HomeMy WebLinkAbout18 - Approval of a Transfer Agreement for the 2014 Homeland Security GrantCTY OF
F
NEWPORT BEACH
City Council Staff Report
August 11, 2015
Agenda Item No. 18
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: Scott L. Poster, Fire Chief — (949) 644 -3101, sposter @nbfd.net
PREPARED BY: Matthew Brisbois, Life Safety Specialist
PHONE: 949 - 644 -3381
TITLE: Approval of a Transfer Agreement for the 2014 Homeland Security Grant
ABSTRACT:
The Orange County Sheriff - Coroner's Department (County), in its capacity as the lead agency for the
Orange County Operational Area, has received federal funding from the State of California through the
California Office of Emergency Services and the State Homeland Security Grant Program ( SHSGP). The
funding enhances countywide emergency preparedness, and assists in the prevention, protection,
mitigation, response, and recovery from acts of terrorism as set forth in the grant funding guidelines. One
of the allowable grant projects is to support the county Citizen Corps Program (CCP) which includes
Community Emergency Response Team (CERT) programs.
RECOMMENDATION:
Authorize the Fire Chief to act as the "Authorized Agent' to execute for, and on behalf of, the City any
actions necessary to implement the Transfer Agreement and obtain training material and equipment
provided by the California Office of Emergency Services and the State Homeland Security Grant Program
( SHSGP) through the Orange County Sheriff - Coroner's Department.
FUNDING REQUIREMENTS:
No fiscal impact.
DISCUSSION:
The City of Newport Beach CERT program is a nationally recognized program that has benefited from the
SHSGP for many years. Past examples include SHSGP funding CERT manuals, helmets, vests, EZ -ups,
identification badge systems and other training materials.
This grant year the County is purchasing CERT manuals, Field Operating Guides, and related equipment
for all active CERT programs in Orange County including Newport Beach CERT. There are no funding
requirements connected to this grant.
18 -1
ENVIRONMENTAL REVIEW:
Staff recommends the City Council find this action is not subject to the California Environmental Quality Act
( "CEQA ") pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable
indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in
Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it
has no potential for resulting in physical change to the environment, directly or indirectly.
NOTICING:
The agenda item has been noticed according to the Brown Act (72 hours in advance of the meeting at
which the City Council considers the item).
ATTACHMENTS:
Description
Attachment A - Agreement
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ATTACHMENT A
AGREEMENT TO TRANSFER PROPERTY OR FUNDS
FOR 2014 HOMELAND SECURITY GRANT PROGRAM PURPOSES
THIS AGREEMENT is entered into this day of
201_, which
date is identified for purposes of reference only, by and between the COUNTY OF ORANGE, a political
subdivision of the State of California, hereinafter referred to as "COUNTY ", and
a (municipal corporation /special district/not -for-
profit corporation), hereinafter referred to as "SUBGRANTEE."
WHEREAS, COUNTY, acting through its Sheriff Coroner Department in its capacity as the lead
agency for the Orange County Operational Area, has applied for, received and accepted a grant from the
State of California, acting through its California Office of Emergency Services, to enhance county -wide
emergency preparedness, hereinafter referred to as "the grant ", as set forth in die grant documents that are
attached hereto as Attachments A (FY 14 CA Supplement to the Federal Program Guidance), B (FY 14
Homeland Security Grant Program Guidance),, and C (FY 14 Homeland Security Grant Assurances) and
incorporated herein by reference.
WHEREAS, the.terins of the grant require that COUNTY use certain grant funds to purchase
I equipment, technology or services that will be transferred to SUBGRANTEE to be used for grant
purposes.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
1. COUNTY shall transfer to SUBGRANTEE the equipment, technology or services as
specified in Attachment D hereto, which is incorporated herein by reference. If the grant requires
COUNTY to transfer to SUBGRANTEE equipment, technology or services that COUNTY has not yet
acquired, COUNTY shall transfer said equipment, technology or services to SUBGRANTEE as soon after
acquisition by COUNTY as is reasonably practicable.
2. If COUNTY transfers grant funds to SUBGRANTEE, SUBGRANTEE shall use said grant
funds only to acquire equipment, technology or services as set forth in Attachment B hereto and/or to
perform such other grant functions, if any, that Attachments A, B and C permit SUBGRANTEE to expend
CFDA: 97.067
Homeland Security Grant Program
Department of Homeland Security Page 1 of 4
F1093
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grant funds. SUBGRANTEE shall provide COUNTY with a budget breakdown signed by the authorized
agent.
3. Throughout its useful life; SUBGRANTEE shall use any equipment, technology or
services acquired with grant funds only for those purposes pernitted under the terms of the grant, and
shall make it available for mutual aid response.
4. SUBGRANTEE shall exercise due care to preserve and safeguard equipment acquired with
grant funds from damage or destruction and shall provide regular maintenance and repairs for said
equipment as are necessary, in order to keep said equipment in continually good working order. Such
maintenance and servicing shall be the sole responsibility of the SUBGRANTEE, who shall pay for
material and labor costs for any maintenance and repair of said equipment throughout the life of said
equipment.
5. SUBGRANTEE shall assume all continuation costs of said equipment, technologies and /or
services to include but not be limited to upgrades, licenses and renewals of said equipment, technologies
and /or services.
6. If equipment acquired with grant funds becomes obsolete or unusable, SUBGRANTEE
shall notify COUNTY of such condition. SUBGRANTEE shall transfer or dispose of grant- funded
equipment only in accordance with the instructions of COUNTY.
T SUBGRANTEE agrees to indemnify, defend and hold harmless COUNTY and their
elected and appointed officials, officers, agents and employees from any and all claims and losses accruing
or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation
furnishing or supplying work services, materials or supplies in connection with SUBGRANTEE's use of
grant - .funded equipment, technology or services and SUBGRANTEE's performance of this Agreement,
including Attachments A, B and C hereto, and from any and all claims and losses accruing or resulting to
any person, firm, or corporation who may be injured or damaged by SUBGRANTEE in SUBGRANTEE's
use of grant- funded equipment, technology or services and SUBGRANTEE's performance of this
Agreement, including Attachments A, B and C hereto.
8. By executing this Agreement, SUBGRANTEE agrees to comply with and be fully bound
by all applicable provisions of Attachments A, B and C hereto. SUBGRANTEE shall notify COUNTY
CFDA: 97.067
Homeland Security Grant Program
Department of Homeland Security Page 2 of 4
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immediately upon discovery that it has not abided or no longer will abide by any applicable provision of
Attachments A, B and C hereto.
9. SUBGRANTEE and COUNTY shall be subject to examination and audit by the State
Auditor with respect to this Agreement for a period of three years after final payment hereunder.
10. No alteration or variation of the terms of this Agreement shall be valid unless made in
writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
I agreement not incorporated herein shall be binding on any of the parties hereto.
1t. SUBGRANTEE may not assign this Agreement in whole or in part without the express
I written consent of COUNTY.
12. For a period of three years after final payment hereunder or until all claims related to this
Agreement are finally settled, whichever is later, SUBGRANTEE shall preserve and maintain all
documents, papers and records relevant to the work performed or property or equipment acquired in
accordance will) this Agreement, including Attachments A, B and C hereto. For the same time period,
SUBGRANTEE shall make said documents, papers and records available to COUNTY and the agency
from which. COUNTY received grant funds or their duly authorized representative(s), for examination,
copying, or mechanical reproduction on or off the premises of SUBGRANTEE, upon request during usual
working hours.
13. SUBGRANTEE shall provide to COUNTY all records and information requested by
COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be
required to provide to the agency from which COUNTY received grant funds or other persons or agencies.
14. COUNTY may terminate this Agreement and be relieved of the payment to
SUBGRANTEE if a) SUBGRANTEE fails to perform any of the covenants contained in this Agreement,
including Attachments A, B and C hereto, at the time and in the matter herein provided, or b) COUNTY
loses finding under the grant. In the event of termination, COUNTY may proceed with the work in any
manner deemed proper by COUNTY.
15. SUBGRANTEE and its agents and employees shall act in an independent capacity in the
performance of this Agreement, including Attachments A, B and C hereto, and shall not be considered
officers, agents or employees of COUNTY or of the agency from which COUNTY received grant funds.
CFDFl. 97.067
Homeland Security Grant Program
Department of Homeland Security Page 3 of
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15. SUBGRANTEE and its agents and employees shall act in an independent capacity in the
performance of this Agreement, including Attachments A, B and C hereto, and shall not be considered
officers, agents or employees of COUNTY or of the agency from which COUNTY received grant funds.
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
State of California.
DATED: 201
0
APPROVED AS TO FORM:
L %.:.&QZ
��f' . i
DATED: knv. / Z , 201 Y
COUNTY OF ORANGE, a political
subdivision of the State of California
Sheriff - Coroner
"COUNTY"
DATED: SUBGRANTEE
0
By' — -- - --
ATTES"I'
APPROVED AS TO FORM:
CITY ATTO N ('S OFFICE
By - - - — Date: 3
City Clerk
DATED: , 201_
ey:
?o C. Harp, CiM AttOlney
ou
CFDA: 97.067
Homeland Security Grant Program
Department of Homeland Security Page 4 of 4
IE
ATTACHMENT A TO AGREEMENT
CaIOES
=01611:1:7► D]101MI ySto] �
1472:111:1:Z0 :12twa-1 :1:1 "1to] V
Fiscal Year 2014
Homeland Security Grant Program
California Supplement to the
Federal Funding Opportunity Announcement and
Application Kit
May 2014
18 -7
STATE OF CALIFORNIA
Edmund G. Brown Jr, Governor
CALIFORNIA GOVERNOR'S OFFICE OF
EMERGENCY SERVICES
Mark S. Ghilarducci, Director
Nancy Ward, Chief Deputy Director
Brendan A. Murphy, Deputy Director
GRANTS MANAGEMENT
Gina Buccieri- Harrington, Assistant Director
HOMELAND SECURITY AND PROP 1B DIVISION
Kris Whitty, Chief
Alicia Morales, Office Technician
HOMELAND SECURITY GRANTS UNIT
Ursula Harelson, Unit Supervisor
Darren Tsang, Unit Supervisor
Joseph Anderson, Program Representative
Darlene Arambula, EHP Coordinator
Cameron Bardwell, Program Representative
Bill Canepa, Program Representative
Justin Duke, Program Representative
Maybel Garing- Espilla, Program Representative
Rachel Magana, Program Representative
GRANTS PROCESSING DIVISION
Rose Nguyen, Chief
Christopher Sampang, Office Technician
HOMELAND SECURITY GRANTS PROCESSING UNIT
Huy Tram, Unit Supervisor
Edward Allen, Program Analyst
Dora Gomez, Program Analyst
Gina Joaquin, Program Analyst
iM
FOREWORD: DIRECTOR'S MESSAGE ................................................... ..............................1
SECTION 1— OVERVIEW ....................................................................... ..............................2
Federal Funding Opportunity Announcement; Information Bulletins
Purpose of the California Supplement; Grant Management Memoranda
Eligible Subgrantees; Native American Allocations
Subgrantee Allocations; NIMS hnplementation; Supplanting
Public/Private Organizations; Debarred/Suspended Parties
Cal OES Contact Information; HSGU Program Representatives
SECTION 2— FEDERAL CHANGES AND INITIATIVES ................................ ..............................5
FY14 Program Priorities; 25% Law Enforcement
5% M &A; Indirect Costs; Organization; Personnel Cap; Equipment Typing/Identification
Equipment Maintenance /Sustainment; Construction/Renovation
Exercises, Improvement Plans, and After Action Reporting; Emergency Operation Plans
Special Needs Population
SECTION 3 —STATE CHANGES AND INITIATIVES .................................... ..............................9
FYI SHSP Priorities; State Initiative Funding
"On Behalf Of'; Regional Approach
Strategy, Planning and Metrics Workshop
Non- DHS /FEMA Training; Capstone California
Federal Funding Accountability and Transparency Act (FFATA) Financial Disclosure
Tactical Interoperable Communication Plan (TICP)
SECTION 4— REQUIRED STATE APPLICATION COMPONENTS ................... .............................11
Financial Management Forms Workbook
Narrative Attachments
Grant Assurances
Training
Operational Areas Only
Urban Areas Only
State Agencies Only
SECTION 5 —THE STATE APPLICATION PROCESS .................................... .............................15
Application Submittal
Late or Incomplete Application
Application Approval
SECTION 6 —POST AWARD REQUIREMENTS ............................................ .............................16
Post Award Modifications; Payment Request Process
Advances and Interest Earned on Advances; Performance Bond
Subgrantee Performance Reports; Failure to Submit Required Reports
Monitoring; Suspension/Termination
Closeout
ATTACHMENTS
A- Allocations
B -FY14 HSGP Timeline
C- Sample Governing Body Resolution
D -State Agency Signature Authority Form
E -State Agency Project Narrative Form
F -FY14 HSGP Application Checklist
G- Investment Justifications /Strategic Goals /Objectives
WIN
Foreword 1 2014
Director's Message
I am pleased to present you with the FY 2014 Homeland Security Grant Program (HSGP) —
California Supplement to the Federal Program Funding Opportunity Announcement. This
program will serve to expand your efforts that continue to make California a national leader in
emergency management and homeland security.
As a direct result of leveraging effective partnerships, developing our workforce, enhancing our
technology, maintaining a culture of continuous improvement, and through collaboration with
our federal partners at the U.S. Department of Homeland Security and the Federal Emergency
Management Agency we are realizing our vision of building towards a safer more resilient
California. This year, HSGP changes have been implemented to allow greater flexibility, envelop
greater areas of risk, and pinpoint capability gaps, in an effort to improve our ability to protect
our state from all hazards and threats.
Last year, the California Governor's Office of Emergency Services (Cal OES) was renamed,
underwent an organizational structure change, and merged with the Public Safety
Communications Office, all of which have enabled us to strengthen our capabilities and sharpen
our focus to ensure that we are prepared for when disaster strikes. This year's HSGP has also
gone through some changes, as it now encompasses more urban areas for its Urban Areas
Security Initiative (UASI), and has shifted away from identifying program - specific priorities and
instead directs grantees to prioritize grant funds to increase a jurisdiction's capabilities based on
the annual Threat and Hazard Identification and Risk Assessment and capability gaps identified
through the annual State Preparedness Report. These changes will help us accomplish our
mission of protecting lives and property, build capabilities, and support our communities for a
resilient California.
The capable and dedicated staff at Cal OES continues to serve as a resource for you as we
develop a united and innovative combined effort to serve the public, our communities, and the
state of California. I encourage you to contact them for guidance and advice throughout the
duration of the grant.
� S LCGfL -�
MARK S. GHILARDUCCI
Director
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Section 1— Overview 12014
Federal In March 2014, the U.S. Department of Homeland Security (DHS)/Federal
Funding Emergency Management Agency (FEMA) issued the FY14 Homeland Security
Opportunity Grant Program, Funding Opportunity Announcement (FOA) available for
Announcement download at: b�4p://www.fema.gov/�f rant- proeram-
hso.
Information DHS issues Information Bulletins to provide updates, clarification, and new
Bulletins requirements throughout the life of the grant. Information Bulletins may be
obtained at: http: / /www.fema.gov/ rg ants/grant- programs - directorate-
information- bulletins.
Purpose of the The 2014 California Supplement to the Federal Funding Opportunity
California Announcement and application kit is intended to complement, rather than
Supplement replace, the Guidance published by DHS. The Supplement will emphasize the
differences between the FYI and FY14 Homeland Security Grant Programs
(HSGP), and will include additional California policies and requirements
applicable to the FY14 HSGP.
Grant Cal OES also issues Grant Management Memoranda (GMMs) that provide
Management additional information regarding HSGP funds. GMMs can be located at:
Memoranda http: / /www.caloes .ca.gov /GrantsProcessing/Pages /Grant -Mana eg ment-
Memos.aspx.
Eligible Eligible applicants, referred to as Subgrantees, differ for each program.
Subgrantees Generally, eligible HSGP Subgrantees include:
• Operational Areas (OA)
• Includes Native American Tribes - represented by a single
coordinating group
• Urban Areas Security Initiative (UASI) Jurisdictions
• State Agencies (SA), Departments, Commissions, Boards, etc. who have
or can obtain, appropriate state Department of Finance budget authority
for awarded funds
Native Federal FY14 grant guidance strongly encourages Cal OES to provide access to
American HSGP funds directly to Native American Tribes in California. To implement this
Allocations requirement, a single coordinating group representing the California tribes will
be eligible to receive a share of this funding on a base plus population basis. To
submit an application for funding, California's 111 tribes shall develop a single
coordinating group that represents all or substantially all of the tribes. The single
coordinating group shall have until October 1, 2014 to submit to Cal OES its
membership, organizational structure and plan for developing coordinated
funding priorities among all or substantially all of the California Tribes.
18 -11
Section 1— Overview 12014
All Subgrantees are encouraged to coordinate with Tribal Governments to
ensure that Tribal needs are considered in the Subgrantee applications.1
Subgrantee FYI Homeland Security Grant Program (HSGP) Subgrantee allocations are
Allocations included in Appendix A. All HSGP - funded work must completed within the
subgrantee performance period.
NIMS Prior to allocation of any federal preparedness awards in FYI 4, grantees must
Implementation ensure and maintain adoption and implementation of the National Incident
Management System (NIMS). Additional information can be found at
httn: / /www.fema.gov/pdf /emergency /nims /nims_alert_cred ¢uideline.pdf
Supplanting Grant funds must be used to supplement existing funds, not replace (supplant)
funds that have been appropriated for the same purpose. Subgrantees will 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.2
Public /Private Subgrantees may contract with any other public or private organizations to
Organizations perform eligible activities on approved projects.
Debarred/ Subgrantees must not make or permit any award (subgrant or contract) at any
Suspended tier to any party that is debarred, suspended, or otherwise excluded from, or
Parties ineligible for, participation in federal assistance programs. Subgrantees must
obtain documentation of eligibility prior to any sub -award of HSGP funds and
be prepared to present supporting documentation to monitors /auditors.
Cal OES All Subgrantee application materials, related questions, comments and
Contact correspondence should be directed to:
Information
California Governor's Office of Emergency Services
ATTN: Grants Management, HSGU
3650 Schriever Ave.
Mather, CA 95655
Homeland Security Grants Unit (HSGU): (916) 845 -8186; Fax: (916) 636 -3780
1 U.S. Department of Homeland Security, Fiscal Year 2014 Homeland Security Funding Opportunity Announcement. Page 41.
z Ibid., page 55.
18 -12
Section 1— Overview 1 2014
HSGU Program Joseph Anderson at joseph.anderson(a)caloes.ca.eov or (916) 845 -8426
Representatives Cameron Bardwell at cameron.bardwell(a),caloes.ca.eov or (916) 845 -8428
Bill Canepa at bill.canepa@caloes.ca.gov or (916) 845 -8744
Justin Duke at iustin.duke@caloes.ca.gov or (916) 845 -8296
Maybel Garing - Espilla at maybel .garing- espilla(ucaloes.ca.goy or (916) 845 -8429
Rachel Magana at rachel.ma ana ,caloes.ca.gov or (916) 845 -8451
Cal OES representatives may be located on the HSGU regional map at:
http: / /www.calema.ca.,gov /EMS -HS-
HazMat/ Documents /HSGP/ HSGU %20Regional %20map %203- 5- 14.pdf.
4
18 -13
Section 2— Federal Changes and Initiatives 12014
FY14 Program The purpose of the 2014 HSGP is to prevent terrorism and to prepare the
Priorities Nation for the threats and hazards that pose the greatest risk to the security
of the United States; therefore, all HSGP - funded investments must have a
terrorism nexus. 3
Subgrantees are expected to consider National areas for improvement
identified in the 2013 National Preparedness Report, which include
cybersecurity, recovery- focused core capabilities, the integration of
individuals with access and functional needs, enhancing the resilience of
infrastructure systems, and maturing the role of public - private partnerships. 4
Using the core capabilities, the FY 2014 HSGP Program supports the
achievement of the goal by:
• Preventing a threatened or an actual act of terrorism;
• Protecting our citizens, residents, visitors, and assets against the
greatest threats and hazards;
• Mitigating the loss of life and property by lessening the impact of
future disasters;
• Responding quickly to save lives, protect property and the
environment, and meet basic human needs in the aftermath of a
catastrophic incident; and /or
• Recovering through a focus on the timely restoration, strengthening,
and revitalization of infrastructure, housing, and a sustainable
economy, as well as the health, social, cultural, historic, and
environmental fabric of communities affected by a catastrophic
incident.
25% Law As in past years, at least 25% of FY14 HSGP funds must be dedicated to
Enforcement Law Enforcement Terrorism Prevention - oriented Activities ( LETPA). In
order to leverage funds for LETPA, activities outlined in the National
Prevention Framework, and National Protection Framework are eligible
for use of LETPA focused funds. All other terrorism prevention activities
proposed for funding under LETPA must be formally pre- approved by
FEMA.S
5% M &A The Management and Administration (M &A) allowance for Subgrantees
is set at a maximum of 5% for the FY14 HSGP.6
3 Ibid., pages 4 -5.
4 Ibid., page 5.
5 Ibid., pages 52 -53.
61bid., page 9.
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Section 2— Federal Changes and Initiatives 12014
Indirect Costs Subgrantees may use all or part of their M &A allowance for indirect costs.
Subgrantees must have an approved indirect cost rate with the cognizant
federal agency. A copy of the approved rate is required at the time of
application and must be evaluated to determine if costs are allowable and
reasonable. 7
Organization New rules apply to overtime and operational overtime. Allowable costs
are limited to federally requested participation in fusion centers, which
must be formally pre- approved by FEMA.s
Personnel Cap FY14 HSGP funds have a personnel cap of 50 %.9
Equipment Subgrantees that wish to purchase equipment with FYI funds are
Typing and required to type and identify the capability associated with that equipment.
Identification Also, per FEN/1A policy, the purchase of weapons and weapon accessories
is not allowed with HSGP funds. 10 Special rules apply to pharmaceutical
purchases and medical counter measures. 11
Equipment The use of HSGP funds for maintenance contracts, warranties, repair or
Maintenance replacement costs, upgrades, and user fees are allowable under all active
and and future grant awards, unless otherwise noted. With the exception of
Sustainment maintenance plans purchased incidental to the original purchase of the
equipment, the period covered by a maintenance agreement or warranty
plan must not exceed the period of performance of the specific grant funds
used to purchase the plan or warranty, and address the requirements
identified in FEMA Information Bulletin (IB) 379. "
Construction All funded construction projects must comply with the Davis -Bacon and
and Renovation related Acts, US Department of Labor rules and other requests for the
purpose of Davis -Bacon compliance. Construction projects must be
formally approved by FEMA.13
Ibid., page 10.
8 Ibid., pages 50 -51.
9 Ibid., page 49.
10 Ibid., page 57.
11 Ibid., page 51.
12 Ibid., page 52.
13 Ibid., pages 53 -54.
0
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Section 2— Federal Changes and Initiatives 12014
Exercises,
Subgrantees must conduct threat and performance -based exercises in
Improvement
accordance with DHS Homeland Security Exercise and Evaluation
Plans, and After
Program (HSEEP) manuals. Grant recipients must report on all HSGP-
Action
assisted scheduled exercises at https://www.11is.dhs.gov / hsegp. For each
Reporting
exercise conducted with HSGP grant funds, Subgrantees must submit an
After Action Report (AAR) AND improvement Plan (IP) within 90 days
following the completion of the exercise. For more information on this
process please contact the Cal OES Exercise representative for your
region:
Inland Region: Duane Valenzuela at duane.valenzuela(7a,caloes.ca.gov
Coastal Region: Kevin Leisher at kevin.leisher(a)caloes.ca.gov
Southern Region: Nick Lowe at nicholas.lowe(i4caloes.ca.eov
State Agencies: Elaine Viray at elaine.viray(a,caloes.ca.gov
All Subgrantees will post their exercises to the National Exercise
Schedule (NEXS) by creating it in the Design & Development System
(DDS) portion of the Homeland Security Exercise and Evaluation
Program (HSEEP) Toolkit. Once the exercise is approved by an Exercise
Administrative Authority (EAA) in the Cal OES Exercise Division, the
exercise is automatically posted to the NEXS and assigned a unique ID
number. The unique ID number will be used to establish a standard
naming convention for tracking purposes. The standard naming
convention will be exercisename uniquelD#.
Example: GGI2TFWorkshop_205- 104 -12 -00
An After Action Report/Improvement Plan (AAR/IP) or Summary Report
(for Seminars & Workshops) must be completed and submitted to
https: / /www.11is.dhs.gov/hseep, with a copy to your Grant Program
Manager within 90 days after conduct of an exercise. Please ensure the
AAR/IP or Summary Report document is encrypted (password- protected)
and the password is also sent to https: / /www.11is.dhs. ovg /hseW via a
separate email with a copy to your Grant Program Manager.
It is acceptable to submit an Exercise Summary Report for Seminars and
Workshops in lieu of a full AAR/IP.
Per Grant Programs Directorate Information Bulletin No. 366, July 7,
2011, Subgrantees must conduct an annual Training and Exercise Plan
Workshop (TEPW) to develop a Multi -Year Training and Exercise Plan
(TEP) and update it annually. All TEPs developed at the UASI level
should roll -up to one overarching State TEP, which should be submitted
to your respective FEMA Regional Exercise Officer (points of contact
listed on the HSEEP website) and to https:llwww.11is.dhs.govlhseep within
90 days after conducting the TEPW.
7
18 -16
Section 2— Federal Changes and Initiatives 12014
Note: No later than September 301b, Subgrantees will email their Training
& Exercise Schedules to the jurisdictions supporting Cal OES Exercise
Division representative with a copy to the Cal OES Unit Supervisor of the
Homeland Security Grants Unit.
Emergency Subgrantees' Emergency Operations Plans must comply with rules
Operation Plans regarding evaluation matrices and the Comprehensive Preparedness
Guide. Subgrantees should refer to 113 388a for additional guidance
located at this link: http:// uryvw. fema .gov /librarylviewRecord.do ?id =6440
regarding this reporting requirement. Subgrantees 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. Grantees will use the State Preparedness Report (SPR)
to report their compliance with this reporting requirement. 14
Special Needs Populations whose members may have additional access and functional
Population needs before, during, and after an incident must be included in planning,
response and recovery documents. Subgrantees conducting major planning
projects (including, but not limited to: Evacuation, Mass Care and Shelter,
Disaster Recovery, etc.) will be required to address access and functional
needs, including the needs of children, within their planning documents in
order to maintain eligibility for HSGP. Is
14 Ibid., page 8.
is Ibid., page 42.
