEMA will conduct periodic reviews of all state,territory, and Urban Area training funded by DHS/FEMA. These reviews may include requests for all course materials and physical observation of, or participation in,the funded training. If these reviews determine that courses are outside the scope of this guidance, recipients will be asked to repay grant funds expended in support of those efforts. For further information on developing courses using the instructional design methodology and tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED Responder Training Development Center(RTDC)website. • DHS/FEMA Provided Training. These trainings include programs or courses developed for and delivered by institutions and organizations funded by DHS/FEMA. This includes the Center for Domestic Preparedness(CDP),the Emergency Management Institute (EMI), and the National Training and Education Division's(NTED)training partner programs including,the Continuing Page 69 of 86 Appendix C—FY 2017 HSGP Funding Guidelines Training Grants,the National Domestic Preparedness Consortium (NDPC)and the Rural Domestic Preparedness Consortium(RDPC). Approved State and Federal Sponsored Course Catalog. This catalog lists state and federal sponsored courses that fall within the DHS/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 http://www.firstrespondertraining.gov. Training Not Provided by DHS/FEMA. These trainings include courses that are either state sponsored or federal sponsored (non-DHS/FEMA), coordinated and approved by the SAA or • their designated TPOC, and fall within the DHS/PEMA 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 DHS/FEMA and are sponsored by the SAA or their designated TPOC. • Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. In addition, states,territories, Tribes, and Urban Areas are encouraged to incorporate the private sector in government- sponsored training and exercises. Additional information on both DHS/FEMA provided training and other Federal and state training can be found at http://www.firstrespondertraining.gov. Training Information Reporting System ("Web-Forms"). Web-Forms are an electronic form/data management system built to assist the SAA and its designated state,territory and Tribal Training Point of Contact(TPOC). Reporting training activities through Web-Forms is not required under FY 2017 HSGP; however,the system remains available and can be accessed through the DHS/FEMA Toolkit located at http://www.firstrespondertraining.gov/admin in order to support recipients in their own tracking of training. Additional Exercise Information Recipients that use HSGP funds to conduct an exercise(s) are encouraged to complete a progressive exercise series. Exercises conducted by states and Urban Areas may be used to fulfill similar exercise requirements required by other grant programs. Recipients are encouraged to invite representatives/planners involved with other Federally-mandated or private exercise activities. States and Urban Areas are encouraged to share, at a minimum, the multi- year training and exercise schedule with those departments, agencies, and organizations included in the plan. • Validating Capabilities. Exercises examine and validate capabilities-based planning across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. The extensive engagement of the whole community, including but not limited to Page 70 of 86 Appendix C—FY 2017 HSGP Funding Guidelines examining the needs and requirements for individuals with disabilities, individuals with limited English proficiency and others with access and functional needs, is essential to the development of an effective and comprehensive exercise program. Exercises are designed to be progressive—increasing in scope and complexity and drawing upon results and outcomes from prior exercises and real-world events—to challenge participating communities. Consistent with Homeland Security Exercise and Evaluation Program guidance and tools, the National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Exercises should align with priorities and capabilities identified in a multi-year TEP. • 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 TEP. States must include all confirmed or planned special events in the Multi-year TEP. The state or Urban Area may 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. • Regional Exercises. States should also anticipate participating in at least one regional exercise annually. • Role of Non-Governmental Entities in Exercises. Non-governmental participation in all levels of exercises is strongly encouraged. Leaders from non-governmental entities should be included in the planning, design, and evaluation of an exercise. State, local, tribal,and territorial jurisdictions are encouraged to develop exercises that test the integration and use of resources provided by non-governmental entities, defined as the private sector and private non-profit, faith-based, and community organizations. Participation in exercises should be coordinated with local Citizen Corps Whole Community Council(s)or their equivalents and other partner agencies. 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 and/or use, beyond the scope of the conclusion of the exercise(e.g., electronic messaging sign). Page 71 of 86 Appendix C—FY 2017 HSGP Funding Guidelines Appendix D — • FY 2017 OPSG Operations Order Template and Instructions Operations Order Template Instructions The OPSG Operations Order Template can be found by selecting the link for the FY 2017 HSGP NOFO on FEMA's preparedness grants page(https://wvvw.fema.gov/preparedness-non-disaster- grants). Executive Summary Overview Operations Order Executive Summary must: • Identify the organization name, point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction(typically this will be a program lead or manager overseeing operations and individuals assigned to that agency). - • Describe how Federal, state, local,tribal, and territorial law enforcement agencies will work together to establish and enhance coordination and collaboration on border security issues. Budget Requirements Overview Operations Order Detailed Annual Budget must: • Explain how costs and expenses were estimated. • Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements(e.g., equipment, fuel, vehicle maintenance costs)may be included. Submission Requirements Operations Orders must meet the following submission requirements: • Must be created and submitted as an Adobe Acrobat(*.pdf) document • Must not exceed six pages in length • Must be submitted using the following file naming convention: "FY 20XX OPSG <State Abbreviation>- <Local Unit of Government Name>" Due to the competitive nature of this program, separate attachments will not be accepted or reviewed. Page 72 of 86 • Appendix D—FY 2017 OPSG Operations Order Template and Instructions Appendix E — FY 2017 OPSG Operational Guidance • Appendix E is intended to provide operational guidance to OPSG applicants on the development of a concept of operations and campaign planning, the tactical operation period, and reporting procedures. This guidance also delineates specific roles and responsibilities, expectations for operations, and performance measures. Successful execution of these objectives will promote situational awareness among participating agencies and ensure a rapid, fluid response to emerging border-security conditions. OPSG uses an integrated approach to address transnational criminal activity. Federal, state, local,tribal, and territorial partners are required to establish and maintain an OPSG Integrated Planning Team (IPT)with representation from all participating law enforcement agencies, co- chaired by representatives from USBP, the SAA, and participating local law enforcement agencies' OPSG program representatives. USBP will provide routine monitoring and technical expertise to each participating agency. The content of each operational plan,to include the requested items will be reviewed for border-security value and approved by the corresponding sector's Chief Patrol Agent or his/her designee. All operational plans should be crafted in cooperation and coordination with federal, state, local, tribal, and territorial partners, to meet the needs of the USBP Sector. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the CBP/USBP Sector Headquarters with geographic responsibility for the applicant's location in developing and submitting an Operations Order with an embedded budget to the SAA. As OPSG continues to evolve, several proven practices are being recognized, centered on short- term, periodic operations in support of overarching near and long-term goals. A multi-step process will be established through the area IPT, including a campaign plan and a cycle of operations to ensure that OPSG partners maintain synergism and have a coordinated impact on reducing border-security risk. I. Concept of Operations and Campaign Planning(Post Allocation Announcement/Pre- Award) The overarching operational cycle involves three stages: 1)application, 2) concept of operations to formulate a Campaign Plan, and 3)one or more tactical operational periods, which are all developed by the IPT. All operations orders: Concept of Operations(CONOPS), Operation Orders (00)or Campaign Plans and Fragmentary Orders(FRAGOs)except for the initial application package shall be submitted through the CBP Stonegarden Data Management System in MAX.gov. Application: Please refer to Section D—Application and Submission Information-Instructions for OPSG. Campaign Plan: After awards are announced participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized-budgetary intent to their Page 73 of 86 Appendix E—OPSG Operational Guidance IPT. The campaign plan should articulate the participant agency's long-term border security objectives and goals designed to mitigate border-security risk. Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that OPSG usage is commensurate to the unique risk of each border region. This may require several short-term operations that combine to form an ongoing operational cycle, ensuring that USBP commanders and state, local, tribal, and territorial agency partners reserve the flexibility to respond to the ever-changing elements of border security. The operations plan also will articulate the budgetary intent of how funds are to be used throughout the performance period. The operations plan will project planned expenditures in the following categories: overtime, equipment, travel, maintenance, fuel, and administrative funds. The sub-recipient can initiate the procurement of equipment, as well as state how much the county intends to use for M&A while keeping funds for overtime or residual equipment funds available for use as needed. If the sub-recipient intends to spend more than 50%of its award on overtime over the course of the performance period,a PRICE Act waiver request must be submitted in accordance with IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding. The operations plan will meet both the SAA expectations to obligate the funds within 45 days of the award announcement and the demands of the grant's operational intent. Sector approved campaign plans must be submitted to USBP Headquarters no later than It months after the official awards announcement has been made. Tactical Operational Periods: Once the sub-recipient is ready to conduct operations,the area IPT will begin planning tactical operations. The operation order tracking number for each operational plan will be assigned by CBP/USBP. The operation order number will remain intact for the duration of the grant's PoP. In the event that changes or additional funding requests to the original operational plan must be made, a Fragmentary Order(FRAGO)will be created. These modifications will be annotated in the annex section of the FRAGO. II. Tactical Operational Period • Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and intelligence-driven planning is critical to conducting targeted enforcement operations consistent with the objectives of the OPSG. By participating in the OPSG,the state, local,tribal, and territorial agencies agree to conduct operations designed to reduce border-security risk. Tactical operations will be conducted on a periodic basis meeting the criteria outlined below. Tactical operational periods are composed of six critical elements: 1)a pre-planning meeting with the IPT; 2) specified beginning and ending dates; 3)the integration of intelligence and border security;4)use of targeted enforcement techniques; 5)clearly stated objectives; and 6)an after-action meeting. A campaign should involve several tactical operational periods. These periods require deliberate on-going planning to ensure command, staff, and unit activities synchronize to current and future operations. The cyclical nature of the process will ensure OPSG activities align with the fluctuating border-security threats and vulnerabilities. Planners Page 74 of 86 Appendix E—OPSG Operational Guidance should recognize that shorter, frequent tactical operational periods increase the flexibility and leverage gained through OPSG funding. The IPT should leverage information provided by the fusion center, Border Intelligence Centers or other local intelligence center,when possible, and establish a common operational vision. The USBP sector's Chief Patrol Agent, or his/her designee,will ensure that the information or intelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security value, driving the focus of operations. The tactical operational period should focus on specific targets of interest or specific areas of interest identified by the IPT. Once intelligence-driven targets are identified,the IPT will decide on operational objectives that reflect the intended impact of operations. The objectives should outline how the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal organizations. The frequency and duration of each tactical operational period should be predicated by local risk factors. The tactical periods may be broken-down into three, six or twelve month increments. The tactical operational period may combine to develop an operational cycle that is synchronous or asynchronous, connected, or unconnected, depending on security conditions and the IPT's intent. Each tactical operational period will begin on a predetermined date and end on a predetermined date, but the dates may be subject to change commensurate with emerging security conditions. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved by the corresponding USBP Sector and in concurrence with its SAA and USBP Headquarters. The USBP Sectors will upload copies of tactical period operations in the corresponding campaign plan folder in the CBP Stonegarden Data Management System in MAX.gov. Page 75 of 86 Appendix E—OPSG Operational Guidance The following diagrams illustrate two different approaches for conducting operations:4 CAMPAIGN PLAN'S OPERATIONAL CYCLE DURATION: 1 FISCAL YEAR FY start FY end October November December January February March April May June July Augrst September Period 01 Period 2 Period 3 This cycle illustrates contiguous operations. This is an example of a twelve month campaign plan with four tactical operational periods. Figure 1:Example of an Ongoing Synchronized Operational Cycle CAMPAIGN PLAN'S OPERATIONAL CYCLE DURATION: 1 FISCAL YEAR FY start Fr end 111111011 4 �. paaertd� .I This cycle illustrates operations on art as-needed basis, in response to emerging border security threats.This is an example of a twelve month campaign plan with five tactical operational periods. This sampte shows overlapping operations as well as times when there are no operations being conducted. Figure 2:Example of a Dynamic,Unsynchronized Operational Cycle 4 These illustrations reflect a twelve month campaign plan. A campaign plan should be written to encompass the performance period. Performance periods vary from state to state,please contact the State Administrative Agency for clarification. Page 76 of 86 Appendix E—OPSG Operational Guidance III. Reporting Procedures • Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how the state, local and tribal agencies' operations have impacted border security through the mitigation of threat or vulnerability and the overall reduction of risk. Reporting will focus on: monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations. To ensure consistent reporting each state, local and tribal agency will identify a single point of contact to represent their agency as a member of the IPT and to coordinate the submission of reports or execute other aspects of the grant. The Daily Activity Report, which can be found by selecting the link for the FY 2017 HSGP NOFO on FEMA's preparedness grants page(https://www.fema.gov/preparedness-non-disaster- grants), is to be used to submit the ongoing results and outputs from OPSG operations conducted. The information and statistics included in the DAR will be delineated by agency (friendly forces). The Daily Activity Report must be submitted to the USBP sector, or the participating agency's OPSG coordinator within 48-hours of the conclusion of each OPSG shift. Sub-recipients and Sectors are responsible to ensure that DARs are submitted in the proper format and in a timely manner. DARs will be submitted using the CBP Stonegarden Data Management System in www.MAX.gov. Friendly Forces receiving funding through a sub- recipient will submit DARs within 48 hours. Border Patrol Sectors and OPSG subrecipients will implement internal protocols to ensure operational data from sub-recipients and friendly force DARs are properly collected following the established guidelines. USBP Sector Coordinators will compile the results from each Daily Activity Report at the end of the month and reconcile with the OPSG sub-recipients by the 10th day of the following month. The USBP sector will compile the reconciled results from the participating agencies and submit the results to USBP Headquarters by the 15th of each following month. In addition to the ongoing reporting of outputs, sub-recipient participants will be required to submit After Action Reports to USBP sectors within 10 days of closing the operational PoP for that funding year. The After Action Report should carefully articulate outcomes and outputs, as well as how the results of the operation compare with the objectives identified during the pre- planning meeting. Failure to submit the After Action report in a timely manner may prevent the approval of future.operations requests. All AARs and other OPSG reporting requirements will be submitted through the CBP Stonegarden Data Management System in www.MAX.gov. Sectors are responsible for submitting AARs into Border Patrol Enforcement Tracking System (BPETS)as applicable. IV. Operational roles and responsibilities In order to achieve unity of effort, it is essential that each participant know the roles and responsibilities within the IPT. The USBP sector's Chief Patrol Agent,or his/her designee, will: • Coordinate and chair the area Integrated Planning Team's meetings; Page 77 of 86 Appendix E—OPSG Operational Guidance • Coordinate with all interested and eligible state, local,tribal, and territorial agencies in the sector's area of operation during the open period of the OPSG application process by: • — Assisting applicants in completing the operations planning portion of the application, which is similar to the Operations Order used by the Border Patrols — Forwarding the approved operation portion of the application to CBP/USBP Headquarters, as well as to the SAA to complete the application process set by DHS/FEMA/GPD • — Detailing what operational support the USBP Sector anticipates for specific periods and matching the capabilities of partners to fill those gaps; and. • Following the announcement of grant awards, coordinate and chair a meeting with state, local,tribal, and territorial agencies thatreceived OPSG awards to develop an individualized campaign plan. This includes: — Working with state, local,tribal, and territorial agencies, along with other federal law enforcement agencies to determine the dates, focus, and needs of each tactical operational period, ensuring that each operation has a nexus to border security; — Receiving the first periodic operations order from the state, local,tribal, and territorial agencies and ensuring that the operation is conducted as outlined in Section I; — Monitoring and supporting the Operational Cycle throughout the performance period; — Ensuring Daily Activity and After Action Reports are submitted by state, local and tribal agencies in the proper format and within the established timeframes; — Providing instruction,when possible,to state, local and tribal agencies regarding techniques, methods and trends used by transnational criminal organizations in the area; — Providing a single point of contact to participants as a subject-matter expert in OPSG that can coordinate, collect, and report operational activities within the established reporting procedures; — Providing verification that operations are actually conducted; — Documenting and conducting random, on-site operational verification of OPSG patrols by sub-recipients and friendly forces; — Verifying that sub-recipients are performing OPSG enforcement duties in accordance with applicable grant, statute, regulatory guidance, and instructions; and — Ensuring that grant funds are appropriately expended to meet sector border enforcement operational requirements and assist in enhancing sub- recipient/friendly force capabilities in order to provide for enhanced enforcement presence, operational integration, and intelligence sharing in border communities. 5 This will not be entered into the Border Patrol Enforcement Tracking System(BPETS). Page 78 of 86 Appendix E—OPSG Operational Guidance The state, local or tribal agency lead, or their designee, will: • Coordinate with the SAA on all grant management matters, including but not limited to the development and review of operations orders, expenditure of funds, allowable costs, reporting requirements; • Participate as a member of the Integrated Planning Team to facilitate the application process during the open period and ensure the application is submitted in compliance with the grant instructions; • Upon receiving a grant award, coordinate and meet as a member of the Integrated Planning team to develop an individualized campaign plan that covers the length of the grant performance period; • Work within the Integrated Planning team to develop an initial Operational Cycle and determine the duration of the first operational period based on the tactical needs specific to the area; • Submit all operations orders to the SAA for review, and submit the first periodic operations order to the Border Patrol and ensure the operation meets the six criteria established in Section II; • Conduct operations, on an as-needed basis throughout the length of the grant performance period; • Integrate law enforcement partners from contiguous counties and towns into their tactical operations to expand the layer of security beyond existing areas; • Ensure all required reports, including reports from friendly forces, are submitted to the Border Patrol and the SAA, when applicable, in the proper format and within established timeframes; • Ensure applicable Operation Stonegarden derived data is shared with the designated fusion center in the state and/or Urban Area. • Request instruction and information from the SAA,when applicable, and/or Border Patrol and other federal law enforcement agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area; and • Provide the SAA and Border Patrol a single point of contact that maintains subject-matter expertise in OPSG who can coordinate, collect, and report operational activities within the established reporting procedures. The SAA will: • Actively engage in the IPT meetings; • Work in direct coordination and communication with the local or tribal agency lead on all grant management matters; • Review all operations orders created by the local or tribal agency; • Acts as the fiduciary agent for the program and provide expertise in state policy and regulations; • Enter into a sub-award agreement to disburse the allocated funding awarded through DHS/FEMA/GPD; • Generate quarterly reports to DHS/FEMA capturing the sub-recipients' obligation and expenditure of funds; Page 79 of 86 • Appendix E—OPSG Operational Guidance • Determine if the grant's performance period requires additional refinement over the federally established 36-month period; and • Conduct audits of the program to ensure that the sub-recipients are in compliance with program guidance. V. Definitions(OPSG only) Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal . organizations in furtherance of their criminal activity. Campaign Plan: The first Operational Order based on the CONOP aimed at accomplishing a strategic or operational objective within a given time and space. Concept of Operations (CONOP): A written statement that clearly and concisely expresses what the state, local or tribal commander intends to accomplish and how it will be done using available resources(and funding). It is also the operational equivalent of the OPSG grant application. Fragmentary Order(FRAGO): A fragmentary order is a modification of the approved campaign plan. After an operation order has been approved, any changes to a campaign plan will be submitted as a FRAGO. Subsequent FRAGO's are permissible. Friendly Forces: Local law enforcement entities with whom OPSG sub-recipients provide funding to support border security operations. Integrated Planning Team: Group that coordinates on all aspects of OPSG application, planning, and de-briefings. Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities intended to synchronize current and future operations(driven by current intelligence and short-term goals that support the campaign). Operational Discipline: The organized manner in which an organization plans, coordinates, and executes the OPSG mission with common objectives toward a particular outcome. Operation/Operational Order(00): A formal description of the action to be taken to accomplish or satisfy a CONOP, Campaign Plan, or FRAGO. The 00 includes a detailed description of actions to be taken and required logistical needs to execute an operation. Performance Measure: A numerical expression that quantitatively conveys how well the organization is doing against an associated performance goal, objective, or standard. Risk: Potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence. Page 80 of 86 Appendix E—OPSG Operational Guidance Tactical Operational Period: An operational segment that meets the following six criteria: 1) specified beginning and ending dates; 2)begins with pre-planning; 3) is intelligence-driven;4) uses targeted enforcement techniques; 5)has clearly stated objectives; and 6)concludes with an after-action meeting. • Targeted Enforcement: The leveraging of all available assets against a specific action,area, individual,or organization and using those deemed most appropriate to mitigate risk. Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by transnational criminal organizations to advance their criminal activity. Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources,the overall context, a specific event or series of events, or observation of suspicious activity. Tier: Tier refers to the geographical location of a municipality, county or tribe with respect to the border, i.e., Tier 1 is a county located on the border; a Tier 2 county is a county contiguous to a Tier 1 county. A Tier 3 is a county not located on the physical border; a Tier 3 county is a county contiguous to a Tier 2 county. Unity of Effort: Coordination and cooperation among all organizational elements, even though they may not be part of the same"command" structure,to achieve success. Vulnerability: The protective measures in place are less than the protective measures needed to mitigate risk. Page 81 of 86 Appendix E—OPSG Operational Guidance Appendix F - FY 2017 HSGP Allowable Cost Matrix aillaillailkiiiiMMIMEMMINIMINIMIMIlatiiiiiiii i Allowable Plannin• Costs Developing hazard/threat-specific annexes that incorporate the range of prevention, 11 N •rotection,res'onse,and recovery activities Developing and implementing homeland security support programs and adopting on.oin. DHS/FEMA national initiatives Ili Y N Develo•in_ related terrorism and other catastro shic event i revention activities 11111E V N Develo'in: and enhancin: u lans and u rotocols 1" III Y N Develo sin. orconductin! assessments Y III V N Hiring of full-or part-time staff or contract/consultants to assist with planning activities(not for the purpose of hiring public safety personnel fulfilling traditional Y. ' V N 'ublic safe duties) Materials reu uired to conduct •lannin-activities VIII V N Travel/I er diem related to 'tannin. activities Y',`n! Y Y Overtime and backfill costs(in accordance with o.erational Cost Guidance Y IP V Y Issuance of WHTI-compliant Tribal identification cards Y N N Activities to achieve planning inclusive of people with disabilities and others with I N access and functional needs and limited En:lish iroficienc - Coordination with Citizen Corps Councils for public information/education and l } N develo u ment of volunteer 9 ro.rams U'date_overnance structures and srocesses and 'tans for emer_enc communications Y V N Activities to achieve I lanning inclusive of u eople with limited En•lish proficiency 1 V Allowable Or l anizational Activities Reimbursement for select operational expenses associated with increased security 1. 