0
18 -17
Section 3 —State Changes and Initiatives 12014
FY14 SHSP While the State Homeland Security Strategy broadly describes goals,
Priorities objectives, and implementation steps, the State's priorities for FY14
HSGP are:
1. Interoperable Communications
2. Catastrophic Planning
3. Citizen Preparedness and Participation
4. Medical Surge
5. Critical Infrastructure Protection
6. Mass Prophylaxis
7. Training for First Responders
8. Food and Agriculture Safety
State Initiative For FY14 HSGP, Cal OES shall retain 20% of the SHSP and 17% of the
Funding UASI funding for the state initiatives.
"On Behalf Of" Cal OES may, in conjunction with local approval authorities, designate
funds "on behalf of local entities that choose to decline or fail to utilize
their homeland security award in a timely manner.
Regional Subgrantees must take a regional approach and consider the needs of
Approach local units of government and applicable volunteer organizations in the
projects and activities included in their FY14 HSGP application.
Strategy,
In the fall of 2014, Cal OES plans to conduct its annual Strategy,
Planning and
Planning and Metrics Workshop to receive statewide input across all
Metrics
disciplines. Costs associated with this eligible planning activity should be
Workshop
included in the Subgrantee application.
Non- When seeking approval of non- DHS/FEMA developed courses, course
DHS /FEMA materials must be submitted with the approval requests. Conditional
Training approvals are no longer offered.
For more information on this or other training- related inquiries, contact
the Cal OES Training Branch at (916) 845 -8752 or their website at:
http: / /www.caloes.ca. gov/ Training andExercises /Pages /Training.aspx
Capstone Subgrantees scheduled to participate in Capstone California (CC),
California formerly known as Golden Guardian, exercise activities should include
the details in their FY14 application. Cal OES program staff will be
checking applications from Subgrantees scheduled to participate in CC
activities within the FY14 HSGP grant performance period for adequate
exercise funding.
9
EUM.
Section 3 —State Changes and Initiatives 12014
For exercise- related issues and/or questions, please contact Jim
Woodward at (916) 845 -8499 or james.woodward(a),caloes.ca.gov or
Steven Goff at (916) 845 -8486 or steven.goft?,caloes.ca.gov.
FFATA On November 23, 2010, the United States Department of Homeland
Financial Security (US DHS) and the Federal Emergency Management Agency
Disclosure (FEMA) issued Information Bulletin #350 to clarify requirements under
the new Federal Funding Accountability and Transparency Act ( FFATA).
As the State Administrative Agency (SAA), Cal OES is required to report
sub -award information for federal awards of $25,000 or more made on or
after October 1, 2010 as well as compensation for highly paid individuals.
Specifically, the name and total compensation of the five most highly
compensated individuals. Please see Grant Management Memoranda
(GMM) 2012 -01 for more information.
TICP Due to significant legislation impacting public safety communications,
Cal OES is reminding all Subgrantees to update their Tactical
Interoperable Communications Plan (TICP) and make it available upon
request. Updating a TICP is an eligible activity under the FYI HSGP.
10
18 -19
Section 4— Required State Application Components 12014
Financial 2014 HSGP FMFW can be accessed at: ham: / /www.caloes.ca.gov /EMS -HS-
Management HazMat/Pages /Homeland- Security- Grant - Program- Documents.aspx
Forms
Workbook The Cal OES Financial Management Forms Workbook (FMFW) includes:
Face Sheet — Use the Cover Sheet to apply for grant programs. The application
cover sheet must be signed in blue ink.
Authorized Body of 5 Sheet — Use the Authorized Body of 5 Sheet to list the
Authorized Body of 5, Authorized Agents, and Points of Contact.
FFATA Financial Disclosure Sheet — Use the FFATA Financial Disclosure
Sheet to list the name and compensation of the top five paid individuals, where
applicable.
Project Descriptions — Describe the various details of each Project (letter /name,
IJs /Goals and Objectives, brief description, need /status, milestones). A
maximum of 20 projects are allowed.
Project Ledger — The project ledger is used in the application process to submit
funding information and is used in the post -award phase for submitting Cash
Requests, Modifications, and Advances.
Equipment Inventory Ledger — Provide detailed information on grant- funded
equipment including the Authorized Equipment List (AEL) numbers. All AEL
information can be found on the Lessons Learned Information Sharing website
at https: / /www.flis.dhs.gov /.
Organization Roster — Provide detailed information on grant- funded
Organizational activities.
Training Roster — Provide detailed information on Training activities.
Planning Ledger — Provide detailed information on Planning activities with a
final product identified.
Exercise Roster — Provide detailed information on Exercise activities.
Personnel Roster — Provide detailed information on grant- funded Personnel
activities.
Consultant Roster — Provide detailed information on grant- funded Consultants.
Management and Administration Roster — Provide detailed information on
grant- funded Management and Administration activities.
11
18 -20
Section 4— Required State Application Components 12014
Authorized Agent Sheet — The Authorized Agent Sheet must be submitted with
the application, and all Cash Requests, Modifications, or Advances, with
appropriate signatures.
Narrative Explanation of 25% Law Enforcement — Describe how the Subgrantee will meet
Attachments the minimum federal requirement for funding Law Enforcement Terrorism
Prevention - oriented Activities.
Management and Administration (M &A) Cap — Describe how the Subgrantee
will not surpass the federally mandated 5% cap on M &A.
Personnel Cap — Describe how the Subgrantee will not surpass the federally
mandated 50% personnel cap.
Emergency Operations Plan (EOP) — Please describe your EOP and any progress
in meeting the requirements identified in the FY14 FOA. I6
Training with AAR/Exercise Detail — Per the Federal FOA, all training
conducted using HSGP funds must be in support of the development or
maintenance of an identified team or capability. Additionally, all training should
address a performance gap identified through an After Action Report/
Improvement Plan (AAR/IP) or build a capability that will be evaluated through an
exercise. Subgrantees will explain in a narrative the type of training, the he capability,
the gap identified, and provide access to the AAR or details for the upcoming
exercise.
Intelligence Analysts Certificates — Per the FOA, Cal OES must have certificates
for completion of training for fusion center analytical personnel. 17 Provide copies
of certificates for each intelligence analyst.
Equipment Typing Narrative — All equipment procured under this grant must be
in support of the development or maintenance of an identified team or capability.
Please describe what typed capability the equipment purchased with this grant
supports.
Grant The Grant Assurances list the requirements to which the Subgrantees will be
Assurances held accountable. All applicants will be required to submit a signed, original
copy of the FY14 Grant Assurances with their FY14 HSGP application. The
required Grant Assurances can be found only in PDF format on the Cal OES
website and will be available within 14 days of the federal award.
Note: Self - created Grant Assurances will not be accepted.
16 Ibid., page 36.
17 Ibid., page 50.
12
18 -21
Section 4— Required State Application Components 1 2014
Training Cal OES shall afford Subgrantees the opportunity to develop a "placeholder" for
future training conferences when an agenda has not been established at the time
Subgrantee applications are due. Please work with your Program Representative
and the Training Branch to identify a possible "placeholder" for these types of
training activities. CERT programs must be registered and updated. 18
Operational Approval Authority Body — Operational Areas (OA's) must appoint an Anti -
Areas Only Terrorism Approval Body (Approval Authority) to have final approval of the
OA's application for SHSP funds. Each member of the Approval Authority must
provide written agreement with the OA's application for HSGP funds. The
Approval Authority shall consist of the following representatives, and additional
voting members may be added by a simple majority vote of the following
standing members:
18 Ibid., pages 47 -48.
• County Public Health Officer or designee responsible for Emergency
Medical Services
• County Fire Chief or Chief of Fire Authority
• Municipal Fire Chief (selected by the Operational Area Fire Chiefs)
• County Sheriff
• Chief of Police (selected by the Operational Area Police Chiefs)
Note: A list of the Approval Authority Body members and their associated
contact information, as well as a written agreement from each member, must be
submitted with the FY14 HSGP application. Contact your program
representative for more information.
Governing Body Resolution – The Governing Body Resolution appoints
Authorized Agents (identified by the individual's name or by a position title) to
act on behalf of the governing body and the applicant by executing any actions
necessary for each application and subgrant. All applicants will be required to
submit a certified copy of their FY14 Governing Body Resolution with their
FY14 HSGP application. A sample Resolution can be found as Attachment C.
Authorized Agent Information Form – For each person or position appointed
by the governing body, submit the following information to Cal OES, along with
the Resolution, on the applicant's letterhead:
• Name
• Title
• Jurisdiction
• Grant Program
• Phone & Fax Number(s)
• E -Mail Address
• Street Address, City & Zip Code
13
18 -22
Section 4— Required State Application Components 12014
Note: Changes can be made to the Authorized Agent if /when necessary. If the
Governing Body Resolution identifies the Authorized Agent by name, a new
Resolution and corresponding Authorized Agent Information Sheet are needed
when any changes are made. If the Governing Body Resolution identified the
Authorized Agents by position and/or title, changes can be made by submitting a
new Authorized Agent Information Sheet.
Urban Areas Urban Area Working Groups (UAWGs) — Membership in the UAWG must
only 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. Each UASI
must include the geographical boundaries and footprint of their UASI
designation. The UAWG should also ensure the integration of local emergency
management, public health, and health care systems into a coordinated, sustained
local capability to respond effectively to a mass casualty incident. 19
State Agencies Project Narrative — In addition to the FMFW Project Descriptions, State
only Agencies must complete a State Agency Project Narrative Form (included as
Attachment E).
19 Ibid., page 43.
Signature Authority — State Agency applications must be signed by the
highest -level person, or their designee. If a designee is signing, the highest -level
person must execute and submit a State Agency Signature Authority Form with
the Application (included in Attachment D).
14
18 -23
Section 5 —The State Application Process 12014
Application The completed FMFW V 1.14 must be mailed in hardcopy with original
Submittal signatures and also submitted electronically via e-mail to the Cal OES
Program Representative.
All application documents requiring an original signature will need to be
mailed in hardcopy. Signatures must be in blue ink only.
BAND- DELIVERED APPLICATIONS WILL NOT BE ACCEPTED
Late or All application materials are due no later than Friday, August 1, 2014
Incomplete (see Timeline in Attachment B). Only applications postmarked by the
Application due date will be accepted. Applications lost in transit are the responsibility
of the applicant and may not be considered for funding. Late or
incomplete applications will be reviewed and/or denied, and additional
information will be requested and/or accepted from Subgrantees, at the
sole discretion of Cal OES.
Application The Subgrantee will receive written notice of the state's approval of the
Approval subgrant application not later than 45 days after the federal grant award.
Subgrantee reimbursements will not be made until all required application
components have been approved by Cal OES.
15
18 -24
Section 6 —Post Award Requirements 12014
Post Award Post award budget, scope and time modifications must be requested using
Modifications the Cal OES Financial Management Forms Workbook V 1.14, signed by the
Subgrantee's Authorized Agent, and submitted to the Subgrantee's Program
Representative in the Homeland Security Grants Unit at Cal OES.
The Subgrantee may implement the modifications, and incur associated
expenses, only after receiving written final approval of the modification from
the State. Failure to submit modification requests, and receive written
approval prior to expenditure, could result in a reduction or disallowance of
that part of the grant.
Payment To request advance or reimbursement payment of FY14 HSGP funds,
Request Process complete a payment request form using the Cal OES Financial Management
Forms Workbook and return it to the appropriate Program Representative in
the Homeland Security Grants Unit at Cal OES. Subgrantees who fail to
follow the workbook instructions may experience delays in processing.
Payments can only be made if the Subgrantee has submitted a completed and
approved application. Exercise costs will not be reimbursed until an AAR
has been posted and access to the AAR has been granted to Cal OES
Program Representative Rachel Magana.
Rachel can be reached at (916) 845 -8451 or rachel.maganakcaloes.ca.gov.
Advances and DHS allows Subgrantees to request FY14 HSGP funds up to 120 days prior
Interest Earned to expenditure /disbursement or on a reimbursement basis. Federal rules
on Advances require advances to be deposited in interest - bearing accounts. Interest
earned should be returned quarterly to Cal OES.
In addition to returning interest in accordance with the prescribed federal
guidance, Subgrantees must also inform the Grantee's Program
Representative in the Homeland Security Grants Unit at Cal OES of any
interest returned on program funds.
Performance Many subgrantees were unable to procure large equipment items due to
Bond vendor delivery scheduled to occur after the federal reporting period had
expired. To assist with this issue, DHS allowed subgrantees to obtain a
"performance bond" wherein subgrantees procured the item(s) in question,
paid the money up front, and obtained a performance bond to ensure delivery
of the item within 90 days of the subgrantees' performance period.
Subgrantees must obtain a performance bond for any equipment item over
$250,000 or any vehicle, aircraft or watercraft, financed with homeland
security dollars. Subgrantees must provide a copy of all performance
bonds to their HSGP Program Representative and make additional
copies available upon request.
IW
18 -25
Section 6 —Post Award Requirements 12014
Subgrantee Subgrantees must prepare and submit performance reports to the state for the
Performance duration of the grant performance period, or until all grant activities are
Reports completed and the grant is formally closed by Cal OES. Subgrantees must
complete a Biannual Strategy Implementation Report (BSIR) using the
DHS/FEMA Grants Reporting Tool (GRT).
To obtain access to the online GRT, please log on to their website at
www.reportina.odl2.dhs.gov. To create a new account, follow the instructions
that read, "If you need to register for an account, please click here."
For additional assistance with the GRT, please contact:
Huy Tram at huy.tramna caloes.ca.gov or (916) 845 -8649
Failure to Periodic reporting is required by the grant. Subgrantees who miss a single
Submit reporting deadline may receive a letter addressed to their Board of
Required Supervisors informing them of the failure to report. County Operational
Reports Areas and Tribal Native Americans who fail to report twice in a row may
have subsequent awards reduced by 10% until timely reporting is
reestablished. UASIs may have a "hold" placed on any future
reimbursements.
Monitoring The Cal OES Monitoring Branch is actively conducting monitoring visits,
both desk review and on -site, among Subgrantees. These reviews may
include, but are not limited to:
• Eligibility of expenditures.
• Comparing actual Subgrantee activities to those approved in the
subgrant application and subsequent modifications, if any.
• Ensuring that advances have been disbursed in accordance with
applicable guidelines.
• Confirming compliance with:
Grant Assurances;
Information provided on performance reports and payment
requests; and
Needs and threat assessments and strategies.
Many Subgrantees receive "findings" that necessitate a Corrective Action
Plan (CAP) on their part. Those Subgrantees who fail to submit a CAP as
required shall have a "hold" placed on any future reimbursements until the
"finding" is resolved.
Note: It is the responsibility of all Subgrantees to monitor and audit the grant
activities of their Subrecipients. This requirement includes, but is not limited
to, on -site verification of grant activities, as required.
17
18 -26
Section 6 —Post Award Requirements 12014
Suspension/ The State may suspend or terminate subgrant funding, in whole or in part, or
Termination other measures may be imposed for any of the following reasons:
• Failing to submit required reports.
• Failing to expend funds in a timely manner consistent with the grant
milestones, guidance and assurances.
• Failing to comply with the requirements or statutory progress toward
the goals or objectives of federal or state law.
• Failing to make satisfactory progress toward the goals or objectives
set forth in the subgrant application.
• Failing to follow grant agreement requirements or special conditions.
• Proposing or implementing substantial plan changes to the extent
that, if originally submitted, the application would not have been
selected for funding.
• False certification in the application or document.
• Failing to adequately manage, monitor or direct the grant funding
activities of their Subrecipients.
Before taking action, the State will provide the Subgrantee reasonable notice
of intent to impose corrective measures and will make every effort to resolve
the problem informally.
Closeout The State will close a Subgrantee award after:
• Receiving a Subgrantee Performance Report indicating that all
approved work has been completed, and all funds have been
distributed;
• Completing a review to confirm the accuracy of reported
information;
• Reconciling actual costs to awards, modifications and payments.
If the closeout review and reconciliation indicates that the Subgrantee:
Is owed additional funds, then the State will send the final payment
automatically to the Subgrantee.
Did not use all funds received, then the State will issue an Invoice or
Grant Modification letter to recover unused funds.
In the Grant Closeout Letter, the State will notify the Subgrantee of the start
of the record retention period for all programmatic and financial grant -
related records.
Note: Failure to maintain all grant records for the required retention period
could result in a reduction of grant funds, and an invoice to return costs
associated with the unsupported activities.
18 -27
Attachment A- Allocations 12014
State Homeland Security Program (SHSP)
Operational Area
Population
Base
Amount
25% LE
SHSP
Total Award
(25% LE + SHSP)
ALAMEDA
1,548,681
75,000
415,756
1,247,268
1,663,024
ALPINE
1,087
75,000
19,029
57,086
76,115
AMADOR
36,741
75,000
28,169
84,506
112,674
BUTTE
221,485
75,000
75,528
226,584
302,112
CALAVERAS
44,932
75,000
30,268
90,805
121,073
COLUSA
21,674
75,000
24,306
72,918
97,225
CONTRA COSTA
1,074,702
75,000
294,251
882,753
1,177,004
DEL NORTE
28,380
75,000
26,025
78,076
104,101
EL DORADO
182,286
75,000
65,479
196,438
261,917
FRESNO
952,166
75,000
262,839
788,516
1,051,355
GLENN
28,349
75,000
26,017
78,052
104,069
HUMBOLDT
135,209
75,000
53,411
160,233
213,644
IMPERIAL
180,061
75,000
64,909
194,726
259,635
INYO
18,573
75,000
23,511
70,534
94,045
KERN
857,882
75,000
238,669
716,007
954,676
KINGS
152,007
75,000
57,717
173,151
230,869
LAKE
64,531
75,000
35,293
105,878
141,170
LASSEN
33,422
75,000
27,318
81,953
109,271
LOS ANGELES
9,958,091
75,000
2,571,517
7,714,552
10,286,069
MADERA
152,711
75,000
57,898
173,693
231,591
MARIN
254,007
75,000
83,865
251,595
335,460
MARIPOSA
18,026
75,000
23,371
70,113
93,484
MENDOCINO
88,291
75,000
41,383
124,150
165,534
MERCED
262,478
75,000
86,037
258,110
344,146
MODOC
9,522
75,000
21,191
63,573
84,764
MONO
14,493
75,000
22,465
67,396
89,861
MONTEREY
421,494
75,000
126,800
380,401
507,202
NAPA
138,383
75,000
54,225
162,674
216,899
NEVADA
97,019
75,000
43,621
130,863
174,484
ORANGE
3,081,804
75,000
808,774
2,426,321
3,235,095
PLACER
357,463
75,000
110,386
331,158
441,544
PLUMAS
19,643
75,000
23,786
71,357
95,142
RIVERSIDE
2,255,059
75,000
596,837
1,790,510
2,387,347
SACRAMENTO
1,445,806
75,000
389,384
1,168,152
1,557,536
SAN BENITO
56,669
75,000
33,277
99,831
133,109
SAN BERNARDINO
2,076,274
75,000
551,005
1,653,015
2,204,020
SAN DIEGO
3,150,178
75,000
826,302
2,478,905
3,305,206
SAN FRANCISCO
825,111
75,000
230,268
690,804
921,072
SAN JOA UIN
698,414
75,000
197,789
593,368
791,157
SAN LUIS OBISPO
272,177
75,000
88,523
265,569
354,091
SAN MATEO
735,678
75,000
207,342
622,026
829,367
SANTA BARBARA
429,200
75,000
128,776
386,328
515,104
SANTA CLARA
1,842,254
75,000
491,014
1 1,473,041
1,964,055
6
Attachment A- Allocations 12014
SANTA CRUZ
266,662
75,000
87,109
261,327
348,436
SHASTA
178,601
75,000
64,535
193,604
258,138
SIERRA
3,166
75,000
19,562
58,685
78,246
SISKIYOU
44,796
75,000
30,234
90,701
120,934
SOLANO
418,387
75,000
126,004
378,012
504,016
SONOMA
490,423
75,000
144,470
433,411
577,882
STANISLAUS
524,124
75,000
153,110
459,329
612,439
SUTTER
95,851
75,000
43,322
129,965
173,286
TEHAMA
63,772
75,000
35,098
105,294
140,392
TRINITY
13,443
75,000
22,196
66,588
88,785
TULARE
455,599
75,000
135,543
406,630
542,173
TUOLUMNE
54,360
75,000
32,685
98,056
130,741
VENTURA
835,436
75,000
232,915
698,745
931,660
YOLO
205,999
75,000
71,558
214,674
286,232
YUBA
73,439
75,000
37,576
112,728
150,305
Total
37,966,471
4,350,000
10,820,246
32,460,737
43,280,982
Tribal Allocation
Coordinating Group
Population
Base Amount
25% LE
SHSP
Total Award
Tribal
362,801
75,000
111,754
335,263
1 447,018
Regional Threat Assessment Center (RTAC)
Region
Total Award
SAN FRANCISCO BAY AREA
1,000,000
SACRAMENTO/CENTRAL VALLEY AREA
1,000,000
GREATER LOS ANGELES AREA
1,000,000
SAN DIEGO AREA
1,000,000
Total
4,000,000
Urban Areas Security Initiative (UASI)
*A minimum of 25% of UASI funding must be utilized for Law Enforcement purposes
Urban Area
Federal
Allocation to
State
83% Allocation
to UASI
17% State
Initiatives
ANAHEIM/SANTA ANA AREA
5,500,000
4,565,000
935,000
BAY AREA
27,400,000
22,742,000
4,658,000
LOS ANGELES /LONG BEACH AREA
67,500,000
56,025,000
11,475,000
RIVERSIDE AREA
1,000,000
830,000
170,000
SACRAMENTO AREA
1,000,000
830,000
170,000
SAN DIEGO AREA
16,874,000
14,005,420
2,868,580
Total
119,274,000
1 98,997,420
1 20,276,580
18 -29
Attachment B —FY14 HSGP Timeline 12014
DHS Announcement of FY14 HSGP
March 2014
FY14 HSGP California Supplement (Including
Subgrantee Allocations) Release
May 2014
SAA Application Due to DHS
May 23, 2014
Subgrantee Application Workshops
July 2014*
DHS Award to California
July 26, 2014*
Subgrantee Applications Due to Cal OES
August 1, 2014*
Subgrantee Awards (45 days from DHS award)
August 10, 2014*
Subgrantee Performance Period Begins
September 1, 2014*
Subgrantee Performance Period Ends
May 31, 2016*
Final Requests for Reimbursement Due
June 10, 2016*
SAA Performance Period Ends
August 31, 2016
*Date approximate depending on DHS award date
18 -30
Attachment C— Sample Governing Body Resolution 12 014
BE IT RESOLVED BY THE
(Governing Body)
OF THE THAT
(Name of Applicant)
(Name or Title of Authorized Agent)
(Name or Title of Authorized Agent)
(Name of Title of Authorized Agent)
is hereby authorized to execute for and on behalf of the named applicant, a public entity established under the
laws of the State of California, any actions necessary for the purpose of obtaining federal financial assistance
provided by the federal Department of Homeland Security and sub - granted through the State of California.
Passed and approved this
Certification
I,
(Name)
Of the _
(Title)
day of , 20
duly appointed and
(Governing Body)
do hereby certify that the above is a true and correct copy of a resolution passed and approved by the
day of
,20
(Official Position)
(Signature)
(Date)
18 -31
AS THE
OF THE
Attachment D —State Agency Signature Authority Form 12014
(Secretary /Director /President /Chancellor)
(Name of the State Organization)
I hereby authorize the following individual(s) to execute for and on behalf of the named state
organization, any actions necessary for the purpose of obtaining federal financial assistance provided by
the federal Department of Homeland Security and sub - granted through the California Governor's Office
of Emergency Services.
Signed and approved this day of
,20
,OR
U'
(Signature)
18 -32
Attachment E —State Agency Project Narrative Form 12014
Applicant (state organization)
NOTE: Complete a separate Project Description for each proposed proiect
Project Title:
Indicate the State Priority Objective Supported by the Project:
— Interoperable Communications
— Catastrophic Planning
_Medical Surge
— Citizen Preparedness and Participation
—Mass Prophylaxis
— Critical Infrastructure Protection
— Training for First Responders
—Food and Agriculture Safety
Provide a detailed description of the proposed project and how it supports the state priority indicated.
For construction and/or renovation projects, provide the following additional information:
• A description and location of the facility;
• A description of the vulnerability assessment and the date the assessment was conducted (the assessment does
not have to be submitted with the application);
• A description of how the proposed project will address the vulnerabilities identified in the assessment;
• A description of the consequences if the project is not funded under HSGP FY14
Please check the appropriate box:
❑ Our agency currently has spending authority for the requested funds.