1, N measures at critical infrastructure sites incurred(u• to 50 'ercent of the allocation Overtime for information,investigative,and intelligence sharing activities(up to 50 1 Y Y .ercent of the allocation) Hiring of new staff positions/contractors/consultants for participation in information/intelligence analysis and sharing groups or fusion center activities(up to 1" V N 50 s ercent of the allocation) Allowable E u ui•ment Cate.ories Personal Protective E8 ui.ment V.Aiii. V Y aplo ,- IU-' - 1_. • . a R- -a . • EiumuctuMMEM111.1111.11 V 1111;V N CBRNE 0 ierational Search and Rescue E,uipment V ami V N Information Technolo3 V II , V V C bersecuri Enhancement E•ui u ment V Mt: Y N Intero.erable Communications E 8 ui u ment Y I ,:Y 1' Detection Y ar Y Y Decontamination VIR V N Medical - V;`Sr,, V Y Power(e..., lenerators,batteries, 9ower cells) V it Y V CBRNE Reference Materials V E ' Y N CBRNE Incident Res u onse Vehicles V '_ Y N Terrorism Incident Prevention El ui•ment Y Ai Y V Ph sical Securi Enhancement E 8 ui u ment Y lir Y V 6 Current as of publication for FY 2017 Programs.This list is not all-inclusive. See the respective program guidance for additional details and/or requirements Page 82 of 86 Appendix F—FY 2017 HSGP Allowable Cost Matrix Allowable Program Activities 6 SHSP UASI OPSG AL Ins.- '.. ... c e-.'.. S stems Y MIj Y Y Animal Care and Forel NI Animal Disease Y IF Y N CBRNE Prevention and Res tonse Watercraft V It; V N CBRNE Aviation E.ui.ment Y III V N CBRNE Lo:istical Su..ort E•ui.ment Y S i Y N LAILIALa.1�fL.��nIL'ii'r"ra.i(caPAIa-fFr��rt �a.i�r•�y.n.�t .ta�ta.�c.zKaxy� Y l Other Authorized Equipment _ L, Y ANN Allowable Trainin l Costs Overtime and backfill for emergency preparedness and response personnel attending DHS/FEMA-sponsored and a..roved trainin:classes Overtime and backfill expenses for part-time and volunteer emergency response i . I .ersonnel •articisatin:in DHS/FEMA trainin Y ' Y' Training worksho es and conferences • V 111111 Aar Activities to achieve training inclusive of people with disabilities and others with access and functional needs and limited En.lish .roficienc Y Y"`:" N Full-or .art-time staff or contractors/consultants V ask_ V VIM Travel Y II YY Su..lies Y ail Y N Instructor certification/re-certification Y-'.alitt" V N Coordination with Citizen Co .s Councils in conductin:trainin:exercises Y Y N Intero.erable communications trainin. Y lir'' Y N A i•it - U . i-•- dumumuziatiggaggg gaaimu.iic3.Oag 1 gamagsliM V V N Allowable Exercise Related Costs Desi.n,Develo.,Conduct,and Evaluate an Exercise V=tit Y N Full-or .art-time staff or contractors/consultants Y` Y N Overtime and backfill costs,including expenses for part-time and volunteer 11 Y Y N emer:enc res.onse •ersonnel .artici.atin:in DHS/FEMA exercises Im.lementation of HSEEP Y MI Y N Activities to achieve exercises inclusive of people with disabilities and others with Y II Y N access and functional needs. Travel Y'IF.; V N Su..lies Y III`' V N Intero.erable communications exercises Y II V N Activities to achieve planning inclusive of people with limited English proficiency. V 1111; V N Allowable Mana l ement&Administrative Costs Hiring of full-or part-time staff or contractors/consultants to assist with the management of the respective grant program,application requirements,and 1' Y com.liance with re.ortin. and data collection ret uirements Development of operating plans for information collection and processing necessary ; to res mond to DHS/FEMA data calls Y Overtime and backfill costs V V Travel - Y I I V Meetin. related extenses V e y Authorized office e•ui.ment V V N Recurring expenses such as those associated with cell phones and faxes during the PoP .. II . N of the grant .ro:ram Leasing or renting of space for newly hired personnel during the PoP of the grant Y Mr Y N .ro:ram Page 83 of 86 Appendix F—FY 2017 HSGP Allowable Cost Matrix • Appendix G — FY 2017 IISGP Supplemental Material GPD collaborates with various subject-matter experts and acknowledges the value and expertise these federal partner agencies provide to help shape the development and implementation of the HSGP. This continued partnership and collaboration helps provide recipients with the greatest number of resources required to effectively manage and implement funds as well as promote transparency. Therefore, GPD is providing hyperlinks to information on various subjects and policies that are relevant to the mission and intent of the DHS/FEMA and its preparedness grant programs. RadiologicaVNuclear Detection The Domestic Nuclear Detection Office(DNDO) is charged with coordinating the development of the global nuclear detection and reporting architecture for a managed and coordinated response to radiological and nuclear threats. This is achieved through planning and coordination efforts with partners from federal, state, local,tribal,territorial, and international governments and the private sector. To support these efforts, DNDO has developed a Radiological/Nuclear Detection Supplemental Resource to provide guidance to stakeholders seeking to build or sustain preventive radiological and nuclear detection capabilities using DHS/FEMA preparedness grants. The guidance outlines integrating these capabilities with broader national preparedness initiatives, including PPD-8 and THIRA, as well as the Global Nuclear Detection Architecture using POETE-aligned activities. For more information please refer to http://www.dhs.gov/publication/homeland-security-grant-program-hsgp-supplemental-resource- radiologicalnuclear-detection. National Information Exchange Model(NIEM) NIEM is a common vocabulary that enables efficient information exchange across diverse public and private organizations.NIEM can save time and money by providing consistent,reusable data terms and definitions and repeatable processes. To support information sharing, all recipients of grants for projects implementing information exchange capabilities are required to use NIEM and to adhere to the NIEM conformance rules. Visit https://niem.gov/grants for guidance on how to utilize DHS/FEMA award funding for information sharing, exchange, and interoperability activities. The NIEM Emergency Management domain supports emergency-related services(including preparing first responders and responding to disasters), information sharing, and activities such as homeland security and resource and communications management. The Emergency Management domain has an inclusive governance structure that includes federal, state, local, industry, and,where necessary, international partnerships. The NIEM Emergency Management domain is committed to community support via technical assistance and NIEM training. For more information on the NIEM Emergency Management domain,to request training or technical assistance or to just get involved, visit https://niem.gov/EM. Integrated Public Alert and Warning System (IPAWS) The 2017 IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on eligible public alert and warning activities and equipment standards for prospective state, local, tribal, and territorial recipients. The intent of this document is to promote consistency in policy Page 84 of 86 Appendix G—FY 2017 HSGP Supplemental Material • across federal grant programs, and to ensure compatibility among federally-funded projects. For more information on the IPAWS, please go to https://www.fema.gov/media- liI ,,ts/documents/105518. Homeland Security Information