❑ Our agency does not currently have spending authority for the requested funds. See below for
explanation:
18 -33
Attachment F —FY14 HSGP Application Checklist 12014
Subgrantee:
Cal OES Regional Rep:
OPERATIONAL /URBAN AREAS
— Financial Management Forms Workbook
— Face Sheet
Authorized Body of 5 Sheet
_ FFATA Financial Disclosure Sheet
— Project Descriptions
Project Ledger
— Equipment Inventory Ledger
— Organization Roster
— Training Roster
— Planning Ledger
Exercise Roster
— Personnel Roster
— Consultant Roster
Management and Administration Roster
Authorized Agent Sheet
Narrative Attachments:
25% Law Enforcement — Minimum
5% M &A Cap
50% Personnel Cap
— Training w /AAR/Exercise Detail
Describe your EOP
— Intelligence Analysts Certificates
Equipment Typing
— Approval Authority:
— Contact Information for each member
— Written Agreement from each member
— Governing Body Resolution (Certified)
— Authorized Agent(s) Information Form
— Grant Assurances (Signed Originals)
FIPS #:
STATE AGENCIES
— Financial Management Forms Workbook
— Face Sheet
Authorized Body of 5 Sheet
_ FFATA Financial Disclosure Sheet
— Project Descriptions
Project Ledger
— Equipment Inventory Ledger
— Organization Roster
— Training Roster
— Planning Ledger
Exercise Roster
— Personnel Roster
— Consultant Roster
Management and Administration Roster
Authorized Agent Sheet
— Narrative Attachments:
25% Law Enforcement — Minimum
5% M &A Cap
50% Personnel Cap
— Training w /AAR/Exercise Detail
— Describe your EOP
— Equipment Typing
— Project Narrative Form
Signature Authority — Authorized Agent
Authorized Agent(s) Information Form
Grant Assurances (Signed Originals)
18 -34
Attachment G— Investment Justifications /Strategic Goals /Objectives 1 2014
IJ #1: Strengthen Information Sharing and Collaboration Capabilities and Law Enforcement
Investigations
Goal 1: Enhance Information Analysis and Law Enforcement Capabilities
Objective 3.1
Strengthen Information Sharing and Collaboration Among All Levels of
Objective 1.1
Government, Private Industry, Non - Governmental and Community Based
Objective 5.3
Organizations
Objective 1.2
Strengthen California's Ability to Identify and Counter Emerging Threats
IJ #2: Enhance Protection of Critical Infrastructure and Key Resources
Goal 2: Protect Critical Infrastructure and Key Resources
Objective 2.1 Implement the California Critical Infrastructure Protection Program
IJ #3: Strengthen Communications Capabilities
Goal 3: Strengthen Communications Capabilities
Objective 3.1
Implement the California Statewide Communications Interoperability Plan
Objective 3.2
Strengthen Alert and Warning Systems to Ensure the Delivery of Clear and
Consistent Public Information
IJ #4: Enhance Communitv Resilience
Goal 4: Enhance Planning and Community Preparedness
Objective 4.1
Enhance Citizen Preparedness While Integrating the Needs of Vulnerable
Populations
Objective 4.2
Strengthen Volunteer Management and Donations
IJ #5: Enhance Catastrophic CBRNE and All Hazards Incident Planning and Response Capabilities
Goal 5: Strengthen Catastrophic CBRNE and All Hazards Incident Planning, Detection and Response
Capabilities
Objective 5.1
Strengthen All Hazards Incident Management Capabilities Across California
Objective 5.2
Enhance Resource Management Through Implementation of the California Metrics
Project
Objective 5.3
Implement the California Preventative Radiological and Nuclear Detection Program
Objective 5.4
Implement a California Disaster Recovery Framework
IJ #6: Enhance Medical and Public Health Preparedness
Goal 6: Improve Medical and Health Capabilities
Objective 6.1
Enhance Health and Public Health Preparedness and Disaster Response Capabilities
for All Hazards
Objective 6.2
Enhance Medical Preparedness and Disaster Response Capabilities for All Hazards
IJ #7: Strengthen Food and Agriculture Preparedness
Goal 7: Strengthen Food and Agriculture Preparedness
Objective 7.1 1 Enhance Agriculture Food Systems and Animal Health Preparedness
18 -35
Attachment G— Investment Justifications /Strategic Goals /Objectives 1 2014
1J# 8: Homeland Security Exercise, Evaluation and Training Programs
Goal 8: Enhance Homeland Security Exercise, Evaluation and Training Programs
Expand Statewide Training Across All Mission Areas, While Enhancing
Professional Training For Emergency Management and Homeland Security
Objective 8.1
Disciplines
Objective 8.2
Expand Statewide Exercises Across All Mission Areas
18 -36
ATTACHMENT B TO AGREEMENT
U.S. DEPARTMENT OF HOMELAND SECURITY
FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)
FY 2014 HOMELAND SECURITY GRANT PROGRAM (HSGP)
OVERVIEW INFORMATION
Issued By
U.S. Department of Homeland Security (DHS): Federal Emergency Management Agency
(FEMA)
Catalog of Federal Domestic Assistance (CFDA) Number
97.067
CFDA Title
Homeland Security Grant Program
Program Title
Homeland Security Grant Program
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)
Appropriation Authority for Program
The Department of Homeland Security Appropriations Act, 2014 (Pub. L. No. 113 -76)
FOA Number
DHS- I4 -GPD- 067 - 000 -01
Key Dates and Time
Application Start Date: 03/18/2014
Application Submission Deadline Date: 05/23/2014 at 11:59:59 p.m. EDT
Anticipated Funding Selection Date: 07/26/2014
Anticipated Award Date: No later than 09/30/14
Other Key Dates
Period of Performance Start Date: 09/01/2014
Period of Performance End Date: 08/31/2016
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.f vs.gov /policy /librarylrgeo12372.pdj). Name and addresses of the SPOCs are
FY 2014 HSGP FOA
18 -37
maintained at the Office of Management and Budget's home page at
http: / /Www.whitehouse.QOV/omb/ rantsspoc to ensure currency.
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FOA EXECUTIVE SUMMARY
The FY 2014 HSGP plays an important role in the implementation of the National Preparedness
System by supporting the building, sustainment, and delivery of 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. The FY 2014 HSGP supports core capabilities across the five mission areas of
Prevention, Protection, Mitigation, Response, and Recovery based on allowable costs. HSGP is
comprised of three interconnected grant programs:
State Homeland Security Program (SHSP)
Urban Areas Security Initiative (UASI)
Operation Stonegarden (OPSG)
Together, these grant programs fund a range of preparedness activities, including planning,
organization, equipment purchase, training, exercises, and management and administration.
Funding Category
Continuing
Date of Origin for Program
11/25/2002
Type of Funding Instrument
SHSP and UASI are mandatory grants;
OPSG is a discretionary grant
Application Process
The Department of Homeland Security makes all funding opportunities available through the
common electronic "storefront' Grants.gov, accessible on the Internet at http://www.grants.gov.
For details on how to apply through grants.gov, please read Section IX, "How to Apply."
Eligible Applicants
State governments
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FY 2014 HSGP FOA
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FULL FUNDING OPPORTUNITY ANNOUNCEMENT
I. Funding Opportunity Description
A. Program Summary
The FY 2014 HSGP is comprised of three interconnected grant programs:
State Homeland Security Program (SHSP): SHSP supports the implementation of
risk driven, capabilities -based State Homeland Security Strategies to address
capability targets set in Urban Area, State, and regional Threat and Hazard
Identification and Risk Assessments (THIRAs). The capability targets are established
during the THIRA process, and assessed in the State Preparedness Report (SPR) and
inform planning, organization, equipment, training, and exercise needs to prevent,
protect against, mitigate, respond to, and recover from acts of terrorism and other
catastrophic events.
Urban Areas Security Initiative (UASI): The UASI program addresses the unique
risk driven and capabilities -based planning, organization, equipment, training,
exercise needs, of high - threat, high- density Urban Areas based on the capability
targets identified during the THIRA process and associated assessment efforts, and
assists them in building an enhanced and sustainable capacity to prevent, protect
against, mitigate, respond to, and recover from acts of terrorism.
Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and
coordination among local, Tribal, territorial, State, and Federal 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.
All three programs are founded on risk- driven, capabilities -based strategic plans. These
strategic plans outline capability requirements and inform how available funding may be
applied to manage risk. For these plans to be effective, government officials and elected
leaders, working with the whole community, must consider how to sustain current
capability levels and address potential gaps to prevent, protect, mitigate, respond to, and
recover from acts of terrorism and other disasters.
B. Program Priorities
The National Preparedness System is the instrument the Nation employs to build, sustain,
and deliver core capabilities in order to achieve the National Preparedness Goal (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 National Preparedness System allows for the
integration of preparedness efforts that build, sustain, and deliver core capabilities and
achieve the desired outcomes identified in the Goal. The purpose of the HSGP is to
prevent terrorism and to prepare the Nation for the threats and hazards that pose the
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FY 2014 HSGP FOA
f -XIM
greatest risk to the security of the United States; therefore, HSGP funded investments
must have a terrorism- nexus.
To evaluate National progress in building, sustaining, and delivering the core capabilities
outlined in the Goal, FEMA annually publishes the National Preparedness Report (NPR).
Looking across all 31 core capabilities outlined in the Goal, the NPR 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.
Grantees are expected to consider National areas for improvement identified in the 2013
National Preparedness Report, which include cybersecurity, recovery- focused core
capabilities, the integration of individuals with access and functional needs, enhancing
the resilience of infrastructure systems, and maturing the role of public - private
partnerships. Addressing these areas for improvement will enhance preparedness Nation-
wide.
In addition, the Department of Homeland Security expects grantees to prioritize grant
funding to address gaps identified through the annual SPR in achieving capability targets
set through the annual THIRA. These assessments identify the jurisdictions' capability
targets and current ability to meet those targets. Grantees should prioritize grant funds to
increase capability for high - priority core capabilities with low capability levels.
Minimum funding amounts are not prescribed by the Department for these priorities;
however, grantees are expected to support state, local, regional, and National efforts in
achieving the desired outcomes of these priorities.
Appendix B also includes other areas where funding can be applied to strengthen
preparedness efforts.
II. Funding Information
A. Available funding for the FOA
$1,043,346,000
For details on program - specific funding amounts, refer to Appendix A — FY 2014
Program Allocations.
B. Period of Performance
Twenty -four (24) months
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FY 2014 HSGP FOA
18 -41
C. Extensions to the Period of Performance
Extensions to the period of performance will be considered only through formal requests
to FEMA with specific and compelling justifications as to why an extension is required.
Agencies should request extensions sparingly and expect extensions to be granted only
under exceptional circumstances. For additional information on period of performance
extensions, refer to Information Bulletin (IB) 379 located at
http: / /www.fema..zov/ rg ants/ rg antprograms- directorate - information - bulletins
D. Risk Methodology
Based upon the requirements of the Homeland Security Act of 2002, as amended, DHS
continues to inform final grant allocation decisions based upon risk. DHS 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.zovlxlibraryl assets /dhs- risk - lexicon- 2010.pdf}. DHS utilizes a
comprehensive risk methodology focused on three principal 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. It
takes into account the potential risk of terrorism to people, critical infrastructure, and
economic security. The threat analysis continues to account for threats from domestic
violent extremists as well as international terrorist groups and those individuals inspired
by terrorists abroad.
SHSP Allocations
FY 2014 SHSP funds will be allocated based on three factors: minimum amounts as
legislatively mandated, DHS' risk methodology, and anticipated effectiveness of
proposed projects. The anticipated effectiveness is assessed based on the applicant's
description of how the proposed projects, as outlined in the Investment Justification (U),
align with the State THIRA and SPR results. Each State and territory will receive a
minimum allocation under SHSP using the thresholds established in the Homeland
Security Act of 2002, as amended. All 50 States, the District of Columbia, and 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. 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 2014 Program Allocations.
UASI Allocations
FY 2014 UASI funds will be allocated based on DHS' risk methodology and then on
anticipated effectiveness of proposed projects. The anticipated effectiveness is assessed
based on the applicant's description of how the proposed projects, as outlined in the IJ,
align with the Urban Area THIRA. Eligible candidates for the FY 2014 UASI program
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FY 2014 HSGP FOA
18 -42
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, 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
http: / /www. census. uov/ po,2ulation/www/metroareas/metrode .html. For details on
program - specific funding amounts, refer to Appendix A — FY 2014 Program Allocations.
OPSG Allocations
FY 2014 OPSG funds will be allocated based on risk -based prioritization using a U.S.
Customs and Border Protection (CBP) Sector - specific border risk methodology. 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 2014
Operation Orders to designated localities within the United States Border States and
territories. For details on program- specific funding amounts, refer to Appendix A — FY
2014 Program Allocations.
III. Eligibility Information
A. Eligibility Criteria
All 56 States, territories and Commonwealths are eligible to apply for SHSP funds. For
those States, territories and Commonwealths that are eligible for UASI and/or OPSG
funds, the State Administrative Agency (SAA) is the only entity eligible to submit
applications to FEMA on behalf of UASI and OPSG applicants.
Eligible sub - recipients under the FY 2014 OPSG are local units of government at the
county level and Federally- recognized Tribal governments in the States bordering
Canada, States bordering Mexico, and States and territories with international water
borders. All applicants must have active ongoing CBP operations coordinated through a
sector office. Eligible States and territories with a county or similar level of government
structure are authorized to accept applications on behalf of the alternative unit of local
government. SAAs in this situation must advise FEMA in writing as to their intent to
apply.
L Cost Share /Match
A cost share /match is not required under this Program.
ii. Maintenance of Effort
Maintenance of effort is not required under this Program.
iii. Pass Through Funding
The SAA must obligate at least 80 percent (80 %) of the funds awarded under SHSP
and UASI to local units of government within 45 days of receipt of the funds. If
receiving OPSG funds, the recipient must pass through 100 percent (100 %) of OPSG
allocations to eligible jurisdictions. For States withholding Management and
Administration M &A costs, please refer to Section IV, A, ii on M &A for how to
calculate percentage pass through funds.
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FY 2014 HSGP FOA
18 -43
iv. Other Eligibility Requirements
Emergency Management Assistance Compact (EMAC) Membership
In support of the Goal, grantees 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 2014 HSGP funding by States,
territories, and Tribes must be readily deployable 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.
National Incident Management System (NIMS) Implementation
Prior to allocation of any Federal preparedness awards in FY 2014, grantees must
ensure and maintain adoption and implementation of NIMS.
Emergency management and incident response activities require carefully managed
resources (personnel, teams, facilities, equipment and/or supplies) to meet incident
needs. Utilization of the standardized resource management concepts such as typing,
inventorying, and cataloging promote a strong national mutual aid capability needed
to support delivery of core capabilities. Additional information on resource
management and national Tier I NIMS Resource Types can be found at
http: //www.fema.gov /resource - management.
FEMA developed the NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use of
those standards. This guideline describes credentialing and typing processes, and
identifies tools which Federal Emergency Response Officials (FEROs) and
emergency managers at all levels of government may use both routinely and to
facilitate multijurisdictional coordinated responses.
Although State, local, Tribal, and private sector partners including
nongovernmental organizations are not required to credential their personnel in
accordance with these guidelines, FEMA strongly encourages them to do so in order
to leverage the Federal investment in the Federal Information Processing Standards
(FIPS) 201 infrastructure and to facilitate interoperability for personnel deployed
outside their home jurisdiction. Additional information can be found at
http:/ /www.fema..zoE/pdflemer.zencylnimslnims alert cred Quideline.pdf
Emergency Operation Plan (EOP)
Grantees 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. Grantees will use the State Preparedness
Report (SPR) to report their compliance with this reporting requirement.
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FY 2014 HSGP FOA
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Threat and Hazard Identification and Risk Assessment (THIRA)
Grantees must update their THIRA by December 31, 2014. Further details on the
THIRA as it relates to HSGP Program requirements can be found in Appendix B - FY
2014 HSGP Program Priorities. For additional guidance on THIRA, please refer to
CPG 201, Second Edition, available at htW: / /www.fema.gov /plan.
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. Each state submits
an annual SPR to FEMA. Refer to Appendix B — FY 2014 HSGP Program Priorities
for additional guidance on SPR requirements.
IV. Funding Restrictions
A. Restrictions on Use of Award Funds
Federal funds made available through this award may only be used 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
grants /cooperative agreements, lobbying, or intervention in Federal regulatory or
adjudicatory proceedings. In addition, Federal funds may not be used to sue the federal
government or any other government entity.
For additional details on restrictions of the use of funds, refer to Appendix C — FY2014
HSGP Funding Guidelines.
i. Pre -award Costs
Pre -award costs are allowable only with the written consent of DHS and if they are
included in the award agreement.
ii. Direct Costs
Management and Administration (M &A)
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 - grantees 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, grantees must still ensure that all sub - grantee
award amounts meet the mandatory minimum pass through requirements which are
applicable to each HSGP program. To meet this requirement the percentage of
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FY 2014 HSGP FOA
18 -45
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. For additional
clarification on OPSG M &A, refer to FEMA Policy FP- 207 - 087 -1. These documents
can be found at http://www.fema.gov/ rg ants/ rg ant- programs- directorate- information-
bulletins and http:// www. fema .govllibraalviewRecord.do ?id =7837, respectively.
Planning
Planning related costs are allowed under this program.
Organization
Grantee organization costs for carrying out the grant's programmatic activities are
allowed under this program.
Equipment
Equipment costs are allowed under this program.
Training
Training related costs are allowed under this program.
Exercises
Exercise related costs are allowed under this program.
Travel
Domestic
Domestic travel costs are allowed under this program.
International
International travel is not an allowable cost under this program unless approved in
advance by FEMA.
Construction and Renovation
Construction and renovation costs are allowed under this program.
Operational Overtime
Operational Overtime costs are allowed under this program.
Maintenance and Sustainment
Maintenance and sustainment costs are allowed under this program.
Critical Emergency Supplies
Critical emergency supply related costs are allowed under this program.
iii. Indirect Costs
Indirect costs are allowable under this program, but only if the applicant has an
approved indirect cost rate agreement with the cognizant Federal agency. A copy of
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FY 2014 HSGP FOA
iL.=.
the approved rate (a fully executed, agreement negotiated with the applicant's
cognizant federal agency) is required at the time of application.
iv. Other Cost Requirements
Consolidation of Law Enforcement Terrorism Prevention Activities ( LETPA)
Per section 2006 of the Homeland Security Act of 2002 (Public Law 107 -296), as
amended, (6 U.S.C. § 607), States are required 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. 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 2014 Program Allocations for LETPA
minimum allocations for SHSP and UASI by jurisdiction.
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 of 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.
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 States to make funds available to
local units of government, combinations of local units, or other specific groups or
organizations. The State's pass through requirement must be met within 45 days of
the award date. Four requirements must be met to pass through grant funds:
• There must be some action to establish a firm commitment on the part of the
awarding entity;
• The action must be unconditional on the part of the awarding entity (i.e., no
contingencies for availability of SAA funds);
• There must be documentary evidence of the commitment; and
• The award terms must be communicated to the official grantee
The SAA must obligate at least 80 percent (80 %) of the funds awarded under SHSP
and UASI to local units of government within 45 days of receipt of the funds. The
signatory authority of the SAA must certify in writing that these obligations have
been met. A letter of intent (or equivalent) to distribute funds is not considered
sufficient. Award sub - recipients must receive their funds within 45 days from the
date the funds are first made available to the grantee so that they can initiate
implementation of approved investments. For the Commonwealth of Puerto Rico, the
SAA must also obligate at least 80 percent (80 %) of the funds to local units of
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FY 2014 HSGP FOA
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government within 45 days of receipt of the funds. For SHSP awards, no pass
through requirements will be applied to the District of Columbia, Guam, American
Samoa, the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana
Islands. Any UASI funds retained by the SAA must be used to directly support the
designated Urban Areas in the State.
Under SHSP, the State may retain more than 20 percent (20 %) of SHSP 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, with the written
consent specifying the amount of funds to be retained and the intended use of funds.
If a written consent agreement is already in place from previous fiscal years, FEMA
will continue to recognize it for FY 2014. If any modifications to the existing
agreement are necessary to reflect new initiatives, States should contact their assigned
FEMA Program Analyst.
If UASI funds are used by the SAA in support of the Urban Area, the SAA must
propose an Investment describing how UASI funds will be used by the SAA to
directly support the Urban Area.
OPSG Pass- Through Requirement
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 with an embedded estimated
operational budget has been reviewed and approved through an official electronic
mail notice issued by FEMA removing this special programmatic condition.
Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes
SHSP, UASI, and OPSG). Grantees are allowed to submit an Investment/project
where funds come from multiple funding sources (i.e., SHSP/UASI); however,
grantees 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.
For additional details on restrictions on the use of funds, refer to Appendix C —
Funding Guidelines.
Environmental Planning and Historic Preservation (EHP) Compliance
As a Federal agency, FEMA is required to consider the effects of its actions on the
environment and /or historic properties to ensure that all activities and programs
funded by the agency, including grants - funded projects, comply with Federal EHP
regulations, laws and Executive Orders as applicable. Grantees and sub - grantees
proposing projects that have the potential to impact the environment, including but
not limited to construction of communication towers, modification or renovation of
existing buildings, structures and facilities, or new construction including
replacement of facilities, must participate in the FEMA EHP review process. The
EHP review process involves the submission of a detailed project description that
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FY 2014 HSGP FOA
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explains the goals and objectives of the proposed project along with supporting
documentation so that FEMA may determine whether the proposed project has the
potential to impact environmental resources and/or historic properties. In some cases,
FEMA is also required to consult with other regulatory agencies and the public in
order to complete the review process. The EHP review process must be completed
before funds are released to carry out the proposed project.
EHP Policy Guidance can be found in FP 108 - 023 -1, Environmental Planning and
Historic Preservation Policy Guidance, at htW://www.fema.gov/media-
library /assets /documents /85376.
SAFECOM
Grantees (including sub - recipients) who receive awards under HSGP that wholly or
partially provide funding for emergency communication projects and related activities
should comply with the most recent version of the SAFECOM Guidance on
Emergency Communications Grants,
http: / /www.safecompro rg am.gov /grant /Default.a This guidance provides
recommendations to grantees regarding interoperable emergency communications
projects, including allowable costs, eligible activities, grants management best
practices for emergency communications grants, and information on technical
standards that ensure greater interoperability. The guidance is intended to ensure that
Federally - funded investments are compatible, interoperable, and support the national
goals and objectives for improving emergency communications nationwide. Grantees
(including sub - recipients) investing in broadband - related investments should review
IB 386: Clarification on Use of DHS/FEMA Public Salty Grant Funds for
Broadband - Related Expenditures and Investments, and consult their FEMA
Headquarters Program Analyst on such Investments before developing applications.
V. Application Review Information and Selection Process
A. Application Review Information
FY 2014 HSGP applications will be evaluated through a review process for
completeness, adherence to programmatic guidelines, and anticipated effectiveness of the
proposed Investments. The results from the review process may require applicants to
revise submissions before the release of HSGP funding.
i. SHSP and UASI
FEMA will verify compliance with all administrative and eligibility criteria identified
in the application kit, to include the required submission of risk driven, capabilities -
based Us by the established due dates and verification of alignment to Urban Area,
State, and regional THIIZAs; SPRs; and national priorities. State and Urban Area
Homeland Security Strategies will also be examined for further context regarding
current capability levels and how IJs address potential gaps to prevent, protect,
mitigate, respond to, and recover from acts of terrorism and other disasters. FY 2014
SHSP and UASI are non - competitive programs. For additional information on FY
2014 SHSP and UASI allocations, refer to Appendix A — FY 2014 Program
Allocations.
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ii. OPSG
Applications will be reviewed by the SAA and U.S. Customs and Border Protection
(CBP)Border Patrol (BP) Sector Headquarters for completeness and adherence to
programmatic guidelines and evaluated for anticipated feasibility, need, and impact of
the Operations Orders.
FEMA will verify compliance with all administrative and eligibility criteria identified
in the FOA and required submission of Operations Orders and Inventory of
Operations Orders by the established due dates. FEMA and CBPBP will use the
results of both the risk analysis and the Federal review to make recommendations for
funding to the Secretary of Homeland Security.
FY 2014 OPSG funds will be allocated competitively based on risk -based
prioritization using a CBP Sector- specific border risk methodology. 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
2014 Operation Orders to designated localities within the United States border States
and territories. For details on program - specific funding amounts, please refer to
Appendix A — FY 2014 Program Allocations.
VI. Federal Award Administration Information
A. 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 date of approval of award is the "award date." The awardee should
follow the directions in the notification to accept the award.
Grantees must accept their awards no later than 90 days from the award date. The
grantee shall notify the awarding agency of its intent to accept and proceed with work
under the award, or provide a written notice of intent to decline. Funds will remain on
hold until the grantee accepts the award through the ND Grants system and all other
conditions of award have been satisfied, or the award is otherwise rescinded. Failure to
accept the grant award within the 90 day timeframe may result in a loss of funds.
B. Administrative and Federal Financial Requirements
Before accepting the award, the authorized official should carefully read the award
package for instructions on administering the grant award and terms and conditions
associated with responsibilities under Federal awards. Grantees must accept all
conditions in this FOA as well as any Special Terms and Conditions in the Award
package to receive an award under this program.
I. Standard Terms and Conditions
14
FY 2014 HSGP FOA
18 -50
All successful applicants for all DHS grant and cooperative agreements are required
to comply with DHS Standard Administrative Terms and Conditions available at:
https:llwww.dhs. og_ylpublication / fy14 -dhs- standard - terms - and - conditions.
ii. Payment
FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial
reporting, invoicing and tracking payments. Additional information can be obtained at
https:llisource.fema.jzovlsl2691 executelLopin ?sawContentMessa eg true.
DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD /EFT) method of
payment to recipients. To enroll in the DD /EFT, the recipient must complete a
Standard Form 1199A, Direct Deposit Form.
C. Reporting Requirements
Awardees are required to submit various financial and programmatic reports as a
condition of their award acceptance. Future awards and funds drawdown may be
withheld if these reports are delinquent.
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 GAO's Government
Auditing Standards, located at http. / /www.gao. og_v/ og vaud ybk0l.htm, and the
requirements of Subpart F of 2 C.F.R. Part 200, located at http: / /www.ec r ov/cgi-
bin/text-
i dx? SID= 55e 12eead565605b4d529d82d276105c &node= 2:1.1.2.1.1.6 &r.en =div6.
For audits of fiscal years beginning prior to December 26, 2014, recipients that
expend $500,000 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 GAO's Government Auditing Standards,
located at http ://www.jzao.gov/eovaud/vbkOLhtm, and OMB Circular A -133, Audits
of States, Local Governments, and Non - Profit Organizations, located at
http://www.whitehouse.govlomblcircularsla]33 compliance supplement 2012.
Audit reports are currently due to the Federal Audit Clearinghouse no later than nine
months after the end of the recipient's fiscal year.
ii. Financial Reporting Periods and Due Dates
The following reporting periods and due dates apply:
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
15
FY 2014 HSGP FOA
18 -51
iii. Federal Financial Report (FFR)
Obligations and expenditures must be reported on a quarterly basis through the FFR
(SF -425) and must be filed electronically using PARS. The form is available at
http: //www.whitehouse.gov /sites /default /files /omb /assets /erants forms /SF- 425.1!df
An FFR report must be submitted quarterly throughout the period of performance,
including partial calendar quarters, as well as for periods where no grant award
activity occurs. The final FFR is due 90 days after the end date of the performance
period. FFRs must be filed electronically through PARS. Future awards and fund
drawdowns may be withheld if these reports are delinquent, demonstrate lack of
progress, or are insufficient in detail.
iv. Program Performance Reporting Requirements
The following reporting periods and due dates apply:
Reporting Period
Report Due Date
January 1 — June 30
July 30
July 1— December 31
January 30
Performance Progress Report (SF -PPR)
Awardees are responsible for providing updated performance reports using the SF-
PPR (OMB Control Number: 0970 -0334) on a biannual basis. Grantees must
complete the cover page of the SF -PPR and submit it as an attachment to the ND
Grants system. The SF -PPR can be accessed online at
http: / /www. naffed .us//SF- PPR_Cover %20Sheet pdf.
Grantees will be required to report on progress towards implementing plans described
in their application, as well as, progress made towards implementing performance
measures as described in Appendix B - Program Specific Priorities. As part of the
SF -PPR, grantees will be required to report on progress towards implementing the
following performance measures:
For fusion centers, the achievement of capabilities and compliance with
measurement requirements within the Maturation and Enhancement of State and
Major Urban Area Fusion Centers priority through the annual Fusion Center
Assessment Program managed by the DHS Office of Intelligence and Analysis
(I &A) and reported to FEMA; and
Pass - Through Certification Requirement
For FY 2014, the Initial Strategy Implementation Plan (ISIP) will no longer be
required. In place of the ISIP, the signatory authority of the SAA must certify in
writing to the respective FEMA GPD Program Analyst that the 80 percent (80 %)
pass - through obligation was met within 45 days of the award date.