Network HSIN is a user-driven, web-based, information sharing platform that connects all homeland security professionals including the Department of Homeland Security(DHS)and its federal, state, local,tribal,territorial, international, and private sector partners across all homeland security mission areas. HSIN is used to support daily operations, events, exercises, natural disasters, and incidents. To support user mission needs, HSIN provides three sets of services for secure information sharing. The first service provides a shared place for communities to securely collaborate on homeland security issues and includes core functions such as a web conferencing and instant messaging tools with white boarding, video, and chat services for real time communication and situational awareness. The second set provides secure dissemination and sharing capabilities for homeland security alerts,reports, and products.The third set allows users to access and query a variety of shared data and services from all homeland security mission areas and trusted federal partners. Preparedness grant funds may be used to support planning, training and development costs associated with developing and managing, mission critical, HSIN communities of interest and sites. Learn more about HSIN at http://www.dhs.gov/hsin-hsgp- guidance. GSA's State and Local Purchasing Programs The U.S. General Services Administration(GSA) offers two efficient and effective procurement programs for State and local and governments and certain other non-Federal entities, to purchase products and services directly from pre-vetted contractors, to fulfill homeland security and technology needs. The GSA Schedules (also referred to as the Multiple Award Schedules and the Federal Supply Schedules)are long-term government-wide contracts with commercial firms that provide access to millions of commercial products and services at volume discount pricing Cooperative Purchasing(www.gsa.gov/cooperativepurchasing) Cooperative Purchasing, authorized by statute, allows state and local governments to purchase under specific GSA Federal Supply Schedule (also known as Multiple Award Schedules (MAS) and Schedules)contracts to save time,money, and meet their everyday needs and mission. State and local governments are authorized to purchase IT products, software and services found under Federal Supply Schedule 70 and the IT related categories under the Consolidated Schedule through the introduction of Cooperative Purchasing,and state and local governments may purchase alarm and signal systems, facility management systems, firefighting and rescue equipment, law enforcement and security equipment, marine craft and related equipment, special purpose clothing, and related services as contained in Federal supply Schedule 84(or any amended or subsequent version of that Federal supply classification group). Disaster Purchasing(www.gsa.gov/disasterpurchasing) _ Disaster Purchasing, authorized by statute, allows state and local governments access to all Federal Supply Schedules, for the purchase of products and services to facilitate disaster preparedness or response or recovery from major disasters declared by the president under the Page 85 of 86 Appendix G—FY 2017 HSGP Supplemental Material Robert T. Stafford Disaster Relief and Emergency Assistance Act OR to facilitate recovery from terrorism, or nuclear, biological, chemical, or radiological attack. State,Local,Tribal and Territorial (SLTT) Cybersecurity Engagement Program The DHS Office of Cybersecurity and Communications (CS&C),within the National Protection and Programs Directorate, is responsible for enhancing the security, resilience, and reliability of the Nation's cyber and communications infrastructure. CS&C works to prevent or minimize disruptions to critical information infrastructure in order to protect the public, the economy, and government services. CS&C leads efforts to protect the federal".gov"domain of civilian government networks and to collaborate with the private sector—the".com"domain—to increase the security of critical networks. The DHS SLTT Cybersecurity Engagement Program within CS&C was established to help non- federal public stakeholders and associations manage cyber risk. The program provides appointed and elected SLTT government officials with cybersecurity risk briefings, information on available resources, and partnership opportunities to help protect their citizens online. Through these and related activities,the program coordinates the Department's cybersecurity efforts with its SLTT partners to enhance and protect their cyber interests. More information on all of the DHS CS&C resources available to support SLTT governments is available at https://www.us- cert.gov/ccubedvp. Regional Resiliency Assessment Program (RRAP) The Regional Resiliency Assessment Program (RRAP) is a cooperative assessment of specific critical infrastructure within a designated geographic area and a regional analysis of the surrounding infrastructure that address a range of infrastructure resilience issues that could have regionally and nationally significant consequences. These voluntary, non-regulatory RRAP projects are led by the Office of Infrastructure Protection(IP),within the Department of Homeland Security's National Protection and Programs Directorate, and are selected each year by the Department with input and guidance from Federal, State, and local partners. For additional information on the RRAP, please visit https://www.dhs.gov/regional-resiliency- assessment-program. Page 86 of 86 Appendix G–FY-2017 HSGP Supplemental Material G aS ,;14, Na LOS ANGELES COUNTY/DEPARTMENT OF AUDITOR—CONTROLLER EXHIBIT G SHARED SERVICES DIVISION GRANT PAYMENT REQUEST SECTION A: SUBMITTING YOUR REQUEST Please submit legible supporting documents,files and completed request form at: 1. Grant Name&Year: Grants(a.auditor.Iacountv.dov In the event e-mail is not available,you can mail your Grant payment request to(please do not fax or send duplicates): Department of Auditor-Controller Shared Services Division/Attn:Grants Unit 20 3470 Wilshire Blvd.,Suite 812 _ Los Angeles,CA 90010 SECTION B: SUB-RECIPIENT'S INFORMATION 1.Sub-recipient's Name:(reimbursement check wit 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 PAYMENT REQUEST INFORMATION 1.SOLUTION AREA 2.ITEM# 3. 4.EHP required? 5.VENDOR'S INVOICE# 6.PURCHASE METHOD 7.CLAIM (e.g.equipment,training, (e.g.17.020) PROJECT (Environmental a Historic Preservation) If services,supplies or equipment *If the purchase price is$150K or more for a Non- AMOUNT planning,exercise) ALPHA were purchased, please attach Competitive Bid or a Sole Source,please attach (indicate the (e.g.D) invoices (maximum of 5)and State's prior Approval. amount per each No Yes(attach indicate purchase method by Competitive line) prior State completing numeral 6. Bid?(How Non-Competitive Sole Source Approval) many?) Bid I I I I 1 I I I t I Y - Y I I I 1 t I i a a a L a 4- 8. 8.TOTAL SECTION D: SUB-RECIPIENT'S CERTIFICATION I certify that(please use the checkbox): 1.I am the duly authorized officer of the claimant herein and this claim is in all respect true and correct. All expenditures were made in accordance with applicable laws,rules,regulations and grant conditions and STAMP WITH RECEIVED DATE HERE: assurances. 2.All instructions for this form were followed and all the supporting documentation(per instructions)is included with this claim. 