Biannual Strategy Implementation Reports (BSIR)
In addition to the quarterly financial and biannual performance progress reports,
grantees are responsible for completing and submitting BSIRs. The BSIR is due
16
FY 2014 HSGP FOA
18 -52
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). In the first
BSIR, grantees must provide the information on all awarded funds, by identifying all
projects that were not included in the application. In the BSIR grantees will be
responsible for linking projects to sub grantees and reporting on project progress.
The BSIR reports will be used as an additional validation that the pass - through
requirement is met throughout the period of performance of the award. 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, 2015, (30 days after the end of the first reporting period for the
award. Subsequent BSIR reports will require grantees to report on a project -by-
project basis.
D. Monitoring
Grant recipients will be monitored on an annual and as needed basis by 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 either a desk -based review or 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.
E. Closeout
Pursuant to 44 C.F.R. § 13.50(b) Reports, within 90 days after the expiration or
termination of the grant, the grantee must submit all financial, performance, and other
reports required as a condition of the grant.
Within 90 days after the end of the period of performance, grantees must submit the
following:
1) Final request for payment, if applicable;
2) SF -425 —Final Federal Financial Report;
3) SF -PPR — Final Performance Progress Report;
4) A qualitative narrative summary on the impact of those accomplishments throughout
the entire period of performance submitted to the respective Grant Programs
Directorate (GPD) Program Analyst in a Word document;
5) SF -428 — Tangible Personal Property Report — Inventory of all tangible personal
property acquired using funds from this award. The form is available at
ham: / /www.whitehouse.QOV /sites /default /files /omb/ rants /approved forms/sf- 428.pdf.'
17
FY 2014 HSGP FOA
18 -53
6) When applicable, SF -429 — Real Property Status Report — Inventory of all
construction projects using funds from this award. The form is available at
http: / /www.whitehouse.QOV/ sites / default /fles/omb /grants /approved forms /sf- 429.pdf
7) Other documents required by program guidance or terms and conditions of the
award.
In order to close an award, grantees must be current on, and have submitted, all required
reports per the terms and conditions of the grant award. Once the grant has officially
been closed, the grantee will receive a Grant Adjustment Notice (GAN) which will
provide information regarding the amount of any deobligated funds, equipment
disposition, and record retention requirements for closed awards.
If FEMA has made reasonable attempts through multiple contacts to close out awards
within the required 180 days, FEMA may waive the requirement for a particular report
and administratively close the award. If this action is taken, consideration for subsequent
awards to the grantee may be impacted or restricted.
The grantee is responsible for returning any funds that have been drawn down, but
remain as unliquidated on grantee financial records.
F. Extensions
Extensions to the initial period of performance identified in the award will only be
considered through formal, written requests to the grantee's respective Headquarters
Program Analyst and must contain specific and compelling justifications as to why an
extension is required. States are advised to coordinate with the 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 period of performance termination date and new project completion date;
5) Amount of funds drawn down to date;
6) Remaining available funds, both Federal and non - Federal;
7) Budget outlining how remaining Federal and non - Federal 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 period
of performance without any modification to the original Statement of Work approved
by FEMA.
Awardees must submit all proposed extension requests to DHS/FEMA for review and
approval no later than 120 days prior to the end of the period of performance. In
18
FY 2014 HSGP FOA
18 -54
accordance with GPD policy, extensions are typically granted for no more than a six
month time period. Extension requests will be granted only due to compelling legal,
policy, or operational challenges.
For more information on extensions, refer to IB #379, Guidance to State Administrative
Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding at
http: / /www.fema.QOV/ air nts/grant- prams- directorate - information- bulletins #2013IB.
19
FY 2014 HSGP FOA
18 -55
VII. DHS FEMA Contact Information
A. For Financial, Programmatic, or Administrative Questions Pre -Award and Post
Award
Centralized Scheduling and Information Desk (CSID)
CSID is a non - emergency comprehensive management and information resource
developed by DHS for grants stakeholders. CSID provides general information on all
FEMA grant programs and maintains a comprehensive database containing key
personnel contact information at the Federal, State, and local levels. When necessary,
grantees 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 askcsi&.dhs.gov, Monday through Friday, 8:00 a.m. — 5:30 p.m.
EST.
ii. Grant Programs Directorate (GPD) Grant Operations Division
GPD's Grant Operations Division Business Office provides financial support and
technical assistance. The Grant Operations Division manages, administers, and
conducts application budget review, creates the award package, approves, amends
and closes out awards. Additional guidance and information can be obtained by
contacting the FEMA Call Center at (866) 927 -5646 or via e -mail to ASK -
GMD(i0lis.gov.
iii. 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. For a list of
contacts, please go to http: // www. fema. movlabouticontactlrezions.shtm.
iv. Systems Information
Grants.gov.
For technical assistance with Grants.gov, please call the Grants.gov customer support
hotline at (800)518 -4726.
Non - Disaster (ND) Grants.
For technical assistance with the ND Grants system, please contact
ndgrants(a;fema.gov or (800)865 -4076.
v. GPD Environmental Planning and Historic Preservation (GPD -EHP)
The FEMA GPD -EHP Team provides guidance and information about the EHP
review process to grantees and sub grantees. All inquiries and communications about
GPD projects or the EHP review process, including the submittal of EHP review
materials, should be sent to gpdehpinfo@,/ema.gov. EHP Technical Assistance,
including the EHP Screening Form, can be found at htW: 11www.fema.gov1media-
20
FY 2014 HSGP FOA
18 -56
library-data /20130726 - 1806- 25045-
28391 gpd ehp screeniny� form omb 1660 0115 June 2011.pdf.
vi. Telephone Device for the Deaf (TDD)
The Telephone Device for the Deaf (TDD) and /or Federal Information Relay Service
(FIRS) number available for this announcement is: (800) 462 -7585.
vii. Hard copies of the FOA
Hard copies of the FOA are not available.
VHI. Other Critical Information
National Preparedness
DHS coordinates with local, State, territory, Tribal, and Federal governments as well as
the private and nonprofit sectors to facilitate an all -of- nation/whole community, risk
driven, and capabilities -based approach to preparedness. This approach is grounded in
the identification and assessment of risk through the THIRA. Urban Areas and States
must maintain and update their THIRAs, and States their SPRs, annually 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
in the National Preparedness System Description (released November 2011), which is
posted on the FEMA website at htW: / /www.fema.eov /national p=aredness/national-
12=aredness- system. Additional details regarding how the National Preparedness
System is supported by the HSGP can be found in Appendix B — Program Specific
Priorities.
FY 2014 Unified Reporting Tool (URT)
The URT is FEMA's collection mechanism for THIRA /SPR and other related
preparedness information. The FY 2014 SPR includes questions related to NIMS
adoption and implementation, and Comprehensive Preparedness Guide 101 v 2.0
compliance.
IX. How to Apply
A. Application Overview
Applying for an award under this program is a multi -step process and requires time to
complete. To ensure that an application is submitted on time applicants are advised to
start the required steps well in advance of their submission. Applicants should allow at
least 15 business days (three weeks) to complete the five steps of applying listed
below. Failure of an applicant to comply with any of the required steps before the
deadline for submitting their application will automatically 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;
21
FY 2014 HSGP FOA
18 -57
2) Applying for, updating or verifying their Employer Identification Number (EIN);
3) Updating or verifying their System for Award Management (SAM) registration;
4) Submitting an initial application in grants.gov;
5) Completing Investment Justifications in the Grant Reporting Tool (GRT) and;
6) Submitting the complete application in ND Grants.
To ensure adequate time to complete the full application process, applicants are
encouraged to submit their initial application in Grants.gov (Step 4) at least ten (10)
days before the May 23, 2014 application deadline
1. Obtain a Data Universal Numbering System Number (DUNS)
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 DUNS number request
line at (866) 705 -5711. FEMA cannot assist applicants with questions related to
obtaining a current DUNS number.
2. Obtain an Employer Identification Number (EIN)
FEMA requires both the EIN and a DUNS number prior to the issuance of a financial
assistance award and, for grant award payment. Both are also required to register
with SAM (see below). The EIN base for an organization is the IRS Tax ID number,
for individuals it is their social security number, both of which are nine -digit
numbers. Organizations and individuals submitting their applications must correctly
identify the EIN from the DUNS since both are 9 -digit numbers. If these numbers are
not correctly identified in the application, this may result in a delay in the issuance of
an award and/or incorrect payment to a grantee organization.
Organization applicants applying for an EIN should plan on a minimum of two full
weeks to obtain an EIN. If you need assistance registering an EIN, go to
http: / /www. irs. QovI Businesses /Small- Businesses -&- Self- EmployedlApply- for -an-
Emplover- Identification- Number - (EIN)- Online. FEMA cannot assist applicants with
questions related to obtaining a current EIN.
3. Register with the System for Award Management (SAM)
Payments are contingent on the information provided in SAM and must be completed
by the applicant at http: / /www.sam.gov. It is imperative that the information provided
by the applicant is correct and current. Please ensure that your organization's name,
address, DUNS number and EIN are current in SAM and that the DUNS number used
in SAM is the same one used to apply for all other FEMA awards.
SAM registration is a multi -step process including validating your EIN with the
Internal Revenue Service (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.
22
FY 2014 HSGP FOA
f -m-i
If you need assistance registering with SAM, please go to https: / /www.fsd.gov/ or
call 866 - 606 -8220. FEMA cannot assist applicants with questions related to obtaining
a current CAGE code.
4. Initial Application Submission in Grants.gov
All applicants 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 FEMA to
determine eligibility of the applicant. Applicants should complete this step at
http: / /www.grants.gov. The initial on -line application in grants.gov requires
completing
• Standard Form 424 (SF 424), Application for Federal Assistance, and
• Grants.gov Form Certification Regarding Lobbying Form.
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. Application forms and instructions are available at
Grants.gov. To access these materials, go to http: / /www.grants.gov, select Apply for
Grants, enter the CFDA number or the FOA number noted in this FOA, select
Download Application Package, and follow the prompts to download the application
package. The information submitted in grants.gov will be retrieved by ND Grants,
which will allow FEMA to determine if an applicant is eligible. Applicants are
encouraged to submit their initial application at least ten (10) days before the
May 23, 2014 application deadline.
If you need assistance applying through grants.gov, please go to
http: / /www.grants.gov/ web /grants/ applicants / grant - application - process.html, contact
support@grants.gov, or call 800 -518 -4726. FEMA cannot assist applicants with
questions related to registering with grants.gov.
5. Completing Investment Justifications in the Grant Reporting Tool
For more information on how to complete Us, refer to the Investment Justification
Planning Guide found at www.fema.eov/Qrants.
6. Final Application Submission in FEMA's Non Disaster Grants System (ND
Grants)
Eligible applicants will be notified by FEMA and asked to proceed with submitting
their complete application package in ND Grants. Applicants can register early with
ND Grants and are encouraged to begin their ND Grants registration at the time of
this announcement. Early registration will allow applicants to have adequate time to
start and complete their application. The application must be completed and final
submission made through the ND Grants system located at https: / /portal.fema.gov.
In ND Grants, applicants will be prompted to submit all of the information contained
in the following forms:
23
FY 2014 HSGP FOA
18 -59
Standard Form 424A, Budget Information (Non- construction)
Standard Form 424B, Standard Assurances (Non - construction)
Standard Form 424D, Standard Assurances (Construction)
Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has engaged or
intends to engage in lobbying activities)
Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying.
Applicants will also be prompted to assure compliance with all Standard and Special
Terms and Conditions before being eligible to receive an award under this program.
In addition applicants must submit copies of the following in ND Grants:
• Standard Form 424C, Budget Information (Construction) if applying
for grants to support construction;
• Investment Justification
• Program and Budget Narrative
• Program Work Plan
• Project Objectives
• Detailed budget
• Indirect Cost Agreement.
If you need assistance registering on the ND Grants system, please contact
ndgrants @fema.gov or (800) 865 -4076.
HSGP Program Specific Application Instructions
Investment Justification (SHSP and UASI)
As part of the FY 2014 HSGP application process for SHSP and UASI funds, applicants
must develop a formal IJ that addresses each investment being proposed for funding. The
IJ must demonstrate how proposed projects support sustainment of existing core
capabilities or address capability gaps and deficiencies in one or more core capabilities
outlined in the Goal and as identified in their most recent State Preparedness Report. The
U must also demonstrate alignment to the Urban Area, State, and/or regional THIRAs,
national priorities, and applicable guidance provided by FEMA. The IJ must also describe
engagement with and/or impacts on the general and vulnerable populations, to include
children, the elderly, pregnant women, and individuals with disabilities such as those
with access and functional needs. Furthermore, the IJ must clearly identify and explain
the nexus to terrorism preparedness.
IJs are submitted in the GRT. The U Guide contains instructions for collecting the
required information for Investments and projects. 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.
24
FY 2014 HSGP FOA
:.01
Instructions for SHSP
• Applicants must propose at least one and include up to 10 projects within each
Investment in their IJ to describe the activities they would like to implement with
SHSP funds
• Any projects not included in the application must be included in the first BSIR
• Of the proposed Investments, applicants are required to propose at least one
Investment to provide funding support to the State's primary fusion center, as
designated by the Governor. Grantees must coordinate with the fusion center when
developing a fusion center Investment prior to submission
• Grantees investing in emergency communications must describe how activities align
to their Statewide Communication Interoperable Plan (SCIP). Grantees must
coordinate with their Statewide Interoperability Coordinator (SWIG) 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
Instructions for UASI
• Urban Areas must propose at least one and up to 10 projects within each Investment
in their U to describe the activities they are planning to implement with UASI funds
• Any projects not included in the application must be included in the first BSIR
• If applicable, of the proposed 10 Investments, Urban Areas are required to propose at
least one Investment in support of a designated fusion center within the Urban Area.
Grantees 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 up to 10 Investments, propose an Investment describing how UASI funds
will be used by the SAA to directly support the Urban Area.
• Grantees investing in emergency communications must describe how activities align
to the SCIP. Grantees must coordinate with the 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
Instructions for OPSG
As part of the FY 2014 OPSG application process, each eligible local unit of government
at the county level or Federally - recognized Tribal government must develop their
Operations Order in coordination with State and Federal law enforcement agencies, to
include, but not limited to Customs and Border Patrol (CBP) /Border Protection (BP).
Operations Orders 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 Operations Order should address this in the
Executive Summary. The details should include the names of the agencies, the points of
contact, and the individual funding requests. All applications must be coordinated
through the CBP sector office and that BP will forward application to the SAA for
25
FY 2014 HSGP FOA
18 -61
review. For more information, refer to Appendix E — FY 2014 OPSG Operations Order
Template and Instructions and Appendix F — OPSG Operational Guidance for more
information.
26
FY 2014 HSGP FOA
18 -62
Appendix A — FY 2014 Program Allocations
FY 2014 SHSP Allocations
State/Territory
Alabama
FY 2014
Allocation
$3,733,000
State/Territory
Montana
IFY 2014
Allocation
$3,733,000
Alaska
$3,733,000
Nebraska
$3,733,000
American Samoa
$854,000
Nevada
$3,733,000
Arizona
$4,568,000
New Hampshire
$3,733,000
Arkansas
$3,733,000
New Jersey
$8,354,000
California
$60,035,000
New Mexico
$3,733,000
Colorado
$3,979,000
New York
$76,742,000
Connecticut
$3,978,000
North Carolina
$5,489,000
Delaware
$3,733,000
North Dakota
$3,733,000
District of Columbia
$4,119,000
Northern Mariana
$854,000
Florida
$11,010,000
Ohio
$7,698,000
Georgia
$6,807,000
Oklahoma
$3,733,000
Guam
$854,000
Oregon
$3,837,000
Hawaii
$3,733,000
Pennsylvania
$10,026,000
Idaho
$3,733,000
Puerto Rico
$3,733,000
Illinois
$16,357,000
Rhode Island
$3,733,000
Indiana
$3,978,000
South Carolina
$3,733,000
Iowa
$3,733,000
South Dakota
$3,733,000
Kansas
$3,733,000
Tennessee
$3,978,000
Kentucky
$3,978,000
Texas
$21,448,000
Louisiana
$3,978,000
U.S. Virgin Islands
$854,000
Maine
$3,733,000
Utah
$3,733,000
Maryland
$6,125,000
Vermont
$3,733,000
Massachusetts
$5,622,000
Virginia
$7,414,000
Michigan
$6,658,000
Washington
$6,493,000
Minnesota
$3,978,000
West Virginia
$3,733,000
Mississippi
$3,733,000
Wisconsin
$3,978,000
Missouri
$3,978,000
W Lominq
$3,733,000
Total
i00
27
Appendix A— FY2014 HSGP Allocations
18 -63
FY 2014 UASI Allocations
Arizona
Funded Urban Area
Phoenix Area
FY 2014
Allocation
$5,500,000
California
Anaheim /Santa Ana Area
$5,500,000
Bay Area
$27,400,000
Los Angeles /Long Beach Area
$67,500,000
Riverside Area
$1,000,000
Sacramento Area
$1,000,000
San Diego Area
$16,874,000
Colorado
Denver Area
$3,000,000
District of Columbia
National Capital Region
$53,000,000
Florida
Miami /Fort Lauderdale Area
$5,500,000
Orlando Area
$1,000,000
Tampa Area
$3,000,000
Georgia
Atlanta Area
$5,500,000
Hawaii
Honolulu Area
$1,000,000
Illinois
Chicago Area
$69,500,000
Indiana
Indianapolis Area
$1,000,000
Louisiana
New Orleans Area
$3,000,000
Maryland
Baltimore Area
$5,500,000
Massachusetts
Boston Area
$18,000,000
Michigan
Detroit Area
$5,500,000
Minnesota
Twin Cities Area
$5,500,000
Missouri
Kansas City Area
$1,000,000
St. Louis Area
$3,000,000
Nevada
Las Vegas Area
$1,000,000
New Jersey
Jersey City /Newark Area
$21,800,000
New York
New York City Area
$178,926,000
North Carolina
Charlotte Area
$3,000,000
Ohio
Cincinnati Area
$1,000,000
Cleveland Area
$1,000,000
Columbus Area
$1,000,000
Oregon
Portland Area
$1,000,000
Pennsylvania
Philadelphia Area
$18,500,000
Pittsburgh Area
$3,000,000
Texas
Dallas /Fort Worth /Arlington Area
$15,500,000
Houston Area
$24,000,000
San Antonio Area
$1,000,000
Utah
Salt Lake City Area
$1,000,000
Virginia
Hampton Roads Area
$1,000,000
Washington
.. l
Seattle Area
$5,500,000
$587r0r r0i
28
Appendix A— FY2014 HSGP Allocations
E=
FY 2014 SHSP and UASI LETPA Minimums
State/Territory
Alabama
Funded Urban Area(s)
UASI
Allocation
Total UAS]
Allocation
SHSP
Allocation
$3,733,000
Tots I
Allocation by
State
$3,733,000
LETPA
$933,250
Alaska
$3,733,000
$3,733,000
$933,250
American Samoa
$854,000
$854,000
$213,500
Arizona
Phoenix Area
$5,500,000
$5,500,000
$4,568,000
$10,068,000
$2,517,000
Arkansas
$3,733,000
$3,733,000
$933,250
California
Anaheim /Santa Ana Area
$5,500,000
$119,274,000
$60,035,000
$179,309,000
$44,827,250
Bay Area
$27,400,000
Los Angeles /Long Beach Area
$67,500,000
Riverside Area
$1,000,000
Sacramento Area
$1,000,000
San Diego Area
$16,874,000
Colorado
Denier Area
$3,000,000
$3,000,000
$3,979,000
$6,979,000
$1,744,750
Connecticut
$3,978,000
$3,978,000
$994,500
Delaware
$3,733,000
$3,733,000
$933,250
District of Columbia
National Capital Region
$53,000,000
$53,000,000
$4,119,000
$57,119,000
$14,279,750
Florida
Miami /Fort Lauderdale Area
$5,500,000
$9,500,000
$11,010,000
$20,510,000
$5,127,500
Odando Area
$1,000,000
Tampa Area
$3,000,000
Georgia
Atlanta Area
$5,500,000
$5,500,000
$6,807,000
$12,307,000
$3,076,750
Guam
$854,000
$854,000
$213,500
Hawaii
Honolulu Area
$1,000,000
$1,000,000
$3,733,000
$4,733,000
$1,183,250
Idaho
$3,733,000
$3,733,000
$933,250
Illinois
Chicago Area
$69,500,000
$69,500,000
$16,357,000
$85,857,000
$21,464,250
Indiana
Indianapolis Area
$1,000,000
$1,000,000
$3,978,000
$4,978,000
$1,244,500
Iowa
$3,733,000
$3,733,000
$933,250
Kansas
$3,733,000
$3,733,000
$933,250
Kentucky
$3,978,000
$3,978,000
$994,500
Louisiana
New Orleans Area
$3,000,000
$3,000,000
$3,978,000
$6,978,000
$1,744,500
Maine
$3,733,000
$3,733,000
$933,250
Maryland
Baltimore Area
$5,500,000
$5,500,000
$6,125,000
$11,625,000
$2,906,250
Massachusetts
Boston Area
$18,000,000
$18,000,000
$5,622,000
$23,622,000
$5,905,500
Michigan
Detmit Area
$5,500,000
$5,500,000
$6,658,000
$12,158,000
$3,039,500
Minnesota
Twin Cities Area
$5,500,000
$5,500,000
$3,978,000
$9,478,000
$2,369,500
Mississippi
$3,733,000
$3,733,000
$933,250
Missoud
Kansas City Area
$1,000,000
$4000,000
$3,978,000
$7,978,000
$1,994,500
St. Louis Area
$3,000,000
Montana
$3,733,000
$3,733,000
$933,250
Nebraska
$3,733,000
$3,733,000
$933,250
Nevada
Las Vegas Area
$1,000,000
$1,000,000
$3,733,000
$4,733,000
$1,183,250
New Hampshire
$3,733,000
$3,733,000
$933,250
New Jersey
Jersey City /Newark Area
$21,800,000
$21,800,000
$8,354,000
$30,154,000
$7,538,500
New Mexico
$3,733,000
$3,733,000
$933,250
New York
New York City Area
$178,926,000
$178,926,000
$76,742,000
$255,668,000
$63,917,000
North Carolina
Charlotte Area
$3,000,000
$3,000,000
$5,489,000
$8,489,000
$2,122,250
North Dakota
$3,733,000
$3,733,000
$933,250
Northern Madana Islands
$854,000
$854,000
$213,500
Ohio
Cincinnati Area
$1,000,000
$3,000,000
$7,698,000
$10,698,000
$2,674,500
Cleveland Area
$1,000,000
Columbus Area
$1,000,000
Oklahoma
1
$3,733,000
$3,733,000
$933,250
Oregon
I Portland Area
$1,000,0001
$1,000,0001
$3,837,0001
$4,837,000
$1,209,250
29
Appendix A— FY2014 HSGP Allocations
18 -65
FY 2014 SHSP and UASI LETPA Minimum (continued)
State/Territory
Pennsylvania
Funded Urban Area(s)
Philadelphia Area
UASI
Allocation
$18,500,000
Total UASI
Allocation
$21,500,000
SHSP
Allocation
$10,026,000
Tota I
Allocation by
State
$31,526,000
LETPA
$7,881,500
Pittsburgh Area
$3,000,000
Puerto Rico
$3,733,000
$3,733,000
$933,250
Rhode Island
$3,733,000
$3,733,000
$933,250
South Carolina
$3,733,000
$3,733,000
$933,250
South Dakota
$3,733,000
$3,733,000
$933,250
Tennessee
$3,976,000
$3,978,000
$994,500
Texas
Dallas /Fort Worth /Arlington Area
$15,500,000
$40,500,000
$21,448,000
$61,948,000
$15,487,000
Houston Area
$24,000,000
San Antonio Area
$1,000,000
U.S. Virgin Islands
$854,000
$854,000
$213,500
Utah
Salt Lake City Area
$1,000,000
$1,000,000
$3,733,000
$4,733,000
$1,183,250
Vermont
$3,733,000
$3,733,000
$933,250
Virginia
Hampton Roads Area
$1,000,000
$1,000,000
$7,414,000
$8,414,000
$2,103,500
Washington
Seattle Area
$5,500,000
$5,500,000
$6,493,000
$11,993,000
$2,998,250
West Virginia
$3,733,000
$3,733,000
$933,250
Wisconsin
$3,978,000
$3,978,000
$994,500
Wyoming
$3,733,000
$3,733,000
$933,250
Total
$69,500 ,000
$69,500,000
$84,055,000
00
r
30
Appendix A— FY2014 HSGP Allocations
...
FY 2014 OPSG Eligible States and Territories
Alabama
States and Territories
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 2014 OPSG.
31
Appendix A— FY2014 HSGP Allocations
18 -67
Appendix B — Program Priorities
Alignment of HSGP to the National Preparedness System
The Nation utilizes 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, all -of- Nation,
risk informed, capabilities -based approach to preparedness. 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 National Preparedness System enable a collaborative, whole
community approach to national preparedness that engages individuals, families, communities,
private and nonprofit sectors, faith -based organizations, and all levels of government
(http://www.fema.kovlwhole-communitv).
The FY 2014 HSGP Program contributes to the implementation of the National Preparedness
System by supporting the building, sustainment, and delivery of core capabilities. Core
capabilities are essential for the execution of critical tasks in the National Planning Frameworks
for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the
combined effort of the whole community, rather than the exclusive effort of any single
organization or level of government. The HSGP Program's allowable costs support efforts to
build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and
Recovery mission areas.
To evaluate national progress in building, sustaining, and delivering the core capabilities outlined
in the Goal, FEMA annually publishes the National Preparedness Report (NPR). Looking across
all 31 core capabilities outlined in the Goal, the NPR 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.
A key focus and requirement of the HSGP is to prevent terrorism and to prepare the Nation for
the threats and hazards that pose the greatest risk to the security and resilience of the United
State, and the greatest risks along the Nation's borders; therefore, HSGP funded investments
must have a terrorism- nexus. When applicable, funding should support deployable assets that
can be utilized anywhere in the Nation through automatic assistance and mutual aid agreements,
including but not limited to the EMAC.
In addition, the Department of Homeland Security expects grantees to prioritize grant funding to
address gaps identified through the annual SPR in achieving capability targets set through the
annual THIRA. These assessments identify the jurisdictions' capability targets and current
ability to meet those targets. Grantees should prioritize grant funds to increase capability for
high - priority core capabilities with low capability levels. Minimum funding amounts are not
32
Appendix B— FY2014 HSGP Priorities
fL3-17
prescribed by the Department for these priorities; however grantees are expected to support state,
local, regional, and national efforts in achieving the desired outcomes of these priorities.