3. AUTHORIZED SIGNATURE DATE 4. AUTHORIZED PRINTED NAME AUTHORIZED TITLE 5, AUTHORIZED CONTACT INFORMATION(If different from Section B): ASSIGNED INVOICE NO.: PHONE# E-MAIL: NOTE:This Form is intended for Internal SSD review purpose only. Revised on 11/20/2017 COUNTY OF LOS ANGELES DEPARTMENT OF AUDITOR-CONTROLLER/SHARED SERVICES DIVISION INSTRUCTIONS TO COMPLETE THE GRANT PAYMENT REQUEST � _=< Purpose of these instructions: To assist sub-recipients in completing the Grant Payment Request. We appreciate your participation in this program, for questions or suggestions please use our e-mail below to contact us. Please do not send these instructions to us,they are to be used for your guidance only. SECTION A:GENERAL INSTRUCTIONS FOR SUBMISSION OF GRANT PAYMENT REQUEST. :.:.: In numeral 1 of this section,please enter the name and year of the grant program that you are submitting for payment. In addition,please help us expedite the process of your Homeland Security claims by: • Completing the Grant payment request correctly and according to these instructions. • Submitting your Grant payment request using our e-mail-->Grants@auditor.lacounty.gov(please do not fax documents). • Sending your Grant payment request only once(we do not require original documents and duplicates will slow down our process). • Using the checkboxes to ensure all the required supporting documents and files accompany your Grant payment request. Supporting documents are flagged for your convenience with a checkbox within the corresponding areas. • Ensuring that all documents attached to your Grant payment requests are legible. • Submitting Grant payment request timely. We do not guarantee the process of Grant payment requests that are submitted late or too close to the final due date. Reimbursable expenditures need to be charged within the performance period of the grant and submitted to us as soon as they are incurred. SECTION B:SUB-RECIPIENT'S INFORMATION , . • *14;21, ,f. , . The following numerals provide the instructions to fill in the corresponding numeral in the form: 1. Please enter the name of the agency requesting for payment. The name of the agency should be typed according to its signed agreement and as you need it to appear in the payee line of the reimbursement check. 2. Please enter the complete address(street number and name,city,zip code)and attention line where you will need to receive the reimbursement check. Please note that this is not necessary for L.A.County departments. 3' Please enter the tax ID of the governmental entity requesting payment. Please leave blank for L.A.County departments. 4. Please enter the information of the person that can assist us with detail claim questions. S "; Ni k.11711M, In order to expedite your Grant payment request, in this area's grid, include a maximum of five(5)invoices or reimbursements charges(one charge or one invoice per line). The invoices or charges need to share the same solution area,project alpha and item#. In addition, invoices from one fiscal year should be claimed separate from invoices of another fiscal year. For example:an invoice dated June 2015(FY 14/15)should not be combined with an invoice dated October 2015(FY 15/16)in the same claim request. The following numerals provide the instructions to fill in the corresponding numeral in the form: 1. Enter the solution area corresponding to the claim. This information is found in the latest budget of the grant.Examples of solution areas are: equipment,training,planning or exercise. 2. Enter the 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 prior to the start of the project on certain equipment items(see AEL description)or training/exercise projects. Please attach the following: a) ❑ State EHP Approval: if required by the state for your claim. Revised on 11/20/2017 Page 1 of 4 [SECTION C: (Continued) 5. If the expenditures that you are claiming were purchased thru a vendor or contractor,please enter the invoice#in the grid area. Please note that you are responsible for following acceptable purchasing policies and for documenting your procurement process. Additionally please include the following documentation with your claim: a) n 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) in Copy of the purchase order c) Print out of the corresponding AEL#(Authorized Equipment List number). The AEL listing can be found at: https://www.rkb.usgema_grants.cfm d) 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) I I 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) n 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) Federal Debarment Listing:Please provide a screen print out of the queried Federal Debarment Listing at http://www.sam.gov/portal/public/SAM. (you will need a username and a password; if you don't please create an account). The listing needs to be queried prior to the selection of the vendor. 6. If you are claiming services,supplies or any other type of items purchased thru a vendor or contractor,please indicate with an X the method that you used to acquire the items(do not leave blank or mark more than one). Please note that competitive bid,non-competitive bid or sole source are the only valid purchasing methods. a) ❑ Competitive Bid: for projects that received more than one bid. Please indicate number of bids received(must be more than one). b) ❑ Non-Competitive Bid: for single bid purchases of$150,000 or more to a single vendor or a single project,please attach the approval from the State. The approval needs to be requested from the State prior to the start of the project. c) Sole Source: for non-bid purchases of$150,000 or more to a single vendor or a single project,please attach the approval from the State. The approval needs to be requested from the State prior to the start of the project. 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 your Program Coordinator know of the possible need for budget modification. 8. Enter the"Total Amount"by addingnthe subtotal claims included in each line. Se 1 , < . ®„ i;NVS CER The following numerals provide the instructions to fill in the corresponding numeral in the form: 1. Please read and check the box provided if you are an authorized signor. 2. Please read and check the box provided if you are an authorized signor. 3. Please sign the Grant payment request if you are an authorized signor of your agency. 4& When the authorized person is the same as the contact person in Section B you do not need to enter the authorized contact information.If the 5. authorized person and the contact person in Section B are different,please enter all the fields in this area as requested. Revised on 11/20/2017 Page 2 of 4 For Equipment Claims: a) 0 Equipment Inventory Listing(Print out&Excel File): Please include both the printout of the listing and the corresponding excel file with your claim. The excel file is used to submit your claim with the state and the printout as backup document for audits. If there is no serial# for your equipment please assign a valid ID tag,or write"Consumable"(if it applies)or write N/A. please do NOT leave the corresponding space blank. *Please refer to the Instructions to Equip Intv Tab for completion procedures of Equipment Inventory. Additionally,please enter the appropriate CBRNE Mission(Chemical,Biological, Radiological,Nuclear,or Explosive)in the column titled "Equipment Description&Quantity". This only applies to vehicles with AEL#12VE-00-MISS(Vehicle Specialized Mission:CBRNE). You need to inform us of any changes on the items above*1. 