Grantees are expected to consider national areas for improvement identified in the 2013 National
Preparedness Report, which include cybersecurity, recovery- focused core capabilities, the
integration of individuals with access and functional needs, enhancing the resilience of
infrastructure systems and maturing the role of public - private partnerships. Addressing these
areas for improvement will enhance preparedness nation -wide.
Using the core capabilities, the FY 2014 HSGP Program supports the achievement of the Goal
by:
• Preventing a threatened or an actual act of terrorism;
• Protecting our citizens, residents, visitors, and assets against the greatest threats and
hazards;
• Mitigating the loss of life and property by lessening the impact of future disasters;
• Responding quickly to save lives, protect property and the environment, and meet basic
human needs in the aftermath of a catastrophic incident; and/or
• Recovering through a focus on the timely restoration, strengthening, and revitalization of
infrastructure, housing, and a sustainable economy, as well as the health, social, cultural,
historic, and environmental fabric of communities affected by a catastrophic incident.
The core capabilities contained in the Goal are highly interdependent and require the use of
existing preparedness networks and activities, improve training and exercise programs, promote
innovation, and ensure that the appropriate administrative, finance, and logistics systems are in
place.
To support building, sustaining, and delivering these core capabilities, grantees will use the
components of the National Preparedness System. 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. For more information on each component, read the National Preparedness System
description available at hgp://www;fema.QOV /national preparedness /national preparedness -
s_ystem. Grantees are expected to use this process when using grant funds to address their
capability gaps.
Reporting on the Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements
In order to qualify for HSGP Program funding, all grantees shall develop and maintain a Threat
and Hazard Identification and Risk Assessment ( THIRA) which informs and supports the State
Preparedness Report (SPR). Only one THIRA submission from each State will be accepted. A
THIRA 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. Comprehensive Preparedness Guide 201, Second
33
Appendix B— FY2014 HSGP Priorities
:.•
Edition: THIRA (CPG 201, Second Edition) is available at htW://www;fema.gov/national-
preparedness /plan.
In Step Four of the THIRA process, a jurisdiction should estimate the resources required to
deliver the capability targets set in their THIRAs. Communities express resource requirements
as a list of resources needed to successfully manage their threats and hazards. Through the
capability estimation process, jurisdictions should identify the resources from across the whole
community needed to meet capability targets. Each jurisdiction should decide which
combination of resources is most appropriate to achieve its capability targets.
Reporting
• UASIs are required to submit an annual update to their THIRA. UASIs will submit
their THIRA to the designated State Administrative Agency. THIRA submissions
shall be in alignment with CPG 201, Second Edition. The Urban Area should
coordinate internally to ensure its submission represents all jurisdictions within the
UASI program. UASI submissions of the THIRA are due no later than December 31,
2014.
States are required to submit an annual update to their THIRA. States will submit
their THIRA update along with their annual SPR through the Unified Reporting Tool
(URT) and email a copy of the URT to their respective FEMA Regional Federal
Preparedness Coordinator and copy ema- spr(1i.)fema.dhs.gov. THIRA submissions
shall be in alignment with CPG 201, Second Edition. State submissions of the
THIRA and SPR are due no later than December 31, 2014. The State should
coordinate with each eligible Urban Area to ensure that the UASI THIRA
submissions occur in advance of this deadline, as the State must include the Urban
Area's input when conducting the statewide SPR assessment.
Building and Sustaining Capabilities
HSGP program grantees should ensure that grant funding is utilized to sustain critical core
capabilities within the National Preparedness System that were funded by past HSGP funding
cycles to include training of personnel and lifecycle replacement of equipment. New capabilities
should not be built at the expense of maintaining current and critically needed core capabilities.
If new core capabilities are being sought utilizing HSGP funding, grantees must ensure that the
capabilities are deployable outside of their community to support regional and national efforts or
otherwise shareable with regional partners and aligned with a capability gap identified in the
THIRA /SPR. All capabilities being built or sustained must have a clear linkage to one or more
core capabilities in the Goal.
NIMS Compliance
Grantees receiving HSGP funding are required to implement the National Incident
Management System (NIMS). The NIMS uses a systematic approach to integrate the best
existing processes and methods into a unified national framework for incident management.
Incident management refers to how incidents are managed across all homeland security
activities, including prevention, protection, and response, mitigation, and recovery. FY 2014
grantees must utilize standardized resource management concepts such as typing,
inventorying, organizing, and tracking resources that facilitates the identification, dispatch,
deployment, and recovery of their resources.
34
Appendix B— FY2014 HSGP Priorities
18 -70
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.zovl state - and - major- urban - area - fusion- centers). To that end, DHS
preparedness grants will continue to support designated State and major Urban Area fusion
centers (hgp://www.dhs.gov/iusion- center - locations- and - contact - information) and the
maturation of the Information Sharing Environment (ISE).
A National Network also provides a mechanism for the Federal government to receive
information from State, Local, territory and Tribal partners, which helps create a more
complete threat picture at the National level. Participating in the Nationwide 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.
The 2010 National Security Strategy identifies fusion centers as critical in enlisting all of our
intelligence, law enforcement, fire service, emergency management, and homeland security
capabilities to prevent acts of terrorism on American soil.
In support of this strategic vision, the Department of Homeland Security's Office of
Intelligence & Analysis (DHS I &A) is requiring designated State and major Urban Area
fusion centers to participate in an annual assessment of their achievement of Critical
Operational Capabilities (COCs) and Enabling Capabilities (ECs), as detailed in the Global
Justice Information Sharing Initiative`s (Global) Baseline Capabilities for State and Major
Urban Area Fusion Centers.
As maturation of the National Network continues to be a high priority in FY 2014, DHS 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, and this
Investment must address funding support for the designated fusion center. The single
Investment provides state and urban areas a means to centrally manage and report on fusion
center related activities. Grantees must coordinate with the fusion center when developing
a fusion center Investment prior to submission, and the Investment must directly align
to and reference any capability gaps identified during the center's individual 2013
Fusion Center Assessment Report. In particular, each proposed project included in the
fusion center Investment must reference the corresponding COC or EC, as well as
associated attribute(s), the funding investment is intended to address. Additionally, any
jurisdiction or agency that leverages HSGP funds to support intelligence- or fusion process -
related activities (i.e., intelligence unit, real time crime information and analysis centers, etc.)
must ensure these efforts are integrated and/or coordinated with the respective designated
State or major Urban Area fusion center(s).
In order to effectively measure implementation of this priority, designated State and major
Urban Area fusion centers leveraging SHSP and/or UASI grant funds will be evaluated based
upon compliance with the guidance and requirements for the National Network of Fusion
Centers as set forth by the DHS Office of Intelligence and Analysis through the annual Fusion
Center Assessment Program.
35
Appendix B— FY2014 HSGP Priorities
18 -71
• All FY2014 Fusion Center Grant requirements are listed at http: / /www.dhs. oovv/fv -2013-
homeland- security repro r�gp.
• All FEMA approved analyst courses that meet the grant requirement are listed at
http: / /www.dhs.Qov /fema- approved - intelligence - analyst- training- courses.
Reporting
As part of programmatic monitoring, grantees will be required to describe how
expenditures support maintenance and sustainment of current Goal core capabilities
within the BSIR. HSGP grantees will, on a project -by- project basis, check one of the
following:
• Sustaining or maintaining a capability acquired with Federal homeland security
funding;
• Sustaining or maintaining a capability acquired without Federal homeland security
funding;
• Developing or acquiring a new core capability;
• Through the SF -PPR, fusion centers will report on the achievement of capabilities
and compliance with measurement requirements within the Maturation and
Enhancement of State and Major Urban Area Fusion Centers priority through the
annual Fusion Center Assessment Program managed by DHS I &A and reported to
FEMA.
• Grantees will use the SPR to report NIMS implementation.
Planning to Deliver Capabilities
State grantees shall develop, maintain, or revise as necessary, jurisdiction -wide, all threats and
hazards EOPs consistent with CPG 101 v.2, which serves as the foundation for State, local,
Tribal, and territory emergency planning. Grantees must update their EOP at least once every
two years.
In building future EOPs, planners should anticipate the increasing complexity and decreasing
predictability of the future operating environment. These efforts should actively use strategic
foresight, including the multiple driving forces of change and the associated evolving strategic
needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can
be found at http: / /www.fema.jzov /strategic- planniniz-anal sy is- spa- divisionlstrategic- foresi
initiative.
Reporting
• Grantees will use the SPR to report EOP compliance with CPG 101 v2.
Validating Capabilities
Grantees should develop long -term training and exercise priorities that examine, validate and /or
address the capability gaps identified through their annual THIRA and SPR by developing a
multi -year Training and Exercise Plan (TEP). Grantees should also review and consider areas
for improvement identified from real -world events and exercises, and national areas for
improvement identified in the 2013 National Preparedness Report.
The TEP should consider the risks and capability requirements described in the THIRA along
with the guidance provided by elected and appointed officials to identify and set training and
36
Appendix B— FY2014 HSGP Priorities
18 -72
exercise program priorities and develop a multi -year schedule of exercise events and supporting
training activities to meet those priorities A TEP that is developed from a Training and Exercise
Planning Workshop (TEPW) provides a roadmap to accomplish the multi -year priorities
identified by elected and appointed officials and whole community stakeholders. These priorities
help curriculum and exercise planners design and develop a progressive program of training and
exercises that build, sustain, and deliver core capabilities. Information related to TEPs and
TEPWs can be found on the HSEEP website at https://www.11is.dhs.jzovlhsegg.
All grantees will develop and maintain a progressive exercise program consistent with Homeland
Security Exercise and Evaluation Program ( HSEEP) ( htips://www.11is.dhs.gov/hseep). A
progressive, multi -year exercise program enables organizations to participate in a series of
increasingly complex exercises, with each successive exercise building upon the previous one
until mastery is achieved while also taking into account prior lessons learned. Regardless of the
exercise type, each exercise within the progressive series is linked to a set of common program
priorities and designed to test associated capabilities.
Reporting
• Following the TEPW, all grantees and sub - grantees are required to develop a multi-
year training and exercise plan that identifies combination of exercises, along with
associated training requirements, that address the priorities identified in the TEPW.
The training and exercise plan shall be submitted to hseep� 7a,dhs.gov no later than 90
days after the TEPW. States are encouraged to post their schedules to the National
Exercise Scheduling System (NEXS) at
https: //hseep.dhs. ov1DHS SS01?ReturnUr1= %2fhsegp em%21Too1kitHome.aspx
• Consistent with the national exercise program, grantees shall develop and maintain a
progressive exercise program. Grantees must either submit one After Action
Report/Improvement Plan (AAR /IP) that captures the lessons learned and corrective
actions from the progressive exercise program conducted within the HSGP Period of
Performance; or submit individual AAR/IPs for each HSGP - funded
exercise. AAR/IPs should be submitted to hseep(a),fema.dhs.gov and include a list of
corrective actions and lessons learned, no later than 90 days after completion of the
exercise. In accordance with HSEEP guidance grantees are reminded of the
importance of implementing corrective actions iteratively throughout the progressive
exercise cycle. Grantees are encouraged to use the HSEEP AAR/IP template located
at https: / /www.11is.dhs /hseep and utilize the Corrective Action Program (CAP)
System at https://hsegp.dhs.QOV /caps /, as a means to track the implementation of
corrective actions listed in the AAR/IP.
Reviewing and Updating
On a recurring basis, capabilities, resources, and plans should be reviewed to determine if they
remain relevant or need to be updated as it relates to the HSGP. This review should be based on
a current risk assessment and utilize information gathered during the validation process. These
reviews will provide a means to examine preparedness analyses; determine priorities; direct
preparedness actions; and calibrate goals and objectives. FY 2014 HSGP requires State and
Urban Area Homeland Security Strategies be updated every other year, and shall be informed
by THIRA process results. The assessment and results support communities' strategic planning
37
Appendix B— FY2014 HSGP Priorities
18 -73
initiative and informs efforts needed to adapt to and manage the changing risk landscape,
sustain strengths, and obtain or borrow resources from whole community partners.
Supplemental SHSP Guidance
Collaboration with Other Federal Preparedness Programs
DHS 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, U. S. Department
of Health and Human Services (HHS) has two robust preparedness programs — Center for
Disease Control (CDC) Public Health Emergency Preparedness (PHEP) cooperative agreement
program and Assistant Secretary for Preparedness and Response's (ASPR's) 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 Goal core capabilities,
and collaboration with the PHEP directors and HPP coordinators can build capacity around
shared interests and investments that fall in the scope of these HHS cooperative agreements and
the 2014 HSGP.
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
emergency preparedness programs such as those administered by the HHS Office of the
Assistant Secretary for Preparedness and Response, the CDC, and the U.S. Department of
Transportation's (DOT) National Highway Traffic Safety Administration.
Governance
Keeping with the guiding principles of governance for all DHS preparedness programs, grantees
must coordinate with their stakeholders to examine how they integrate preparedness activities
across disciplines, agencies, and levels of government, including State, territorial, local, and
Tribal units of government. A cohesive planning framework should be incorporated that builds
and implements homeland security initiatives which leverage DHS resources, as well as other
Federal, State, territory, local, private sector, faith -based community, and Tribal resources.
Specific attention should be paid to how all available preparedness funding sources (multiple
Federal sources as well as State and local sources) can be effectively utilized in a collaborative
manner to support the whole community approach to emergency preparedness and management
and to the enhancement of overall capabilities. To accomplish this, the SAA must establish or
reestablish a unified Senior Advisory Committee (SAC).
Senior Advisory Committee
The SAC builds upon governance structures that may already be established under different
FEMA preparedness grant programs, but the nature and governance of this Committee was new
for FY 2013 and continues in FY 2014 for HSGP. The SAC should build 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), which currently exist in support of States and Urban Areas, Tribal
nations, non - profit organizations, transit agencies and Amtrak, and port areas. Examples of
advisory bodies that should be included on the SAC include: Urban Area Working Groups
38
Appendix B— FY2014 HSGP Priorities
18 -74
(UAWGs), Statewide Interoperability Governing Board (SIGB), Area Maritime Security
Committees (AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen
Corps Councils, and Children's Working Groups. To ensure a whole community effort, SAC
membership should include representatives of these various stakeholder groups /committees, and
should also include direct or indirect representation for all relevant jurisdictions and response
disciplines (including law enforcement, fire service, and emergency management), UASI - funded
Urban Areas, as well as Citizen Corps Councils, Tribal representatives, non - profit, faith based,
and voluntary organizations such as the American Red Cross. SACs are encouraged to develop
subcommittee structures, as necessary, to address issue- or region- specific considerations in
support of overarching implementation.
The responsibilities of a SAC include:
• Integrating preparedness activities across disciplines, the private sector, non - profit
organizations, faith - based, community, 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 and framework that builds and implements
preparedness initiatives which leverage DHS resources, as well as other Federal, State,
territorial, local, private sector, faith -based community, and Tribal resources;
• Management of all available preparedness funding sources (multiple Federal sources as
well as State and local sources) to enhance effective utilization of and elimination of
duplication of effort across all stakeholders and disciplines; and
• Ensuring that the application for SHSP and UASI funds align with the THIRA and work
to fill capability gaps identified in the SPR.
Senior Advisory Committee Composition and Scope
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.
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 State
Preparedness Report (SPR). SAAB 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 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
39
Appendix B— FY2014 HSGP Priorities
18 -75
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. 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.
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 FEMA with the grant application. SAAB
must work with existing Urban Areas to ensure that information for current POCs is on
file with FEMA.
Finally, FEMA recommends that organizations advocating on behalf of vulnerable
populations including youth, the elderly and 'individuals with 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 must be members of the SAC (as
applicable): 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
Court Official, State Emergency Medical Services (EMS) Director, State Trauma System
Manager, Statewide Interoperability Coordinator, State Citizen Corps 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.
3. Whole Community Engagement
SHSP and UASI grantees must engage with the whole community to advance community
and individual preparedness and to work as a nation to build and sustain resilience (see
http: / /www.fema.gov /whole - community). Grantees must also integrate the needs of
children and individuals with disabilities or access and functional needs into activities
implemented with SHSP and UASI funds.
4. Collaboration with Nonprofit Organizations
SHSP and UASI grantees must also work with the nonprofit community, including
through the dedication of LETPA funds and resources, to address terrorism prevention
concerns, seek input on the needs of the nonprofit sector, and support the goals of their
investments.
40
Appendix B— FY2014 HSGP Priorities
18 -76
5. Collaboration with Tribes
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.
6. Coordination with other Federal agencies and programs
States and Urban Areas must coordinate among the entire scope of Federal partners,
national initiatives and grant programs to identify opportunities to leverage resources
when implementing their preparedness programs. This may include but is not limited to:
Medical Reserve Corps, CDC, and ASPR. Emergency Medical Services for Children
(EMSC) grants, ASPR Hospital Preparedness Program (HPP), CDC Public Health
Emergency Preparedness (PHEP), CDC Cities Readiness Initiative (CRI), Strategic
National Stockpile Programs, and EMS. 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 CBP Sector Analysis.
Senior Advisory Committee Charter
The governance of the SHSP and UASI programs through the SAC must 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 grantee's assigned FEMA 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 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 existing governance bodies will be leveraged by the Committee;
• 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 fmancial 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. 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
41
Appendix B— FY2014 HSGP Priorities
18 -77
projects, conducting research necessary to inform the planning process, and developing plans
that bridge mechanisms, documents, protocols, and procedures.
SAAB 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. Many capabilities which support terrorism preparedness
simultaneously support preparedness for other hazards. Grantees must demonstrate the dual -use
quality for any activities implemented that are not explicitly focused on terrorism preparedness.
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 Council(s),
and campus law enforcement in their program activities.
Grantees must also demonstrate the integration of children and individuals with disabilities or
access and functional needs into activities implemented under this program.
Composition
Pursuant to provisions of the 9/11 Act, eligible UASI sites were determined based on an analysis
of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by
OMB. MSAs are used by DHS 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.goi�l
UASI Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and programmatic
administration requirements of the UASI program.
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 FEMA with the grant application. SAAB
42
Appendix B— FY2014 HSGP Priorities
U.M.
must work with existing Urban Areas to ensure that information for current POCs is on
file with 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 UAWG,
the SAA POC may redefine the geographic boundaries of an existing Urban Area, as it
will apply to the UASI program. The SAA POC must notify 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 Citizen Corps Council or their equivalent
and Tribal representatives. The UAWG should also ensure the integration of local
emergency management, public health, and health care systems into a coordinated,
sustained local capability to respond effectively to a mass casualty incident. In addition,
the UAWG should include officials responsible for the administration of CDC and ASPR
cooperative agreements. Finally, it is recommended that members advocating on behalf
of vulnerable populations including youth, the elderly and individuals with functional
needs, socio- economic factors and cultural diversity, be invited to provide representation.
The SAA POC must ensure that appropriate representation for the defined Urban Area is
included per this guidance. 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 may also support State efforts to develop the SPR,
particularly as it relates to UASI funded activities.
• Governance. The jurisdictions identified in Appendix A — FY 2014 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
43
Appendix B— FY2014 HSGP Priorities
18 -79
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 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 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 subsequent updates.
• Urban Area Homeland Security Strategy. Urban Area Homeland Security Strategies
should be updated every two years at a minimum, to ensure that their strategies continue
to address prevention, protection, mitigation, response, and recovery, and reflect how
their goals and objectives align to the Goal and the Whole Community approach.
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 the
implementation of the FEMA- approved Urban Area Homeland Security Strategy. The
use of funds must also be consistent with overall UASI program guidelines, the State
Homeland Security Strategy, the National Preparedness System, and must develop 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 and vulnerable populations demonstrating the integration of
children and individuals with disabilities or access and functional needs 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 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 - grantees, the SAA must
make the allocation determination. The SAA must provide written documentation
verifying the consensus of the UAWG, or the failure to achieve otherwise, on the
allocation of funds and submit it to FEMA immediately after the 45 -day time period
allotted for the State to obligate funds to sub - grantees.
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 FEMA upon request
44
Appendix B— FY2014 HSGP Priorities
MM- 8
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 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 United States border States and territories in accomplishing the
following objectives:
• Increase capability to prevent, protect against, and respond to border security issues;
• Encourage local operational objectives and capabilities to enhance National and State
Homeland Security Strategies (such as the Federal Secure Borders Initiative and United
States CBP/ BP strategies);
• 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 CBP /BP 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 the 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,
Tribal, and territorial law enforcement agencies.
OPSG funds must be used to increase operational capabilities of Federal, State, local, Tribal, and
territorial law enforcement, promoting a layered, coordinated approach to law enforcement
within United States border States and territories.
• Federal, State, Local, Tribal, and Territorial OPSG Integrated Planning Team
(IPT). It is recommended that Federal, State, local, Tribal, and territorial partners
establish and maintain an OPSG IPT with representation from all participating law
enforcement agencies, co- chaired by representatives from CBPBP, the SAA, and
participating law enforcement agencies' OPSG program representatives.
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
45
Appendix B— FY2014 HSGP Priorities
WU.
coordinated across multiple jurisdictions. All applicants must coordinate with the CBP /BP
Sector 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 grant recipients will re -scope the draft Operations
Order and resubmit as a final Operations Order with an embedded budget, based on actual dollar
amounts to be 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.
Grantees may not begin operations, obligate, or expend any funds until the final Operations
Order and embedded budget has been approved by FEMA GPD and CBP /BP Headquarters and
any existing special conditions and/or restrictions are removed. OPSG activities are expected to
maximize HSGP strategic planning efforts and integration with State, Tribal, territory, Urban
Area, and local Homeland Security Strategies.
Management and Administration (M &A)
For information on how to determine M &A for OPSG awards, please review GPD policy,
Clarification for Allowable Management and Administration (M&A) Costs under the Operation
Stonegarden Grant Program, dated June 25, 2013. The policy is located at
http://www.fema.jzovlmedia-libraglassetsldocumentsl335 77.
46
Appendix B— FY2014 HSGP Priorities
li
Additional Funding Considerations
Below are additional areas to consider where funding can be applied to strengthen preparedness
efforts.
Enhancing Cybersecurity Capabilities
Applicants are encouraged to propose projects to aid in implementation of all or part of the
National Institute of Standards and Technology (KIST) Cyber Security Framework when
requesting funds for cybersecurity. The CSF is available at
htW:Ilwww.nist.govlcvberframeworkluploadlcvbersecurity-framework-021214-finaLp The
Framework gathers existing global standards and practices to help organizations understand,
communicate, and manage their cyber risks. For organizations that don't know where to start,
the Framework provides a road map. For organizations with more advanced cybersecurity, the
Framework offers a way to better communicate with their leadership and with suppliers about
management of cyber risks.
The Department of Homeland Security's Critical Infrastructure Cyber Community C' Voluntary
Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks. For more information visit hgq:11Www.us-
cert.eov 1ccubedvp.
Mass Casualty Incident Preparedness and Citizen Preparedness
Although the Citizen Corps Program (CCP) and Metropolitan Medical Response System
(MMRS) are no longer funded as discrete grant programs within HSGP, States may include Us
funding and supporting 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, 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. Grantees 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 for vulnerable populations including
children, the elderly, pregnant women, and individuals with disabilities and others with access
and functional needs. Further, grantees are strongly encouraged to collaborate with local,
regional, and State public health and health care partners, including Medical Reserve Corps
Units and Citizen Corps Councils or their equivalent, 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 (ESAR -VHP), CDC Cities Readiness Initiative
(CRI), PHEP, and Strategic National Stockpile Programs.
To demonstrate whole community engagement, Citizen Corps Councils and Community
Emergency Response Teams (CERTs) programs must register new programs or update
information on the website in order to be considered by a state or local jurisdiction for inclusion
in their Us when applying for HSGP funds. Program updates can be made at
47
Appendix B— FY2014 HSGP Priorities
f -Mici
http: / /www.read�gov /citizen -corers and at htW://www.fema.gov/communi. - emergent -response -
teams. The Citizen Corps and CERT Core Capabilities Tool (CCT) has been developed to help
grantees develop Us that reference how Citizen Corps and CERT activities contribute to and
support core capabilities. The CCT is available at httn://www.ready..gov /citizen- corps /citizen-
corps-Qrant- information- and - financial- resources.
Citizen preparedness must be coordinated by an integrated body of government and
nongovernmental representatives. State and local government recipients of HSGP funds must
have a coordinating body to serve as their Citizen Corps 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), and
advocacy groups for children, seniors, people with disabilities and others with access and
functional needs.
48
Appendix B— FY2014 HSGP Priorities
fLall
Appendix C — Funding Guidelines
Grantees must comply with all the requirements in 44 CFR Part § 13 and 2 CFR Part §215.
In general, grantees should consult with their FEMA Headquarters Program Analyst prior to
making any Investment that does not clearly meet the allowable expense criteria established by
the FOA. Funding guidelines established within this section support the five mission areas —
Prevention, Protection, Mitigation, Response, and Recovery —and associated core capabilities
within the Goal.
Allowable Investments made in support of the HSGP priorities as well as other capability -
enhancing projects must fall into the categories of planning, organization, exercises, training, or
equipment.
Planning (SHSP 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 of the THIRA, SPR, 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 For
additional information, please see
http: / /www.fema.gov // about /divisions /npd /CPG_101 _V2. p
Organization (SHSP and UASI Only)
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 by using historical data or other analysis. All
States 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
49
Appendix C— FY2014 HSGP Funding Guidelines
fLaD
a recipient of a grant, the Administrator may grant a waiver of the 50 percent (50 %) limitation
noted above. Organizational activities under SHSP and UASI include:
• Intelligence analysts. Per the Personnel Reimbursement for Intelligence Cooperation
and Enhancement (PRICE) of Homeland Security Act (Public Law 110 -412), SHSP and
UASI funds may be used to hire new staff and/or contractor positions to serve as
intelligence analysts to enable information/intelligence sharing capabilities, as well as
support existing intelligence analysts previously covered by SHSP or UASI funding. In
order to be hired as an intelligence analyst, staff and /or contractor personnel must meet at
least one of the following criteria:
– Successfully complete training to ensure baseline proficiency in intelligence
analysis and production within six months of being hired; and /or,
– Previously served as an intelligence analyst for a minimum of two years either in
a Federal intelligence agency, the military, or State and/or local law enforcement
intelligence unit
As identified in the Maturation and Enhancement of State and Major Urban Area Fusion
Centers priority, all fusion 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 grantee's respective FEMA Program Analyst upon request. In addition to
these training requirements, fusion centers should also continue to mature their analytic
capabilities by addressing gaps in analytic capability identified during the fusion center's annual
assessment.