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) E State-Sponsored Training Reporting Form(with the tracking request#): Please add this form along with the Training Request Form Training Officer(POC), which you completed at the website,to the claim's backup documentation. All the backup documentation submitted for the training claim needs to agree with the training period and the detail description on the Training Reporting Form and the line item of the Grant. Training request#'s must be obtained from the State prior to the start of the project. b) 0 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) E Personnel List(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. d) 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: • Attendance sheets (signed by employee and instructor) • Sign in sheets (same as above) • Signed training certificates e) 0 Summary Listing of Charges: Please use the Training Summary Sheet form provided in this claim packet that clearly shows the breakdown of the training charges per employee and that match the total claimed. This form includes the following:employee name, assignment, 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). Please ensure that the Training Summary Sheet is verified/approved by an authorized signatory,with printed name and title,and dated. f) n 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. g) 0 Timecards: Include a printout of the corresponding timecards. Manual timecards need to indicate the#of hours charged per day to the grant,supervisor's signature,employee name and signature. Automatic system generated timecards need to be approved and include the name of the employee and hours charged per day to the grant. h) El 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. i) I I 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. Revised on 11/20/2017 Page 3 of 4 j) 0 Roster of 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 employee covered by the backfilling position. For Planning Claims: a) pi 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) Signed Certificate of Completion:The certificate of completion can be an e-mail confirming that the planning activity was completed. c) n 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) 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) n Proof of State Approval of After Action Report(AAR): In order for your AAR to be approved you have to submit it to the State using the ODP Portal(see link below),within 90 days after completion of the exercise. You need to notify the State when the AAR is uploaded so they can proceed with the approval process. https://hseep.dhs.gov/DHS_SSO/ b) n 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) n Supporting Documentation for Personnel Cost: When your exercise claim includes personnel cost,please see d)to i)under Training Claim(supporting documents needed)and add to the documentation. For Organization Claims: Please see above b)and c)under Exercise Claims Revised on 11/20/2017 Page 4 of 4 i r C Y d “:1;42-i Nl Z G Q D C 01 6 O. ;p Y 88 Z P H a r 0 } 0 Z =E E2 Z_ H E 2 z” a 5 a `9 f] Q a u _ d ° r E O a tea _ 2 a 0 W „o e 2 N u° a O R h � C L N O o e O E L:44 L 2 � Q - r o wZ °C f W d j Z K 2 z c A q E m i Equipment Inventory Listing Procedures for Completion OBJECTIVE: To provide an equipment inventory listing that links the State Homeland Security Workbook,to the Equipment Ledger and to the Equipment Listing to simplify the tracking and accountability;and to eliminate duplication and confusion. Field Date Element Procedure (1) Grant Name SHSP or EMPG (2) Sub-Recipient Name of your agency (3) Date of Report Date report completed{1) (4) Grant Year Grant Year of funds used to purchase equipment (5) Project Line Project Line(from Grant Workbook) (6) Project Alpha Project Alpha character(from Grant Workbook) (7) AEL No. Authorized Equip Listing No(from Grant Workbook) (8) Description Description of the equipment (9) Serial#or Other ID# Serial#or Other identification#used (10) Safecom consult Fill out either by Yes, No,or N/A (11) Source of Property Funding source, i.e,SHSP, EMPG,etc. (12) Title Holder Name of agency(City/Department) (13) Vendor Name Name of the vendor (14) Invoice Number Invoice number (15) Acquisition Date Date equipment acquired (16) Acquisition Cost Cost of the individual equipment item (17) %of Fed Part Fed participation in the cost of equipment (18) Location Location of equipment (19) Use&Condition Use&condition{2} (20) Disposition data Date of disposition (21) Sale Price Sale price, If applicable,or N/A for not applicable The Equipment Inventory Listingmust be completed in its entirety to meet the objective of the form. Note{1}: This date should be the date the physical inventory of equipment was taken and the results reconciled with the equipment records(at least once every two years). {2} Indicate: N= New, D= Deployed,0=Out of Service, L=Lost&S=Stolen Distribution Copy maintained in sub-recipient file Copy forwarded to Shared Services Division 41 JF u)2 w .+ 0{w Yc O$ C>f C W a flIil m tjGc ! a O W 1 I- 0 W F g C9 W co OIO S } a' ets Et. a[ Er) E N =° z W C N Cry F 2 '6-6 ZZ0 H g F W '2Q 2 Q Z F g% F__ M i Z~It gd'' -a 2 g d 1- 1 o2 1- a O W Z a C - o 4 co H 2 y W N 0 CI O 5 F. d L C 2 ww w _ w O W d ,_ L 0 N E d V 3 c W o z (Is 'O -0 O N d N 4 S '.' N C D O d N t.i7 O',. o a i U a) o d o 2. A a, a0 U w z 0 Z J D w a. 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LL 0 Q LL a lc w_ w ul as *r ,2 c v is tn .g N ti N o a y O a, (I) m LU t c c W V N U E Z u W Ce re LU O LL C.4 a a) O w Y co cn U U I- LL W O w` d O cz CC Z U w > O S C7 d Q $ z o cca d Q c 1 () o L';' % (n 2 N m c C) u co co p co Na) O C N O Z O L C 7 P=- . v 13 H ci ti 42., rn o�pp O O ' 0 d LL :: Q u_ V oth N Q a` v Uc a U Q, 'a2 F aG �^ Q W 7 Z C N K I) N O • 7 O = a � y c m� i r pa o ' (.= a 61 a o cY co 4 W > O w 0 (./1 1 L.0 ¢ z Lu W W u o O W lA O N � n E Za O 2' C7 ` c �Q 6 , .Q v E ,n m Z o v o' 1O n . ti w > Z L a) v D. 8.Notes on Personnel Cost: In general,costs associated with: ❑ Work performed under contract for a specific deliverable DOES NOT count against the personnel cap, however, ❑ Work performed under contract for an undefined period, such as for personnel costs supporting operational activities, including general planning, training or exercise activities DO count against the personnel cap; and ❑ Work performed by all non-contractor personnel, including for full-or part-time staff and operational overtime DO count against the personnel cap. The following examples would not count towards the personnel cap: ❑ Vendor installation of a radio tower; ❑ Vendor training on new equipment purchased; ❑ Contractor hired to create an Emergency Operations Plan; ❑ Contractor hired to provide deliveries of ICS 400; and ❑ Contractor hired to assist with planning, training, evaluating, and reporting the effectiveness of a specific exercise. The following examples would count towards the personnel cap: ❑ Contractor hired to be the State's WMD training instructor with no specific deliverables under contract; ❑ Contractor hired to facilitate unidentified number of exercises throughout the performance period; ❑ Contractor hired to be the part-time auditor of Homeland Security Grants throughout the year; and ❑ Contractor hired to be an intelligence analyst.