Overtime costs. Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities specifically related to
homeland security and specifically requested by a Federal agency. Allowable costs are
limited to overtime associated with federally requested participation in eligible fusion
activities, including anti - terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area
Maritime Security Committees (as required by the Maritime Transportation Security Act
of 2002), DHS Border Enforcement Security Task Forces, and Integrated Border
Enforcement Teams. Grant funding can only be used in proportion to the Federal man -
hour estimate, and only after funding for these activities from other Federal sources (i.e.,
FBI JTTF payments to State and local agencies) has been exhausted. Under no
circumstances should DHS grant funding be used to pay for costs already supported by
funding from another Federal source.
Operational overtime costs. In support of efforts to enhance capabilities for detecting,
deterring, disrupting, and preventing acts of terrorism, operational overtime costs are
allowable for increased security measures at critical infrastructure sites. SHSP or UASI
funds for organizational costs may be used to support select operational expenses
associated with increased security measures at critical infrastructure sites in the following
authorized categories:
– Backfill and overtime expenses for staffing State or Major Urban Area fusion
centers;
50
Appendix C— FY2014 HSGP Funding Guidelines
U-2 .
- Hiring of contracted security for critical infrastructure sites;
- Participation in Regional Resiliency Assessment Program (RRAP) 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 CBP, as outlined in IB
135 ( http ://www.fema.jzov/Qrants/.Qrant- programs- directorate -in ormation-
bulletins ).
SHSP or UASI funds may only be spent for operational overtime costs upon prior approval
provided in writing by the FEMA Administrator.
Note: States with UASI jurisdictions can use funds retained at the State level to reimburse
eligible operational overtime expenses incurred by the State (per the above guidance limitations
and up to a maximum of 50 percent (50 %) of the State share of the UASI grant). Any UASI
funds retained by the State must be used in direct support of the Urban Area. States must
provide documentation to the UAWG and FEMA upon request demonstrating how any UASI
funds retained by the State would directly support the Urban Area.
Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, response, and recovery equipment
categories and equipment standards for HSGP are listed on the web -based version of the
Authorized Equipment List (AEL) on the Lessons Learned Information System at http: / /llis.jzov /.
Unless otherwise stated, equipment must meet all mandatory regulatory and /or DHS- adopted
standards to be eligible for purchase using these funds. In addition, agencies will be responsible
for obtaining and maintaining all necessary certifications and licenses for the requested
equipment.
Grant funds may be used for the procurement of medical countermeasures. Procurement of
medical countermeasures must be conducted in collaboration with State /city /local health
departments who administer Federal funds from HHS for this purpose. Procurement must have a
sound threat based justification with an aim to reduce the consequences of mass casualty
incidents during the first crucial hours of a response. Prior to procuring pharmaceuticals,
grantees must have in place an inventory management plan to avoid large periodic variations in
supplies due to coinciding purchase and expiration dates. Grantees are encouraged to enter into
rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals
must include a budget for the disposal of expired drugs within each fiscal year's the period of
performance for HSGP. The cost of disposal cannot be carried over to another FEMA grant or
grant period.
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
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f.]M.
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 an After Action Report/Improvement Plan (AAR/IP) 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 those for vulnerable populations including children, the elderly, pregnant women, and
individuals with disabilities or access and functional needs, should be identified in the AAR /IP
and addressed in the State or Urban Area training cycle. Grantees are encouraged to use
existing training rather than developing new courses. When developing new courses, grantees
are encouraged to apply the Analysis, Design, Development, Implementation and Evaluation
model of instructional design (Course Development Tool) located at
https://www: irstrespondertrainingeov.
Exercises (SHSP and UASI)
Exercises conducted with FEMA support should be managed and executed in accordance with
HSEEP. HSEEP guidance for exercise design, development, conduct, evaluation, and
improvement planning is located at https: / /www.11is.dhs.gov /hseW.
Maintenance and Sustainment (SHSP, UASI, and OPSG)
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or
replacement costs, upgrades, and user fees are allowable, as described in FEMA Policy FP 205-
402 -125 -1 (ht(p://www. ema.Qov/ media- library /assets /documents /324741 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 a maintenance or
warranty plan must not exceed the period of performance 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
grantees 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 must 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 Allowable Costs (SHSP and UASI)
Activities eligible for use of LETPA focused funds are outlined in the National Prevention
Framework (and where capabilities are shared with the protection mission area, the National
Protection Framework) located at http://www.fema.jzovinational-planning-frameworks and
include:
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• 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;
• 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
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;
• Training for countering violent extremism; development, implementation, and/or
expansion of programs to engage communities that may be targeted by violent extremist
radicalization; and the development and implementation of projects to partner with local
communities to prevent radicalization to violence, in accordance with the Strategic
Implementation Plan (SIP) to the National Strategy on Empowering Local Partners to
Prevent Violent Extremism in the United States; and
• Increase physical security, through law enforcement personnel and other protective
measures by implementing preventive and protective measures at critical infrastructure
site or other at -risk nonprofit organizations.
Critical Emergency Supplies (SHSP and UASI)
In order to further DHS' mission, 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 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 grantee and monitored 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 requirement for the purchase of these supplies under UASI and monitor
development and status of the State's inventory management plan.
States (through their Emergency Management Office) are strongly encouraged to consult with
their respective FEMA Regional Logistics Chief regarding disaster logistics- related issues.
States are further encouraged to share their FEMA approved plan with local jurisdictions and
Tribes.
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.
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6
Written approval must be provided by FEMA prior to the use of any HSGP funds for
construction or renovation. When applying for construction funds, including communications
towers, at the time of application, grantees must submit evidence of approved zoning ordinances,
architectural plans, any other locally required planning permits, and a notice of Federal interest.
Additionally, grantees are required to submit a SF -424C Budget and Budget detail citing the
project costs.
When applying for funds to construct communication towers, grantees and sub - grantees 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 no later than 12 months before the end of the
period of performance. EHP review materials should be sent to gpdehpinfo(a,fema.gov.
HSGP Program grantees using funds for construction projects must comply with the Davis -
Bacon Act (40 U.S.C. 3141 et seg.). Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers employed directly at the work -site no less
than the prevailing wages and fringe benefits paid on projects of a similar character. Additional
information, including Department of Labor (DOL) wage determinations, is available from the
following website http: / /www.doLjzov /compliance /laws /comp- dbra.htm.
OPSG funds may not be used for any type of construction.
Personnel (SHSP and UASI)
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to
perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may
include but is 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, SAAB should refer to IB # 358 or contact their FEMA Headquarters Program
Analyst.
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 FEMA program activities as
specified in this guidance. This may not include new personnel who are hired to fulfill
any non -FEMA program activities under any circumstances. Hiring will always result in
a net increase of Full Time Equivalent (FTE) employees.
Overtime. These expenses are limited to the additional costs which result from personnel
working over and above 40 hours of weekly work time as a direct result of their
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performance of 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 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
grantees 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 operational package (OPack) funding, such as Canine Teams,
Mobile Explosive Screening Teams, and Anti - Terrorism Teams, for new capabilities as well as
sustain existing OPacks. Applicants must commit to minimum training standards to be set by the
Department for all Federally funded security positions. Applicants must also ensure that the
capabilities are able to be deployable, through EMAC, outside of their community to support
regional and national efforts. When requesting OPacks- related projects, applicants must
demonstrate the need for developing a new capability at the expense of sustaining existing core
capability.
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 ales /pro rg ams /gc 12 006935 79 7 76.shtm or
http : / /www.getyouhome.govlhtmlleng mM.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
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.
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18 -91
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;
• 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.
Operations (OPSG)
The intent of OPSG is to focus on operational aspects of enhancing coordination between
Federal, State, local, Tribal, and territorial law enforcement agencies to increase the security of
the United States borders.
Operational Overtime. OPSG funds may 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 grant 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. To avoid supplanting issues, the
request must also include a three -year staffing history for the requesting entity;
- Include an approved Operations Order from the CBP /BP Sector office which
supports the local jurisdiction's written justification;
- Be coordinated with the CBP Sector, SAA, and OBP; and
- Be forwarded electronically by CBP to FEMA.
Part Time 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.
Travel, Per Diem, and Lodging. Travel and per diem include costs associated with the
deployment /redeployment of personnel to border areas and for travel associated with law
enforcement entities assisting other local jurisdictions in law enforcement activities. In
addition, costs to support up to six month deployment of law enforcement personnel to
critical Southwest Border locations to support operational activities (travel costs must be
in accordance with applicable travel regulations).
• Vehicle and Equipment Rentals.
• Vehicle /Equipment Maintenance.
• Fuel Cost and /or Mileage Reimbursement. There is no cap for reimbursement of
operational activities.
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Activate Reserve State, local, Tribal, and territorial law enforcement personnel.
Supporting a request to the Governor to activate, deploy, or redeploy specialized National
Guard Units/Package and/or elements of State law enforcement to increase or augment
specialized/technical law enforcement elements operational activities.
Bacljill. Costs associated with backfill for personnel supporting operational activities.
Law Enforcement Readiness. Use of OPSG funds may be used to increase operational,
material, and technological readiness of State, local, Tribal, and territorial law
enforcement agencies.
Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with staffing and general IT computing
equipment and hardware, such as personal computers, faxes, copy machines, modems, etc.
OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full -time or
permanent sworn public safety officers is unallowable. OPSG funding shall not be used to
supplant inherent routine patrols and law enforcement operations or activities not directly related
to providing enhanced coordination between local and Federal law enforcement agencies.
Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer
to IB 358 or contact their FEMA Headquarters Program Analyst at (800) 368 -6498 for guidance
and clarification.
Unallowable Costs (SHSP and UASI)
Per FEMA policy, the purchase of weapons and weapons accessories is not allowed with HSGP
funds.
Per the Anti- Deficiency Act, federal government personnel, or representatives thereof, are
prohibited from participation in projects awarded to sub grantees. This includes the solicitation,
selection and monitoring of sub grantees.
Examples of Allowable Activities for SHSP and UASI
Planning Activities
Examples of planning activities include:
Developing hazard/threat- specific annexes that incorporate the range of prevention,
protection, mitigation, response, and recovery activities as identified in the national
planning frameworks
Developing and implementing homeland security support programs and adopting DHS
national initiatives including but not limited to the following:
- Conducting a THIRA process
- Implementing the Goal, National Preparedness System, and the Whole
Community Approach to Security and Emergency Management including efforts
to support strengthening of capacity among whole community partners
- Pre -event recovery planning
- Implementing the 2014 National Infrastructure Protection Plan (NIPP) and
associated Sector Specific Plans
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- Enhancing and implementing SCIPs and Tactical Interoperable Communications
Plans (TICPs) that align with the goals, objectives, and initiatives of the National
Emergency Communications Plan (NECP)
- Costs associated with the adoption, implementation, and sustainment of the
NIMS, including implementing the NIMS Guideline for Credentialing of
Personnel
- Modifying existing incident management and EOPs to ensure proper alignment
with the coordinating structures, processes, and protocols described in the
National Frameworks
- Establishing or enhancing mutual aid agreements
- Developing communications and interoperability protocols and solutions
consistent with NIMS /ICS that include communications support for faith -based
and voluntary organizations
- Developing emergency communications SOPs and plain language protocols
- Integrating emergency communications SOPS across jurisdiction, disciplines, and
levels of government
- Conducting local, regional, and Tribal program implementation workshops
- Developing or updating resource inventory assets in accordance to NIMS -typed
resource definitions which are managed by FEMA's National Integration Center
(NIC) and can be found at: http: / /www.fema.jzov /resource -mana eg ment
- Designing State and local geospatial data systems
- Developing and conducting public education and outreach campaigns, including
promoting individual, family, and organizational emergency preparedness and
support for the National Preparedness Campaign including America's
PrepareAthon! and Ready campaigns, as required by the National Preparedness
System; alerts and warnings education; promoting training, exercise, and
volunteer opportunities; informing the public about emergency plans, evacuation
routes, shelter locations; and evacuation plans as well as CBRNE prevention
awareness
Designing programs to address targeting at -risk populations and engaging them in
emergency management planning efforts
Developing and conducting public education and outreach campaigns, including
promoting individual, family, and organizational emergency preparedness and
support for the national Campaign to Build and Sustain Preparedness, including
America's PrepareAthon!, as required by the National Preparedness System; the
Ready Campaign; alerts and warnings education; promoting training, exercise,
and volunteer opportunities; informing the public about emergency plans,
evacuation routes, shelter locations; and evacuation plans as well as CBRNE
prevention awareness activities, materials, services, tools and equipment to
achieve planning, protection, mitigation, response and recovery that is inclusive
of people with disabilities (physical, programmatic and communications access
for people with physical, sensory, mental health, intellectual and cognitive
disabilities)
Preparing materials for SPRs
WHTI implementation activities including the issuance of WHTI- compliant
Tribal identification cards
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UML,
Conducting statewide emergency communications and preparedness planning, including
the following activities:
- Conducting/attending planning and governance workshops
- Engaging and expanding the participation of the whole community in emergency
communications planning, response, and risk identification
- Participating in THIRA development process
- Collecting and using data (e.g., NECP Goal Assessments, findings from national -
level exercises) to assess user needs, capabilities, and gaps, and to facilitate
coordination and asset - sharing
- Assessing emergency communications needs and assets and integrating needs into
State plans (e.g., SCIP, SPR, and broadband plans)
- Coordinating with SWIC, SAA, and State -level planners to ensure proposed
investments align to statewide plans (e.g., SCIP, State broadband plan) and
comply with technical requirements
Developing related terrorism prevention activities:
- Coordinating fusion center efforts with other analytical and investigative efforts
including, but not limited to 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.
- Developing THIRAs that reflect a representative makeup and composition of the
jurisdiction
- Developing initiatives that directly support local efforts to understand, recognize,
prepare for, prevent, mitigate, and respond to pre - operational activity and other
crimes that are precursors or indicators of terrorist activity, in accordance with
civil rights /civil liberties protections
- Developing law enforcement prevention activities, to include establishing and/or
enhancing a fusion center
- Hiring an IT specialist to plan, develop, and implement the IT applications
necessary for a fusion center
- Developing and planning for information /intelligence sharing groups
- Integrating and coordinating the fire service, emergency management, public
health care, public safety, and health security data - gathering (threats to human
and animal health) within designated fusion centers to achieve early warning,
monitoring, and mitigation of threats
- Hiring and training privacy, security, and/or fusion liaison officers (FLO)
coordinators to support fusion center operations
- Integrating and coordinating private sector participation with fusion center
activities
- Developing and implementing preventive radiological/nuclear detection activities
- Acquiring systems allowing connectivity to State, local, Tribal, territorial, and
Federal data networks, such as the National Crime Information Center (NCIC)
and Integrated Automated Fingerprint Identification System (IAFIS), as
appropriate
- Planning to enhance security during heightened alerts, terrorist incidents, and/or
during mitigation and recovery
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Appendix C— FY2014 HSGP Funding Guidelines
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- Accessible public information/education: printed and electronic materials, public
service announcements, seminars /town hall meetings, and web postings
coordinated through local Citizen Corps Councils
- Volunteer programs and other activities to strengthen citizen participation
- Conducting public education campaigns including promoting suspicious activity
reporting and preparedness; individual, family, and organizational emergency
preparedness; Promoting the national Campaign to Build and Sustain
Preparedness and the Ready campaign
- Evaluating Critical Infrastructure Protection (CIP) security equipment and /or
personnel requirements to protect and secure sites
- CIP cost assessments, including resources (e.g., financial, personnel) required for
security enhancements /deployments
- Underwater Terrorist Protection Plans
• Developing and implementing a comprehensive model for preventing violent extremism
in local communities:
• Including existing law enforcement agencies' initiatives and including
mechanisms for engaging the resources and expertise available from a range of
social service providers, such as education administrators, mental health
professionals, and religious leaders;
Enhancing engagement with communities to discuss violent extremism in an
effort to (1) share sound, meaningful, and timely information about the threat of
radicalization to violence with a wide range of groups and organizations,
particularly those involved in public safety; (2) respond to concerns about
government policies and actions; and (3) increase understand for how community -
based solutions can be supported.
Building expertise, including a robust training program to improve cultural
competency and to ensure that communities, government, and law enforcement
receive accurate, intelligence -based information about the dynamics of
radicalization to violence.
• Developing and enhancing risk centric capabilities -based plans and protocols, including
but not limited to:
- Community -based planning to advance "whole community" security and
emergency management
- Incorporating government/non- governmental collaboration, citizen preparedness,
and volunteer participation into State and local government homeland security
strategies, policies, guidance, plans, and evaluations
- Developing, enhancing, maintaining a current EOP that conforms to the
guidelines outlined in the CPG 101 v 2.0
- Planning for the relocation of existing systems operating in the T -Band
- Developing or enhancing local, regional, or Statewide strategic or tactical
interoperable emergency communications plans including such actions to support
communications with faith -based and voluntary entities who act as immediate
responders in disaster
- Developing or enhancing critical infrastructure planning, to include planning for
incidents at chemical facilities
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Appendix C— FY2014 HSGP Funding Guidelines
- Developing protocols or SOPs for specialized teams to incorporate the use of
equipment acquired through this grant program
- Developing terrorism prevention/protection plans
- Developing plans, procedures, and requirements for the management of
infrastructure and resources related to HSGP and implementation of State or
Urban Area Homeland Security Strategies
- Developing plans for mass evacuation and pre - positioning equipment
- Developing or enhancing plans for responding to mass casualty incidents caused
by any hazards
- Developing or enhancing applicable procedures and operational guides to
implement the response actions within the local plan including patient tracking
that addresses identifying and tracking children, access and functional needs
population, and the elderly and keeping families intact where possible
- Developing or enhancing border security plans
- Developing or enhancing cybersecurity and risk mitigation plans
- Developing or enhancing secondary health screening protocols at major points of
entry (e.g., air, rail, port)
- Developing or enhancing agriculture /food security risk mitigation, response, and
recovery plans
- Developing public /private sector partnership emergency response, assessment,
and resource sharing plans
- Developing or enhancing plans to engage and interface with, and to increase the
capacity of, private sector /non - governmental entities working to meet the human
service response and recovery needs of survivors
- Developing or updating local or regional communications plans
- Developing plans to support and assist jurisdictions, such as port authorities and
rail and mass transit agencies
- Developing or enhancing continuity of operations and continuity of government
plans
- Developing or enhancing existing catastrophic incident response and recovery
plans to include and integrate Federal assets provided under the NRF and the
National Disaster Recovery Framework (NDRF)
- Developing plans and response procedures for adjudicating, validating and
responding to an alarm from a chemical or biological detector (response
procedures should include emergency response procedures integrating local first
responders)
- Developing or enhancing evacuation plans
- Developing mechanisms for utilizing the National Emergency Family Registry
and Locator System (NEFRLS)
- Developing or enhancing plans to prepare for surge capacity of volunteers
- Developing or enhancing the State EMS systems
- Developing or enhancing plans for donations and volunteer management and the
engagement /integration of private sector /non - governmental entities, and faith -
based organizations in preparedness, mitigation, response, and recovery activities
- Developing school preparedness plans
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- Developing preparedness plans for child congregate care facilities, including
group residential facilities, juvenile detention facilities, and public /private child
care facilities
- Developing plans to educate youth on disaster preparedness
- Ensuring jurisdiction EOPs adequately address warnings, emergency public
information, evacuation, sheltering, mass care, resource management from non-
governmental sources, unaffiliated volunteer and donations management, and
volunteer resource integration to support each Emergency Support Function, to
include appropriate considerations for integrating activities, materials, services,
tools and equipment to achieve planning inclusive of people with disabilities
(physical, programmatic and communications access for people with physical,
sensory, mental health, intellectual and cognitive disabilities). Developing and
implementing civil rights, civil liberties, and privacy policies, procedures, and
protocols
- Designing and developing State, local, Tribal, and territorial geospatial data
systems
- Developing and implementing statewide electronic patient care reporting systems
compliant with the National Emergency Medical Services Information System
(NEMSIS)
- Costs associated with inclusive practices and the provision of reasonable
accommodations and modifications to provide full access for children and adults
with disabilities
Preparing and submitting SCIPs for SHSP, Preparing and submitting reports to the Office
of Emergency Communications (OEC) on progress of implementing that State's SCIP
and achieving interoperability at the interstate, State, county, regional, and city levels
Updating and implementing SCIP and TICP to:
- Address findings and gaps identified in AARs from real world incidents and
planned exercises, NECP Goal assessments, other State -level preparedness reports
and assessments
- Incorporate the National Preparedness System and DHS Whole Community
initiatives
- Address plans for implementation of the Federal Communications Commission
(FCC) narrowband requirements
- Describe strategic broadband planning activities and initiatives in preparation for
the future deployment of the Nationwide Public Safety Broadband Network
(NPSBN)
Developing or conducting assessments, including but not limited to:
- Developing pre -event recovery plans
- Conducting point vulnerability assessments at critical infrastructure sites /key
assets and develop remediation/security plans
- Participating Regional Resiliency Assessment Program (RRAP) activities
- Conducting or updating interoperable emergency communications capabilities
assessments at the local, regional, or Statewide level (e.g., Communications
Assets and Mapping [CASM])
- Developing border security operations plans in coordination with CBP
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Appendix C— FY2014 HSGP Funding Guidelines
UML.
- Developing, implementing, and reviewing Area Maritime Security Plans for ports,
waterways, and coastal areas
- Updating and refining threat matrices
- Conducting cyber risk and vulnerability assessments
- Conducting assessments and exercising existing catastrophic incident response
and recovery plans and capabilities to identify critical capability gaps that cannot
be met by existing local, regional, and State resources
- Activities that directly support the identification of specific catastrophic incident
priority response and recovery projected needs across disciplines (e.g., law
enforcement, fire service, EMS, public health, behavioral health, public works,
agriculture, information technology, and citizen preparedness)
- Activities that directly support the identification of pre - designated temporary
housing sites
- Activities that support the identification and development of alternate care sites
- Conducting community assessments, surveys, and research of vulnerabilities and
resource needs to determine how to meet needs and build effective and tailored
strategies for educating individuals conducting assessments of the extent to which
compliance with the integration mandate of disability laws is being achieved
- Conducting Preparedness research
- Conducting or updating interoperable emergency communications capabilities
and broadband needs assessments at the local, regional, or Statewide level
- Soft target security planning (e.g., public gatherings)
Developing, hosting, or participating in bombing prevention/counter - improvised
explosives device (IED)- specific planning initiatives to include:
- Incorporating appropriate IED- specific intelligence and threat analysis when
developing and maintaining a THIRA;
- Conducting inventories and assessments of capabilities or typed resource using
the counter -IED- specific DHS National Counter -IED Capabilities Analysis
Database (NCCAD) program for use in applicable THIRAs, preparedness
reporting, or strategies;
- Conducting DHS Multi- Jurisdiction IED Security Planning (MJIEDSP)
workshops to develop THIRA -based plans and strategies that maximize the use of
limited resources;
- Developing IED hazard- specific EOP annexes.
- Implementing a Corrective Action Plan (CAP) to close IED - related capability
gaps identified through MJIEDSP or other planning processes
Continuity of Operations /Continuity of Government (COOP /COG) Planning activities,
which include but are not limited to:
• Determining essential functions and activities, interdependencies, and resources
needed to perform them
Establishing orders of succession and delegations of authority to key agency
positions and establish and maintain current roster(s) of fully equipped and
trained COOP personnel with the authority to perform essential functions
Providing for the identification and preparation of alternate operating facilities
for relocated operations
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Appendix C— FY2014 HSGP Funding Guidelines
..
• Providing for the regular training, testing, and exercising of COOP personnel,
systems, and facilities
• Providing for reconstitution of agency capabilities and transition from continuity
operations to normal operations
• Identifying resources for medical supplies necessary to support children during an
emergency, including pharmaceuticals and pediatric -sized equipment on which first
responders and medical providers are trained
• Ensuring subject matter experts, durable medical equipment, consumable medical
supplies and other resources required to assist children and adults with disabilities to
maintain health, safety and usual levels of independence in general population
environments
• Developing and implementing a community preparedness strategy for the State /local
jurisdiction
• Building and expanding governance structures to:
- Include representatives from multiple agencies, jurisdictions, disciplines, levels of
government, Tribes, rural areas, subject matter experts, and private industry
- Integrate statewide leadership and governance structures into broader statewide
planning efforts (e.g., statewide broadband planning activities, grants coordination
activities, needs assessments) to ensure emergency communications needs are
represented
- Conduct outreach and education on emergency communications needs and
initiatives to stakeholder groups
Establishing, expanding, and maintaining volunteer programs and volunteer recruitment
efforts that support disaster preparedness and/or response
- Allowable volunteer programs and efforts include, but are not limited to: Citizen
Corps Councils, partners, and affiliates; CERTs; Fire Corps; Medical Reserve
Corps (MRC); Neighborhood Watch/USAonWatch; Volunteers in Police Service
(YIPS); and jurisdiction- specific volunteer programs and efforts.
Establishing and sustaining Citizen Corps Councils
Working with youth- serving organizations and houses of worship to develop and sustain
youth and faith -based preparedness programs
Additional Planning Information
The National Preparedness Directorate (NPD) offers technical assistance (TA) that is designed to
provide grantees and sub - grantees with specialized expertise to improve their emergency plans
and planning. TA deliveries are designed specifically to improve and enhance the continuing
development of state and local emergency management across the five mission areas of the
National Preparedness 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. There is
no cost to approved jurisdictions for FEMA TA.
TA deliveries combine current emergency management best practices with practical
consideration of emerging trends, through discussion facilitated by FEMA contract specialists
and with the support of FEMA Region operational specialists. While the invitation of
participants is up to the requesting jurisdiction, FEMA encourages requesting jurisdictions to
64
Appendix C— FY2014 HSGP Funding Guidelines
include the broadest practical range of its emergency managers and planners in all TA deliveries.
TA deliveries should be made open to neighboring jurisdictions. As necessary, FEMA may also
invite other Federal experts and practitioners to participate. Additionally, peer -to -peer
representation may also be included from other jurisdictions that have recently used TA for the
same planning issue.
The TA catalog, showing the full range of TA available across all five mission areas and by all
providers, and the TA request form can be accessed at http: / /www.fema.gov /national - incident-
management- system/fema- technical- assistance - division.
Organization Activities
The following organization activities in support of public - private partnerships are allowable
expenses:
• Program management:
- Salary for a dedicated liaison who acts as the primary point of contact,
coordinates the public - private partnership and ensures proper implementation of
the strategic plan
- Facilities, including meeting space and work space for private sector liaisons.
Grantees are encouraged to use free space /locations /facilities, whenever possible,
prior to the rental of space /locations /facilities
- Supplies needed to support regular communications
- Implementation of infrastructure resilience enhancement options described in a
RRAP report
• Utilization of standardized resource management concepts such as typing, inventorying,
organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources
before, during, and after an incident
• Sustain partnership efforts to include:
- Support for in- person meetings, events, and workshops that bring the public and
private sectors together. Grantees are encouraged to use free
space /locations /facilities, whenever possible, prior to the rental of
space /locations /facilities
- Web -based and social media tactics (webinars, emails, newsletters, alerts,
databases, online collaboration tools, website development and maintenance, eta)
- Innovative approaches for reaching the Whole Community to include translated
material for individuals that are blind and or have low vision capability, those
with limited English proficiency, children within diverse and ethnic populations,
and coalitions among citizens.
- Leverage already existing structures and mechanisms, such as Citizen Corps, for
sharing information and engaging members of the Whole Community to include:
for - profit and not - for - profit entities, faith based and community organizations,
youth- serving and youth advocates, those that support socio- economic and diverse
cultures
• Structures and mechanisms for information sharing between the public and private sector:
- Tools, software, programs, and other mechanisms that support two -way
information sharing during normal and emergency operations
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Appendix C— FY2014 HSGP Funding Guidelines
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- Means to receive input or feedback from the private sector, and encourage
participation from civic leaders from all sectors
- Regular and timely communications on subjects relating to all phases of
emergency management, such as newsletters, emails, and alerts
• Tools, resources and activities that facilitate shared situational awareness between the
public and private sectors
- Web -based and new media platforms that allow real -time information exchange
- Asset mapping, such as participation in FEMA's Total Asset Visibility and
LogViz initiatives
- A seat(s) in the emergency operation center, or virtual EOC
Operational Support:
- Tools for identifying and tracking available paid and unpaid disaster response
resources
- Dedicated space and equipment for private sector representation within a State,
county, or city emergency operation center
- A dedicated business emergency operations center that works with the State,
county or city EOC (not construction)
- Tools for real time information sharing between the public and private sector
- Licensing, screening, or other requirements for access to real EOC or virtual EOC
Federal Emergency Response Official (F /ERO) Credentialing and Validation:
- Working group meetings and conferences relating to emergency responder
credentialing and validation
- Compiling data to enter into an emergency responder repository
- Coordinating with other State, local, territorial, and Tribal partners to ensure
interoperability among existing and planned credentialing and validation systems
and equipment
- Planning to incorporate emergency responder identity and credential validation
into training and exercises.
Training Activities
FY 2014 SHSP and UASI funds may be used to support attendance to allowable training
deliveries and programs, as described below. FEMA funds must be used to supplement, not
supplant, existing funds that have been appropriated for the same purpose. Allowable training -
related costs include, but are not limited to, the following:
Developing, Delivering, and Evaluating Training. Includes costs related to administering
the training, planning, scheduling, facilities, materials and supplies, reproduction of
materials, disability accommodations, and equipment.
Training that promotes individual, family, or community safety and preparedness is
encouraged, including: all- hazards safety training such as emergency preparedness, basic
first aid, lifesaving skills, crime prevention and terrorism awareness, school preparedness,
public health issues, chemical facility incidents, mitigation/property damage prevention,
safety in the home, light search and rescue skills, principles of NIMS /ICS, volunteer
management and volunteer activities, serving and integrating people with disabilities, pet
care preparedness, CPR/AED training, identity theft workshops, terrorism awareness
seminars, and disability - inclusive community preparedness conferences. The delivery of
66
Appendix C— FY2014 HSGP Funding Guidelines
18 -102
the CERT Basic Training Course and supplemental training for CERT members who
have completed the basic training, the CERT Train - the - Trainer Course, and the CERT
Program Manager course are strongly encouraged.
Conducting, hosting, or participating in training related to IED prevention, protection,
mitigation, or response to include:
— Awareness and education for the public, private sector and first responders;
— Suspicious activity identification and reporting, including the Surveillance
Detection and Bomb- Making Materials Awareness Program (BMAP);
— Management of bomb threats;
— Physical protective measures;
— Diversion control measures for dual -use explosive precursor chemicals, including
the Surveillance Detection and Bomb- Making Materials Awareness Program
(BMAP);
— Training for specialized IED prevention and protection teams or OPacks such as
Public Safety Bomb Squads, Explosives Detection Canine Teams, and Mobile
Explosive Device Screening Teams in accordance with applicable guidelines,
certification, or accreditation requirements.
Overtime and Backfill. The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of attendance at FEMA and/or
approved training courses and programs, are allowable. These costs are allowed only to
the extent the payment for such services is in accordance with the policies of the State or
unit(s) of local government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is, an employee
of a unit of government may not receive compensation from their unit or agency of
government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.),
even though such work may benefit both activities.
Travel. Costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by
employees who are on travel status for official business related to approved training.
Hiring of Full or Part -Time Staff or Contractors /Consultants. Payment of salaries and
fringe benefits to full or part-time staff or contractors /consultants must be in accordance
with the policies of the State or unit(s) of local government and have the approval of the
State or awarding agency, whichever is applicable. Such costs must be included within
the funding allowed for program management personnel expenses. In no case is dual
compensation allowable.
Certif cation/Recertif cation of Instructors. States are encouraged to follow the NTE
Instructor Quality Assurance Program to ensure a minimum level of competency and
corresponding levels of evaluation of student learning. This is particularly important for
those courses that involve training of trainers. This information is contained in IB 193,
issued October 20, 2005. Additional information can be obtained at
http:11www.fema.gov /good guidance /download /10146.
Training and exercises for the public or civilian volunteer programs supporting first
responders, including CERTs, before, during and after disasters should address the needs
of the Whole Community. Allowable training includes: all- hazards safety such as
emergency preparedness, basic first aid, lifesaving skills, crime prevention and terrorism
awareness, school preparedness, youth preparedness, public health issues, chemical
facility incidents, mitigation/property damage prevention, safety in the home, light search
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Appendix C— FY2014 HSGP Funding Guidelines
18 -103
and rescue skills, principles of NIMS and ICS, volunteer management, serving and
integrating people with disabilities, pet care preparedness, training necessary to
participate in volunteer activities, fulfill surge capacity roles, integration and coordination
of faith community roles, communication in disaster or promotes individual, family, or
whole community safety and preparedness. Exercises that include members of the public
or that are conducted for the public should be coordinated with local CERTs and /or
Citizen Corps Councils as well as organizations outside of emergency management and
focus on the importance of personal preparedness and protective actions.
Per 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 -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. The
Policy can be accessed at http://www.fema..zovlmedia-libraglassetsldocumentsl34856.
FEMA will conduct periodic reviews of all State, territory, and Urban Area training funded by
FEMA. These reviews may include requests for all course materials and physical observation of
or participation in, the funded training. If these reviews determine that courses are outside the
scope of this guidance, grantees will be asked to repay grant funds expended in support of those
efforts.
For further information on developing courses using the instructional design methodology and
tools that can facilitate the process, SAAB and TPOCs are encouraged to review the NTED
Responder Training Development Center (RTDC) available at
http: / /www;firstrespondertrainink. jzovlrtdc /state/.
Additional Training Information
FEMA Provided Training. These trainings include programs or courses developed for and
delivered by institutions and organizations funded by FEMA. This includes the Center for
Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and the National
Training and Education Division's (NTED) training partner programs including, the Continuing
Training Grants, the National Domestic Preparedness Consortium (NDPC) and the Rural
Domestic Preparedness Consortium (RDPC).
Approved State and Federal Sponsored Course Catalogue. This catalogue lists State and Federal
sponsored courses that fall within the FEMA mission scope, and have been approved through the
FEMA course review and approval process. An updated version of this catalog can be accessed
at http:/ /www.fiirstrespondertraininiz.gov.
Training Not Provided by FEMA. These trainings includes courses that are either State
sponsored or Federal sponsored (non - FEMA), coordinated and approved by the SAA or their
designated TPOC, and fall within the FEMA mission scope to prepare State, local, Tribal, and
68
Appendix C— FY2014 HSGP Funding Guidelines
iL;i3L�7!
territorial personnel to prevent, protect against, mitigate, respond to, and recover from acts of
terrorism or catastrophic events.
• State Sponsored Courses. These courses are developed for and/or delivered by
institutions or organizations other than Federal entities or FEMA and are sponsored by
the SAA or their designated TPOC.
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. Overtime pay for first responders
and emergency managers who participate in public - private training and exercises is
allowable. In addition, States, territories, Tribes, and Urban Areas are encouraged to
incorporate the private sector in government- sponsored training and exercises.
Additional information on both FEMA provided training and other federal and state training can
be found at htW:I lwww.firstrespondertraining .gov.
Training Information Reporting System (" Web-Forms'). Web -Forms is an electronic form/data
management system built to assist the SAA and its designated State, territory and Tribal Training
Point of Contact (TPOC). Reporting training activities through Web -Forms is not required under
FY 2014 HSGP, however, the system remains available and can be accessed through the FEMA
Toolkit located at htW:Il www., firstrespondertraining .gov/admin in order to support grantees in
their own tracking of training.
Exercise Activities
Allowable exercise - related costs include:
Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. Includes costs
related to planning, meeting space and other meeting costs, facilitation costs, materials
and supplies, travel, and documentation. Grantees are encouraged to use government or
free public space /locations /facilities, whenever available, prior to the rental of
space /locations /facilities. Exercises should provide the opportunity to demonstrate and
validate skills learned, as well as to identify any gaps in these skills. Any exercise or
exercise gaps, including those for children and individuals with disabilities or access and
functional needs, should be identified in the AAR/IP and addressed in the exercise cycle.
Full or part-time staff may be hired to support exercise - related activities. Such costs must
be included within the funding allowed for program management personnel expenses.
State grantees must follow their state's formal written procurement policies.
Overtime and Back fill. The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of time spent on the design,
development, and conduct of exercises are allowable expenses. These costs are allowed
only to the extent the payment for such services is in accordance with the policies of the
State or unit(s) of local government and has the approval of the State or the awarding
agency, whichever is applicable. In no case is dual compensation allowable. That is, an
employee of a unit of government may not receive compensation from their unit or
69
Appendix C— FY2014 HSGP Funding Guidelines
18 -105
agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to
5:00 p.m.), even though such work may benefit both activities.
• Travel. Travel costs are allowable as expenses by employees who are on travel status for
official business related to the planning and conduct of exercise project(s) or HSEEP
programmatic requirements as described in the HSEEP (e.g., Training and Exercise
Plan).
• Supplies. Supplies are items that are expended or consumed during the course of the
planning and conduct of the exercise project(s) (e.g., gloves, non - sterile masks, and
disposable protective equipment).
• Disability Accommodations. Materials, services, tools and equipment for exercising
inclusive of people with disabilities (physical, programmatic and communications access
for people with physical, sensory, mental health, intellectual and cognitive disabilities).
• Other Items. These costs include the rental of equipment and other expenses used
specifically for exercises, costs associated with inclusive practices and the provision of
reasonable accommodations and modifications to provide full access for children, adults
with disabilities, and those with access or functional needs
Additional Exercise Information
If a State decides to use HSGP funds to conduct an exercise(s), it is encouraged they 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. Grantees are encouraged
to invite representatives /planners involved with other federally- mandated or private exercise
activities. States and Urban Areas are encouraged to share, at a minimum, the multi -year
training and exercise schedule with those departments, agencies, and organizations included in
the plan.
• Exercise Scenarios. The scenarios used in HSGP- funded exercises must be based on the
State/Urban Area's THIRA. The scenarios used in HSGP - funded exercises must focus
on testing capabilities, must be large enough in scope and size to exercise multiple
activities and warrant involvement from multiple jurisdictions and disciplines and non-
governmental organizations, and take into account the needs and requirements for
individuals with disabilities. Exercise scenarios should align with priorities and
capabilities identified in the Multi -year Training and Exercise Plan.
• Special Event Planning. If a State or Urban Area will be hosting a special event (e.g.,
Super Bowl, G -8 Summit), the special event planning should be considered as a training
or exercise activity for the purpose of the Multi -Year Training and Exercise Plan. The
State or Urban Area should plan to use SHSP or UASI funding to finance training and
exercise activities in preparation for those events. States and Urban Areas should also
consider exercises at major venues (e.g., arenas, convention centers) that focus on
evacuations, communications, and command and control.
• Regional Exercises. States should also anticipate participating in at least one Regional
Exercise annually. States must include all confirmed or planned special events in the
Multi -year Training and Exercise Plan.
• Exercise Evaluation and Improvement. Exercises should evaluate performance of
capabilities against the level of capabilities required. Guidance related to exercise
70
Appendix C— FY2014 HSGP Funding Guidelines
evaluation and improvement planning is defined in the HSEEP located at
https:llwww.Ilis.dhs.gov/hseep.
HSEEP Fundamental Principles. States are expected to develop an exercise program
based the following principles:
o Guided by Elected and Appointed Officials;
o Capability- based, Objective- driven;
o Progressive Planning Approach;
o Whole Community Integration;
o Informed by Risk; and
o Common Methodology.
Detailed information regarding the principles can be found in HSEEP located at
htWs :11www.11is. dhs.gov/hseep.
The Role ofNon- 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, conclusion, and evaluation of an exercise. State,
local, Tribal, and territorial jurisdictions are encouraged to develop exercises that test the
integration and use of non - governmental resources provided by non - governmental
entities, defined as the private sector and private non - profit, faith - based, community,
disability, volunteer, and other non - governmental organizations. Non - governmental
participation in exercises should be coordinated with the local Citizen Corps Council(s)
or their equivalent and other partner agencies. The scenarios used in HSGP - funded
exercises must focus on validating existing capabilities, must comply with and be large
enough in scope and size to exercise multiple activities and warrant involvement from
multiple jurisdictions and disciplines and non - governmental organizations, and take into
account the needs and requirements for individuals with disabilities.
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 signs).
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Appendix C— FY2014 HSGP Funding Guidelines
18 -107
Appendix D — FY 2014 OPSG Operations Order Template and
Instructions
Operations Order Template Instructions
The OPSG Operations Order Template can be found at htW:11www.Qrants.pov.
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, and Tribal 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 in Microsoft Word ( *.doc)
• 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.
72
Appendix D —FY 2014 HSGP, OPSG Operations Order Template
iL'bL�I�
FY 2014 OPERATION STONEGARDEN (OPSG) OPERATIONS
ORDER AND BUDGET TEMPLATE
Op Order Name:
Operation
Op Order Number:
<Com leted by CBP>
Op Dates:
From:
To:
Report Date:
Executive Summary
I. Situation
A. General Situation:
B. Terrain/Weather:
C. C. Criminal Element:
D. D. Friendly Forces:
H. MISSION
III. EXECUTION
A. Management /Supervisor Intent:
B. General Concept:
C. Specific Responsibilities:
1.
2.
3.
D. Coordinating Instructions:
IV. BUDGET
Within the Operations Order, include budgets and operative spending plans in one -year
increments (Year 1 and Year 2). The annual operations should be practical and able to be
completed within the 24 -month period of performance. Grantees may not begin operations,
obligate, or expend any funds until the final Operations Order and embedded budget has been
approved by FEMA GPD and CBP /BP Headquarters and any existing special conditions and/or
restrictions are removed.
The sample table provided below may be used as a guide to the applicant in the preparation of
the budget and Operations Order to be submitted. Using the table below, compute the total
estimated cost under the Narrative Justification column and indicates the amount of Federal
funds requested under the Federal Request column that will support the project.
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Appendix D —FY 2014 HSGP, OPSG Operations Order Template
A.1 Exam le - Cost Estimates /Fundin Re uests ear 1):
Administration/Logistics/Budget
Request
(Computation of Items)
Law Enforcement Operational
$50 per hour OT rate x 11 personnel
Overtime
x 10 hours x 3 day detail x 4 quarters
per year x 2 years
$132,000.00
Fringe Benefits for Law
$27.55/hr x 1.5 OT = ($41.33/hr) x
Enforcement
(.062) = ($2.56/hr FICA) x 5840
hrs( r x 2 yrs
$29,925.92
Travel, Lodging, and Per Diem for
Federal or below: approx miles of
deployed LE and /or Federally
3,500, 15 days single Occupancy @
sponsored (DHS /FEMA) border
$150 for 5 people
security task forces, conferences
and /or mandatory training
$1,750.00
General Equipment
Lines, personal flotation devices,
GPS software updates, marine
batteries, thermal imaging system
Special Equipment
Sea Hawk Boat, Explorer 4x4 Police
(Requiring separate waiver i.e.,
with Package
Planes, boats, vehicles, SUVs,
etc. )
$75,000.00
Part-Time to Full -Time Law
Enforcement Personnel
Activated Reserve Law
Enforcement Personnel
Vehicle
46,800 miles per year x .18 cents per
Maintenance
mile = $8,424.00 x 2 yrs
Vehicles:
Tires, engine repair, other
$16,848.00
Fuel Cost
3,342 x $4.50 per gallon = $15,043/yr
x 2 yrs
$30,086.00
Total
$285,609.92
A.2 Cost Estimates /Funding Requests (Year 2):
< INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE >
V. COMMAND /CONTROL /COMMUNICATION
A. Chain of Command:
B. Unit Command:
C. Communications Detail:
D. Map Coordinates:
74
Appendix D —FY 2014 HSGP, OPSG Operations Order Template
18 -110
dotes:
Longitude: Latitude:
Degrees: Minutes: Seconds:
Decimal:
Location Zone:
ANNEX
A. Administration Annex:
B. Execution Annex:
C. Command Annex:
Media Action Plan:
Legal Review:
Risks:
Photos:
75
Appendix D —FY 2014 HSGP, OPSG Operations Order Template
18 -111
Appendix E — OPSG Operational Guidance
Appendix F is intended to provide operational guidance to applicants on the development of the
concept of operations and campaign planning, the tactical operation period and the reporting
procedures This 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. It is
recommended that Federal, State, local, Tribal, and territorial partners establish and maintain an
OPSG Integrated Planning Team (IPT) with representation from all participating law
enforcement agencies, co- chaired by representatives from CBPBP, the SAA, and participating
law enforcement agencies' OPSG program representatives. U.S. Border Patrol will provide
routine monitoring and technical expertise to each participating agency. Each operation 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 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 CBP /BP
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 have been 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 and
measurable 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; application, concept of operations to
formulate a Campaign Plan and one or more tactical operational periods, which are all developed
by the IPT.
First Stage: Please refer to section IX of the full FOA.
Second Stage (Post Award): After awards are announced participants will create and submit an
operations order that forms a campaign plan and captures the initial, generalized - budgetary
intent to their IPT. The campaign plan should articulate the participant agency's long -term
border security objectives and goals designed to mitigate border - security risk.
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Appendix E — FY 2014 HSGP, OPSG Operational Guidance
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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 BP
commanders and State, local, and Tribal 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 will be used
throughout the performance period. The operations plan will project planned expenditures in the
following categories: overtime, equipment, instruction, travel, maintenance, fuel, and
administrative funds. It 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 recipient intends to spend more than 50% of their award
on overtime over the course of the performance period, requests for an overtime waiver would be
submitted at this time. 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. Once the operations plan is approved, the area IPT will meet to initiate the last stage in
the planning process.
Third Stage: Once the grantee is ready to conduct operations, the area IPT will begin planning
tactical operations.
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, and
Tribal 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) are intelligence driven, with a nexus to
border security; 4) use targeted enforcement techniques; 5) have clearly stated objectives; and 6)
conclude with 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. Key
planners 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
BP 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
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Appendix E — FY 2014 HSGP, OPSG Operational Guidance
18 -113
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 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 through BP Headquarters and
FEMA. Once approved, the operation can be conducted.
The following diagrams illustrate two different approaches for conducting operations:'
CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start FY end
0.icbei Nwm3w� [R.smcer frt,uary Mac1i AwM Mey �/..e .LN AWwt SeNen��
ae�iotl al Perrotl2
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
I 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 in your area for clarification.
78
Appendix E — FY 2014 HSGP, OPSG Operational Guidance
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CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start FY rd
i
This cycle illustrates operations on an as- needed basis, In response to emerging border
security threats. TNs is an example of twelve month campaign plan with five tactical
operational penods, This sample shows overlapping operations as well as times when there
are no operations being conducted,
Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle
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.
Attachment A, the Daily Activity Report is to be used to submit the ongoing results and outputs
from OPSG operations conducted. The Daily Activity Report will be submitted to the BP sector,
if required, or to the participating agency's OPSG coordinator. The agency coordinator will
compile the results from each Daily Activity Report at the end of the month and submit a
monthly report to the BP sector. The monthly report is due to sector by the l0ih day of the
following month. The BP sector will compile the results from the participating agencies and
submit the results to BP Headquarters by the 15th of each following month.
In addition to the ongoing reporting of outputs, participants will be required to submit After
Action Reports to participating agencies and the BP within 10 days of any completed operation,
after convening a debrief meeting. The After Action Report should carefully articulate outcomes
and outputs, as well as how the results of the operation compare with the objectives identified
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Appendix E — FY 2014 HSGP, ONG Operational Guidance
18 -115
during the pre - planning meeting. Failure to submit the After Action report in a timely manner
may prevent the approval of future operations requests.
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 BP sector's Chief Patrol Agent, or his /her designee, will:
Coordinate and chair the area Integrated Planning Team's meetings
Coordinate with all interested and eligible State, local, and Tribal 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 Patro12
- Forwarding the approved operation portion of the application to CBP /BP
Headquarters, as well as to the SAA to complete the application process set by
FEMA/GPD
Following the announcement of grant awards, coordinate and chair a meeting with State,
local, and Tribal agencies that received OPSG awards to develop an individualized
campaign plan. This includes:
- Working with State, local, and Tribal 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, and Tribal
agencies and ensuring that the operation is conducted as outlined in Section 1;
- 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; and
- 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.
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;
Z This will not be entered into the Border Patrol Enforcement Tracking System (BPETS).
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Appendix E - FY 2014 HSGP, OPSG Operational Guidance
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• 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;
• Ensure reports are submitted to the 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 -grant agreement with the award recipients to disburse the allocated
funding awarded through FEMA /GPD;
• Generate quarterly reports to FEMA and the U.S. Treasury capturing the award
recipients' obligation and expenditure of funds;
• Determine if the grant's performance period requires additional refinement over the
federally established 24 month period; and
• Conduct audits of the program to ensure that the award recipients are in compliance with
program guidance.
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Appendix E — FY 2014 HSGP, OPSG Operational Guidance
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I_[tM IT iTroTF-1
Operation Stonegarden
Daily Activity Report
Date Information
Date of Activity FY Funds Used
Select t...
Agency Identifiers
Sector Agency Type
Region /County Agency Name
Operational Expenses
Overtime Hours Labor Cost
Miles Driven /Patrolled Mileage Cost
Fuel Used (in Gallons) Fuel Cost
Equipment on Order Equipment Cost
Total Cost
Operational Activity
Narcotics Seizures
Misdemeanor Arrests
Subjects TOT BP
Cash Seizures
Felony Arrests
Cases TOT BP
Weapons Seizures
Outstanding Warrants
Criminal Aliens TOT BP
Vehicle Seizures
Citations Issued
Vehicle Stops
Specialty Equipment
Intel Reports
"'Click the orange arrows below to add details about seizures and arrests.
Specialty Equipment Usage
Surveillance Tower
Mobile Command Center
Marine Patrol Asset
Aviation Asset
Armored Vehicle
Other Spec. Equipment
82
Appendix E — FY 2014 HSGP, OPSG Operational Guidance
18 -118
Narcotic Seizure Details
Type Weight Report Number Location Comments
Select...
y Seizure Details
Amount Report Number Location Comments
Vehicle Seizure Details
Make /Model Estimated Value Location Comments
Weapon /Ammunition Seizure Details
Weapon Type Amount Seized Report Number Location Comments
Specialty Equipment Usage Details
Specialty Equipment Report Number Location Comments
Significant Arrest Details
Name Date of Birth Report Number Location Comments
Intelligence Summary
Authorizing Officer Date of Report
V. Definitions
Integrated Planning Team: The IPT will consist of the awarding State Administrative Agency,
local, and Tribal OPSG stakeholders within their Border Patrol sector area and U.S. Border
Patrol representatives, but may include other area Federal law enforcement agencies if deemed
83
Appendix E — FY 2014 HSGP, OPSG Operational Guidance
18 -119
necessary by the Chief Patrol Agent. The Integrated Planning Team will be used for all aspects
of OPSG application, planning, and de- briefings.
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: A series of related law enforcement operations aimed at accomplishing a
strategic or operational objective within a given time and space.
Concept of Operations: 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).
Operational Cam: 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.
Performance Measure: A numerical expression that quantitatively conveys how well the
organization is doing against an associated performance goal, objective, or standard.
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.
Vulnerability: The protective measures in place are less than the protective measures needed to
mitigate risk.
Unity of Effort: Coordination and cooperation among all organizational elements, even though
they may not be part of the same "command" structure, to achieve a success.
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Appendix E — FY 2014 HSGP, OPSG Operational Guidance
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Name of Applicant:
Address:
City:
Telephone Number:
E -Mail Address:
ATTACHMENT C TO AGREEMENT
California Governor's Office of Emergency Services
FY 2014 Grant Assurances
(All HSGP Applicants)
State: Zip Code:
Fax Number:
As the duly authorized representative of the applicant, I certify that the applicant named above:
Will assure that the Funding Opportunity Announcement for this program is hereby incorporated into your
award agreement by reference. By accepting this award, the recipient agrees that all allocations and use of
funds under this grant will be in accordance with the requirements contained in the FY2014 Homeland
Security Grant Program Funding Opportunity Announcement, the California Supplement to the FY2014
Homeland Security Grant Program Funding Opportunity Announcement, and all applicable laws and
regulations.
2. All allocations and use of funds under this grant will be in accordance with the Allocations, and use of grant
funding must support the goals and objectives included in the State and/or Urban Area Homeland Security
Strategies as well as the investments identified in the Investment Justifications which were submitted as part
of the California FY2014 Homeland Security Grant Program application. Further, use of FY2014 funds is
limited to those investments included in the California FY2014 Investment Justifications submitted to
DHS/FEMA and Cal OES and evaluated through the peer review process.
3. Understands that in the event FEMA determines that changes are necessary to the award document after an
award has been made, including changes to period of performance or terms and conditions, recipients will
be notified of the changes in writing. Once notification has been made, any subsequent request for funds
will indicate recipient acceptance of the changes to the award. Please call the FEMA/GMD Call Center at
(866) 927 -5646 or via e-mail to ASK-GMD@dhs.gov dhs.gov if you have any questions.
4. Has the legal authority to apply for Federal assistance and has the institutional, managerial and financial
capability to ensure proper planning, management and completion of the grant provided by the U.S.
Department of Homeland Security (DHS) /Federal Emergency Management Agency (FEMA) and sub -
granted through the State of California, California Governor's Office of Emergency Services (Cal OES).
5. Will assure that grant funds are used for allowable, fair, and reasonable costs only and will not be
transferred between grant programs (for example: State Homeland Security Program and Urban Area
Security Initiative) or fiscal years.
6. Will comply with any cost sharing commitments included in the FY2014 Investment Justifications
submitted to DHS /FEMA/Cal OES, where applicable.
7. Will establish a proper accounting system in accordance with generally accepted accounting standards and
awarding agency directives.
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8. Will give the DHS /FEMA, the General Accounting Office, the Comptroller General of the United States,
the Cal OES, the Office of Inspector General, through any authorized representatives, access to, and the
right to examine, all paper or electronic records, books, and documents related to the award, and will
permit access to its facilities, personnel and other individuals and information as may be necessary, as
required by DHS /FEMA or Cal OES, through any authorized representative, with regard to examination of
grant related records, accounts, documents, information and staff.
9. Agrees, and will require any subrecipient, contractor, successor, transferee, and assignee to acknowledge
and agree to comply with applicable provisions governing DHS access to records, accounts, documents,
information, facilities, and staff.
a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS
or Cal OES.
b. Recipients must give DHS and Cal OES access to and the right to examine and copy records,
accounts, and other documents and sources of information related to the grant and permit access to
facilities, personnel, and other individuals and information as may be necessary, as required by DHS
and Cal OES program guidance, requirements, and applicable laws.
c. Recipients must comply with all other special reporting, data collection, and evaluation requirements,
as prescribed by law or detailed in program guidance, and recipients must submit timely, complete,
and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation
to support the reports.
d. If, during the past three years, the recipient has been accused of discrimination on the grounds of race,
color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status, the recipient must provide a list of all such proceedings, pending or completed, including
outcome and copies of settlement agreements to the DHS /Cal OES awarding office and the DHS
Office of Civil Rights and Civil Liberties.
e. In the event any court or administrative agency makes a finding of discrimination on grounds of race,
color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status against the recipient, or the recipient settles a case or matter alleging such discrimination,
recipients must forward a copy of the complaint and findings to the DHS Component and/or awarding
office.
The United States has the right to seek judicial enforcement of these obligations.
10. Will comply with any other special reporting, assessments, national evaluation efforts, or information or
data collection requests, including, but not limited to, the provision of any information required for the
assessment or evaluation of any activities within this agreement, or detailed in the program guidance.
11. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the
development of a statewide fusion process that corresponds with the Global Justice /Homeland Security
Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy
policies, and achieve (at a minimum) the baseline level of capability as defined by the Fusion Capability
Planning Tool.
12. Understands that a hold is in place on Fusion Center activities and the applicant is prohibited from
obligating, expending, or drawing down HSGP — UASI funds in support of their State and/or Major Urban
Area Fusion Center. Cal OES will notify the subgrantee in writing when DHS/FEMA has lifted the hold.
13. Will initiate and complete the work within the applicable timeframe ( subgrantee performance period), in
accordance with grant award terms and requirements, after receipt of approval from Cal OES and will
maintain procedures to minimize the amount of time elapsing between the award of funds and the
disbursement of funds.
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14. Will provide timely, complete and accurate progress reports, and maintain appropriate support
documentation to support the reports, and other such information as may be required by the awarding
agency, including the Initial Strategy Implementation Plan (1SIP), within 45 (forty -five) days of the award,
and update these reports and related documentation via the Grant Reporting Tool (GRT) twice each year.
15. Will provide timely notifications to Cal OES of any developments that have a significant impact on award -
supported activities, including changes to key program staff.
16. Agrees to be non - delinquent in the 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 and form SF -42413, item number 17 for additional information and guidance.
17. Will comply with the requirements of 31 U.S.C. § 3729, which set forth that no subgrantee, recipient or
subrecipient of federal payments, shall submit a false claim for payment, reimbursement, or advance.
Administrative remedies may be found in 38 U.S.C. §§ 3801 -3812, addressing false claims and statements
made.
18. Will comply with all applicable provisions of DHS /FEMA's regulations, including Title 44 of the Code of
Federal Regulations, Part 13, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments, including the payment of interest earned on advances.
19. Will comply with the Office of Management and Budget (OMB) Circular A -102, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments (also known as the
"A -102 Common Rule "), which are also located found within DHS regulations at Title 44, Code of Federal
Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements
to State and Local Governments"; will comply with OMB Circular A -110, Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non -
Profit Organizations, relocated to 2 CFR Part 215.
20. Will comply with the financial and administrative requirements set forth in the current edition of the DHS
Financial Management Guide; OMB Circular A -21, Cost Principles for Educational Institutions, relocated
to 2 CFR Part 220; OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments,
relocated to 2 CFR Part 225; OMB Circular A -122, Cost Principles for Non -Profit Organizations, relocated
to 2 CFR Part 230; and OMB Circular A -133, Audits of States, Local Governments and Non - Profit
Organizations, as applicable.
21. Will comply with all provisions of the Federal Acquisition Regulations, including but not limited to Title 48
CFR Part 31.2, part 31.2 Contract Cost Principles and Procedures, Contracts with Commercial
Organizations.
22. Will comply with provisions of the Hatch Act (5 U.S.C. §§ 1501 -1508 and 7324 - 7328), which limits the
political activities of employees whose principal employment activities are funded in whole or in part with
Federal funds.
23. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes, or
presents the appearance of, personal or organizational conflict of interest, or personal gain for themselves or
others, particularly those with whom they have family, business, or other connections.
24. Understands and agrees that Federal funds will not be used, directly or indirectly, to support the enactment,
repeal, modification or adoption of any law, regulation, or policy, at any level of government, without the
express prior written approval from DHS /FEMA and Cal OES.
25. Will comply with all applicable lobbying prohibitions and laws, including those found 31 U.S.C.§ 1352.,
and agrees that none of the funds provided under this award may be expended by the recipient to pay any
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person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with any
Federal action concerning the award or renewal of any Federal contract, grant, loan, or cooperative
agreement.
26. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority- owned,
women - owned, or disadvantaged businesses, to the extent practicable.
27. Will comply with Title 2 of the Code of Federal Regulations Part 225, Appendix A, paragraph (C)(3)(c),
which provides that any cost allocable to a particular Federal award or cost objective under the principles
provided for in this authority may not be charged to other Federal awards to overcome fund deficiencies.
28. Will ensure that Federal funds do not replace (supplant) funds that have been budgeted for the same purpose
through non - Federal sources. Subgrantees and subrecipients may be required to demonstrate and document
that a reduction in non - Federal resources occurred for reasons other than the receipt or expected receipt of
Federal funds.
29. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § 4801 et seq.),
which prohibits the use of lead based paint in construction or rehabilitation of structures.
30. Will comply with all federal and state laws and regulations relating to civil rights protections and
nondiscrimination. These include, but are not limited to:
a. Title VI of the Civil Rights Act of 1964, Public Law 88 -352, (42 U.S.C. § 2000d et seq.), codified at
6 CFR Part 21 and 44 CFR Part 7, which provides that no person in the United States will, on the
grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of,
or be subjected to discrimination under any program or activity receiving Federal financial assistance.
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § 1681 et seq.), which
prohibits discrimination on the basis of gender in educational programs and activities. These
regulations are codified at 6 CFR Part 17 and 44 CFR Part 19.
c. The Americans with Disabilities Act, as amended, which prohibits recipients from discriminating on
the basis of disability in the operation of public entities, public and private transportation systems,
places of public accommodation, and certain testing entities (42 U.S.C. § 12101 et seq.).
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), which prohibits
discrimination on the basis of age in any program or activity receiving federal financial assistance.
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. Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. § 290 dd -3 and 290 ee -3),
as amended, relating to confidentiality of alcohol and drug abuse patient records.
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq., as implemented by 24 CFR Part
100), as amended, relating to nondiscrimination in the sale, rental and financing of housing.
i. Title 44 of the Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination.
j. The requirements of any other nondiscrimination provisions in the specific statute(s) under which the
application for Federal assistance is being made and any other applicable statutes.
k. The requirements of Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794, as amended,
which provides that no otherwise qualified individual with a disability in the United States will, solely
by reason of the disability, be excluded from participation in, be denied the benefits of, or be
subjected to discrimination under any program or activity receiving Federal financial assistance.
These requirements pertain to the provision of benefits or services as well as to employment.
1. Will, in the event that a Federal or State court or Federal or State administrative agency makes a
finding of discrimination after a due process hearing on the grounds or race, color, religion, national
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origin, gender, or disability against a recipient of funds, the recipient will forward a copy of the
finding to the Office of Civil Rights, Office of Justice Programs.
m. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice
Office of Civil Rights within 60 days of grant award.
n. Will comply, and assure the compliance of all its subgrantees and contractors, with the
nondiscrimination requirements and all other provisions of the current edition of the Office of Justice
Programs Financial and Administrative Guide for Grants, M7100.1.
31. Will comply with the requirements of Titles II and Ill of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [P.L. 91- 646]), which provides for fair
and equitable treatment of persons displaced or whose property is acquired as a result of Federal or
Federally assisted programs. These requirements apply to all interested in real property acquired for project
purposes regardless of Federal participation in purchases. Will also comply with Title 44 CFR, Part 25,
Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally- assisted programs.
32. Will comply with all provisions of DHS /FEMA's regulation 44 CFR Part 10, Environmental
Considerations.
33. Will comply with all applicable Federal, State, and Local environmental and historical preservation (EHP)
requirements. Failure to meet Federal, State, and Local EHP requirements and obtain applicable permits
may jeopardize Federal funding. Agrees not to undertake any project having the potential to impact EHP
resources without the prior written approval of DHS /FEMA and Cal OES, including, but not limited to,
ground disturbance, construction, modification to any structure, physical security enhancements,
communications towers, any structure over 50 years old, and purchase and/or use of any sonar equipment.
The subgrantee must comply with all conditions and restrictions placed on the project as a result of the EHP
review. Any construction - related activities initiated without the necessary EHP review and approval will
result in a noncompliance finding, and may not be eligible for reimbursement with DHS /FEMA and Cal
OES funding. Any change to the scope of work will require re- evaluation of compliance with the EHP. If
ground- disturbing activities occur during the project implementation, the subgrantee must ensure
monitoring of the disturbance. If any potential archeological resources are discovered, the subgrantee will
immediately cease activity in that area and notify DHS /FEMA/ and Cal OES and the appropriate State
Historic Preservation Office.
34. Any construction activities that have been initiated prior to the full environmental and historic preservation
review could result in a non - compliance finding. Subgramees must complete the DHS /FEMA EHP
Screening Form (OMB Number 1660 - 0115 /FEMA Form 024 -0 -01) and submit it, with all supporting
documentation, to their Cal OES program representative, for processing by the DHS/FEMA GPD EHP.
35. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving
their grant award. The Screening From for these types of projects is available at:
www.fema.gov/doc/govemment/grant/butletins/info329 final _ screening_memo.doc.
36. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the
accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of Violating
Facilities, and will notify Cal OES and the DHS /FEMA of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicating if a facility to be used in the project is under
consideration for listing by the EPA.
37. Will provide any information requested by DHS /FEMA/ and Cal OES to ensure compliance with applicable
laws including, but not limited to, the following:
a. Institution of environmental quality control measures under the Archaeological and Historic
Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (11988), and
Environmental Justice (EO12898) and Environmental Quality (EO11514).
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b. Notification of violating facilities pursuant to EO 11738.
c. Assurance of project consistency with the approved state management program developed under the
Coastal Zone Management Act of 1972 (16 U.S.C. § 1451 et seq.).
d. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93 -523).
e. California Environmental Quality Act (CEQA), California Public Resources Code Sections 21080-
21098, and California Code of Regulations, Title 14, Chapter 3 §§ 15000- 15007.
f. 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.
g. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97 -348) dated October 19, 1982 (16
USC § 3501 et seq.), which prohibits the expenditure of most new Federal funds within the units of
the Coastal Barrier Resources System.
38. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the
California Emergency Services Act, Government Code, Chapter 7 of Division 1 of Title 2, § 8607.1(e) and
CCR Title 19, §§ 2445, 2446, 2447, and 2448.
39. Agrees that subgrantees and subrecipients collecting Personally Identifiable Information (PII) must have a
publically- available privacy policy that describes what PII they collect, how they plan to use the PII,
whether they share PII with third parties, and how individuals may have their PII corrected where
appropriate. Subgrantees and subrecipients may also find DHS Privacy Impact Assessments, guidance and
templates online at htip: / /www.dhs.gov /xlibrary /assets /privacyprivacy_ pia fuidanceJune2010.pdf and at
http: / /www.dhs.gov /xlibrary/ assets / privacy /privacy pia_template.pdf, respectively.
40. Agrees that all DHS/FEMA- funded project activities carried on outside the United States are coordinated as
necessary with appropriate government authorities and that appropriate licenses, permits, and approvals are
obtained.
41. Will comply with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. § 2225(a), whereby
all subgrantees, recipients, and subrecipients 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, 15 U.S.C. § 2225.
42. Will comply with the 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 B138942.
43. Agrees that all publications created or published with funding under this grant shall prominently contain the
following statement: "This document was prepared under a grant from FEMA's Grant Programs
Directorate, U.S. Department of Homeland Security. Points of view or opinions expressed in this document
are those of the authors and do not necessarily represent the official position or policies of FEMA's Grant
Programs Directorate or the U.S. Department of Homeland Security. " The recipient also agrees that, when
practicable, any equipment purchased with grant funding shall be prominently marked as follows:
"Purchased with funds provided by the U.S. Department of Homeland Security. "
44. Acknowledges that DHS /FEMA reserves a royalty -free, nonexclusive, and irrevocable license to reproduce,
publish, or otherwise use, and authorize others to use, for Federal government purposes: a) the copyright in
any work developed under an award or sub - award; and b) any rights of copyright to which a recipient or
sub - recipient purchases ownership with Federal support. The recipient must affix the applicable copyright
notices of 17 U.S.C. section 401 or 402 and an acknowledgement of Government sponsorship (including
award number) to any work first produced under Federal financial assistance awards, unless the work
Page 6 Initials
18 -126
includes any information that is otherwise controlled by the Government (e.g. classified information or
other information subject to national security or export control laws or regulations). The recipient agrees to
consult with DHS /FEMA and Cal OES regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
45. Recipients receiving Federal financial assistance to be used to perform eligible work approved in the
submitted application for Federal assistance and after the receipt of Federal financial assistance, through the
State of California, agrees to the following:
a. Promptly return to the State of California all funds received which exceed the approved, actual
expenditures as determined by the Federal or State government.
b. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount
of the reduction will be promptly refunded to the State of California.
c. Property and equipment purchased under the HSGP reverts to Cal OES if the grant funds are
deobligated or disallowed and not promptly repaid.
d. HSGP funds used for the improvement of real property must be promptly repaid following
deobligation or disallowment of costs, and Cal OES reserves the right to place a lien on the property
for the amount owed.
e. Separately account for interest earned on grant funds, and will return all interest earned, in excess of
$100 per Federal Fiscal Year.
46. Understands that recipients who receive 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.
47. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89 -544, as amended, 7
U.S.C. § 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of assistance.
48. Will comply with the minimum wage and maximum hour provisions of the Federal Fair Labor Standards
Act (29 U.S.C. § 201), as they apply to employees of institutions of higher education, hospitals, and other
non - profit organizations.
49. Agrees that "Classified national security information," as defined in Executive Order (EO) 12958, as
amended or updated via later executive order(s), means information that has been determined pursuant to
EO 12958 to require protection against unauthorized disclosure and is marked to indicate its classified
status when in documentary form. No funding under this award shall be used to support a contract,
subaward, or other agreement for goods or services that will include access to classified national security
information if the award recipient has not been approved for and granted access to such information by
appropriate authorities.
50. Agrees that where an award recipient has been approved for and has access to classified national security
information, no funding under this award shall be used to support a contract, subaward, or other agreement
for goods or services that will include access to classified national security information by the contractor,
subrecipient, or other entity without prior written approval from the DHS Office of Security, Industrial
Security Program Branch (ISPB), or, an appropriate official within the Federal department or agency with
whom the classified effort will be performed. Such contracts, subawards, or other agreements shall be
processed and administered in accordance with the DHS "Standard Operating Procedures, Classified
Contracting by States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, and other
applicable executive orders; the National Industrial Security Program Operating Manual (NISPOM); and
other applicable implementing directives or instructions. Security requirement documents may be located
at: http : / /www.dhs.gov /xopnbiz/erants /index.shtm
Page 7 Initials
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51. Immediately upon determination by the award recipient that funding under this award may be used to
support a contract, subaward, or other agreement involving access to classified national security information
pursuant to paragraph 47, and prior to execution of any actions to facilitate the acquisition of such a
contract, subaward, or other agreement, the award recipient shall contact ISPB, and the applicable Federal
department or agency, for approval and processing instructions.
DHS Office of Security ISPB contact information:
Telephone: 202 - 447 -5346
Email: DD254AdministrativeSecurity @dhs.gov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD /Industrial Security Program Branch
Washington, D.C. 20528
52. Will comply with the requirements regarding Data Universal Numbering System (DUNS) numbers. If
recipients are authorized to make subawards under this award, they must first notify potential subrecipients
that no entity may receive or make a subaward to any entity unless the entity has provided a DUNS number.
For purposes of this award term, the following definitions will apply:
a. "Data Universal Numbering System (DUNS)" number means the nine digit number established and
assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number
may be obtained from D &B by telephone (currently 866- 705 -5711) or the Internet, currently at
http://fedgov.dnb.com/webform.
b. "Entity ", as it is used in this award term, means all of the following, as defined at 2 CFR part 25,
subpart C, as a Governmental organization, which is a State, local government, or Indian Tribe; or a
foreign public entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for -
profit organization; or a Federal agency, but only as a sub recipient under an award or subaward to a
non - Federal entity.
c. "Subaward" means a legal instrument to provide support for the performance of any portion of the
substantive project or program for which you received this award and that you as the recipient award
to an eligible subrecipient. It does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see section 210 of the attachment to OMB
Circular A- 133, "Audits of States, Local Governments, and Non - Profit Organizations ") and may be
provided through any legal agreement, including an agreement that you consider a contract.
d. "Subrecipient" means an entity that receives a subaward from you under this award, and is
accountable to you for the use of the Federal funds provided by the subaward.
53. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. § 276a to 276a -7), the
Copeland Act (40 U.S.C. § 276c and 18 U.S.C. § 874), and the Contract Work Hours and Safety Standards
Act (40 U.S.C. §§ 327 -333), regarding labor standards for Federally- assisted construction sub - agreements.
54. Agrees that equipment acquired or obtained with grant funds:
a. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense
Master Mutual Aid Agreement, in consultation with representatives of the various fire, emergency
medical, hazardous materials response services, and law enforcement agencies within the
jurisdiction of the applicant, and deployed with personnel trained in the use of such equipment in a
manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire
Services and Rescue Mutual Aid Plan.
b. Is consistent with needs as identified in the State Homeland Security Strategy and will be deployed
in conformance with that Strategy.
55. Will comply with Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents.
The adoption of the National Incident Management System (NIMS) is a requirement to receive Federal
preparedness assistance, through grants, contracts, and other activities. The NIMS provides a consistent
Page 8 Initials
18 -128
nationwide template to enable all levels of government, tribal nations, nongovernmental organizations, and
private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate
the effects of incidents, regardless of cause, size, location, or complexity.
56. Will comply with OMB Standard Form 424B Assurances — Non construction Programs, whereby the
awarding agency may require subgrantees and subrecipients to certify to additional assurances.
57. Will not make any award or permit any award (subgrant or contract) to any party which is debarred or
suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under
Executive Order 12549 and 12689, "Debarment and Suspension." As required by Executive Order 12549,
Debarment and Suspension, and implemented at 44 CFR Part 17, for prospective participants in primary
covered transactions, the applicant will provide protection against waste, fraud and abuse, by debarring or
suspending those persons deemed irresponsible in their dealings with the Federal government. Applicant
certifies that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a
denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency.
b. Have not within a three -year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or
contract under a public transaction, violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements,
or receiving stolen property.
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of
this certification; and have not within a three -year period preceding this application had one or more
public transactions (Federal, State, or local) terminated for cause or default; and
d. Where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
58. Will comply with requirements to acknowledge Federal funding when issuing statements, press releases,
requests for proposals, bid invitations, and other documents describing projects or programs funded in
whole or in part with Federal funds.
59. Will obtain, via Cal OES, the prior approval from DHS on any use of 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.
60. Will comply with the requirements of the Drug -Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.),
which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -free
workplace. The recipient must notify the awarding office if an employee of the recipient is convicted of
violating a criminal drug statute. Failure to comply with these requirements may be cause for debarment.
These regulations are codified at 2 CFR 3001.
61. Will comply with the requirements of the government -wide award term which implements Section 106(g)
of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2
CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register,
Volume 72, No. 218, November 13, 2007. In accordance with Section 106(g) of the TVPA, as amended,
requires the agency to include a condition that authorizes the agency to terminate the award, without
penalty, if the recipient or a subrecipient engages in severe forms of trafficking in persons during the period
of time that the award is in effect, procures a commercial sex act during the period of time that the award is
Page 9 Initials
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in effect, or uses forced labor in the performance of the award or subawards under the award. Full text of
the award term is provided at 2 CFR § 175.15.
62. Will comply with Title VI of the Civil Rights Act of 1964 prohibition against discrimination on the basis of
national origin, which requires that recipients of federal financial assistance take reasonable steps to provide
meaningful access to their programs and services. Meaningful access may entail providing language
assistance services, including oral and written translation, where necessary. Recipients are encouraged to
consider the need for language services for LEP persons served or encountered both in developing budgets
and in conducting programs and activities. Recipient shall comply with DHS Guidance to Federal Financial
Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting
Limited English Proficient Persons, 76 Fed. Reg. 21755 -21768 (April 18, 2011), resulting from Executive
Order 13166. For assistance and information regarding LEP obligations, refer to DHS Recipient Guidance
at https: / /www.dhs.gov/guidance: published - help - department - supported - organizations- provide- meaningful-
access- people- limited and additional resources on http: / /www.IgppHOV.
63. Will comply with the requirements of 42 U.S.C. § 7401 et seq. and Executive Order 11738, which provides
for the protection and enhancement of the quality of the nation's air resources to promote public health and
welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's
waters is considered research for other purposes.
64. Will comply with the requirements of the Federal regulations at 45 CFR Part 46 and the requirements in
DHS Management Directive 026 -04, Protection of Human Subjects, prior to implementing any work with
human subjects. The regulations specify additional protections for research involving human fetuses,
pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of
autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR Part
46.
65. Will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42
U.S.C. § 4331 et seq., which establishes national policy goals and procedures to protect and enhance the
environment, including protection against natural disasters. To comply with NEPA for its grant- supported
activities, DHS requires the environmental aspects of construction grants (and certain non - construction
projects as specified by the Component and awarding office) to be reviewed and evaluated before final
action on the application.
66. Will comply with the requirements of section 1306(c) of the National Flood Insurance Act, as amended,
which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation
of a structure insured under the Act that is located along the shore of a lake or other body of water and that
is certified by an appropriate State or local land use authority to be subject to imminent collapse or
subsidence as a result of erosion or undermining caused by waves or currents of water exceeding
anticipated cyclical levels. These regulations are codified at 44 CFR Part 63.
67. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §
4001 et seq.), which provides that no Federal financial assistance to acquire, modernize, or construct
property may be provided in identified flood -prone communities in the United States, unless the community
participates in the National Flood Insurance Program and flood insurance is purchased within one year of
the identification. The flood insurance purchase requirement applies to both public and private applicants
for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the Federal
Register by FEMA.
68. Will comply with the requirements of Executive Order 11990, which provides that federally- funded
construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive
Order provides that, in furtherance of section 101(b)(3) of NEPA (42 U.S.C. § 4331(b)(3)), Federal
agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located
in wetlands unless the head of the agency finds that there is no practicable alternative to such construction,
Page 10 Initials
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and that the proposed action includes all practicable measures to minimise harm to wetlands that may result
from such use. In making this finding, the head of the agency may take into account economic,
environmental, and other pertinent factors. The public disclosure requirement described above also pertains
to early public review of any plans or proposals for new construction in wetlands. This is codified at 44
CFR Part 9.
69. Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate
Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§
175 -175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin,
or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective,
bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified
materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any
biological agent or toxin that is listed as a select agent.
70. Understands the reporting of subawards and executive compensation rules, including first tier subawards to
Cal OES.
a. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report
each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as
defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
b. Where and when to report: you must report on each obligating action described in the following
paragraphs to Cal OES. For subaward information, report no later than the end of the month
following the month in which the obligation was made. (For example, if the obligation was made on
November 7, 2013, the obligation must be reported by no later than December 31, 2013.)
c. What to report: You must report the information about each obligating action that the submission
instructions posted in Information Bulletin 350, to Cal OES. To determine if the public has access to
the compensation information, see the U.S. Security and Exchange Commission total compensation
filings at http://www.sec.jzov/answers/execomp.htm. Subgrantees must report subrecipient executive
total compensation to Cal OES by the end of the month following the month during which you make
the subaward. Exemptions include: If, in the previous tax year, you had gross income, from all
sources, under $300,000, you are exempt from the requirements to report on subawards, and the total
compensation of the five most highly compensated executives of any subrecipient.
d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each
of your five most highly compensated executives for the preceding completed fiscal year, if
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received 80 percent or more of your annual gross revenues
from Federal procurement contracts (and subcontracts) and Federal financial assistance
subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and
$25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at
2 CFR § 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the executives
through periodic reports filed under Section 13(a) or 15(d) of the Securities Exchange Act
of 1934 (15 U.S.C. §§ 78m(a), 78o(d)) or § 6104 of the Internal Revenue Code of 1986.
(To determine if the public has access to the compensation information, see the U.S.
Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.btm.)
iv. Subrecipient Executives. Unless you are exempt as provided above, for each first -tier
subrecipient under this award, you shall report the names and total compensation of each of
the subrecipient's five most highly compensated executives for the subrecipient's preceding
completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient
received 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the Transparency
Act, as defined at 2 CFR § 170.320 (and subawards); and $25,000,000 or more in annual
gross revenues from Federal procurement contracts (and subcontracts), and Federal
Page 11 Initials
18 -131
financial assistance subject to the Transparency Act (and subawards); and the public does
not have access to information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15
U.S.C. §§ 78m(a), 78o(d)) or § 6104 of the Internal Revenue Code of 1986.
71. Understands that failure to comply with any of these assurances may result in suspension, termination, or
reduction of grant funds.
72. The undersigned represents that he /she is authorized by the above named applicant to enter into this
agreement for and on behalf of the said applicant.
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title:
Date:
Page 12
18 -132
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