HomeMy WebLinkAboutE-5 Staff Report - SHSGP 2021CONSENT ITEM
E-5
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
VIA: SERGIO GONZALEZ, CITY MANAGER
FROM: ROCKY WENRICK, CHIEF OF POLICE
DATE: DECEMBER 5, 2022
SUBJECT: APPROVE SUBRECIPIENT AGREEMENT FROM 2021 STATE HOMELAND
SECURITY GRANT PROGRAM (SHSGP)
BACKGROUND:
A Homeland Security grant was established by the State, in part, to provide for the purchase of
specialized equipment to enhance cybersecurity and strengthen the ability of Law Enforcement to
disrupt, deter, respond to and recover from cyberterrorist attacks. Equipment approved for
purchase under this grant includes Information Technology Equipment to protect resources from
Cyber-attacks and training for cybersecurity and prevention from future cyberattacks in an amount
not to exceed $63,500.00.
RECOMMENDATIONS:
Staff recommends that the City Council take the following actions:
1)Authorize the City Manager to execute the attached State Homeland Security Grant Program
Subrecipient Agreement Grant Year 2021 between the County of Los Angeles and the City
of Azusa; and
2)Approve the purchase of Cybersecurity software, prevention resources and training offered
through the reimbursable State of California FY2021 Homeland Security Grant Program
(SHSGP) in an amount not-to-exceed $63,500.00.
APPROVED
CITY COUNCIL
12/5/2022
SHSP 2021 Cybersecurity
November 21, 2022
Page 2
ANALYSIS:
The County of Los Angeles Board of Supervisors has accepted the 2021 State Homeland Security
Program (SHSP) for the Los Angeles County Operational Area and received requisite State
approvals to proceed with the allocation of funds to program recipients. In order to facilitate this
effort, the County of Los Angeles requires a formal Subrecipient Agreement (SRA) with the City
of Azusa, which outlines the requirements of the grant and provides the guidelines to follow for
SHSGP reimbursement of eligible expenses of which we have been authorized $63,500 to
purchase cybersecurity software, programs, and training.
FISCAL IMPACT:
This is a reimbursement grant in the amount of $63,500 from the State of California Homeland
Security Grant Program. The County of Los Angeles and the State of California, upon receipt of
goods by the City of Azusa Police Department, will process reimbursement. Reimbursement is
expected to take 90-120 days. There is no fiscal impact to the General Fund. Upon council
approval and once the agreement is executed, Staff will prepare a budget amendment for the
SHSGP grant.
Prepared by: Reviewed by:
Jennifer Wu Rocky Wenrick
Emergency Services Coordinator Chief of Police
Fiscal Review by: Reviewed and Approved by:
Talika M. Johnson Sergio Gonzalez
Director of Administrative Services City Manager
Attachments:
1) State Homeland Security Program Subrecipient (SHSP) Agreement Grant Year 2021
State Homeland Security Program
Subrecipient Agreement
Grant Year 2021
Between the
County of Los Angeles
and the
City of Azusa
Attachment 1
Page 1
SUBRECIPIENT AGREEMENT
BETWEEN THE
COUNTY OF LOS ANGELES
AND THE
CITY OF AZUSA
THIS AGREEMENT ("Agreement") is made and entered into by and between the
County of Los Angeles, a political subdivision of the State of California (the “County of
Los Angeles”), and the City of Azusa, a public agency (the “Subrecipient”).
W I T N E S S E T H
WHEREAS, the U.S. Department of Homeland Security Title 2 Code of Federal
Regulations (CFR) through the Office of Grants and Training (G&T), has provided
financial assistance for the State Homeland Security Program (SHSP), Assistance
Listings Number (formerly Catalog of Federal Domestic Assistance Number ) 97.067 –
Homeland Security Grant Program directly to the California Governor’s Office of
Emergency Services (Cal OES) for the 2021 SHSP, Federal Award Identification No.
037-00000 Federal Award dated October 27, 2021 with a performance period of
September 1, 2021 to May 31, 2024. This Federal Award is not a R&D award; and
WHEREAS, the Cal OES provides said funds to the County of Los Angeles,
Unique Entity ID (UEI) #KU76QNJGYFF6, as its Subgrantee, and the Chief Executive
Office (CEO) is responsible for managing and overseeing the SHSP funds that are
distributed to other specified jurisdictions within Los Angeles County; and
WHEREAS, this financial assistance is being provided to the Subrecipient in
order to address the unique equipment, training, organization, exercise and planning
needs of the Subrecipient, and to assist the Subrecipient in building effective prevention
and protection capabilities to prevent, respond to, and recover from threats or acts of
terrorism; and
WHEREAS, the County of Los Angeles as Subgrantee has obtained approval of
the 2021 SHSP grant from Cal OES in the total amount of $10,192,647.00; and
WHEREAS, the CEO now wishes to distribute 2021 SHSP grant funds to the
Subrecipient in the amount of $63,500.00, as further detailed in this Agreement; and
WHEREAS, the CEO is authorized to enter into subrecipient agreements with
cities providing for re-allocation and use of these funds; and to execute all future
amendments, modifications, extensions, and augmentations relative to the subrecipient
agreements, as necessary; and
WHEREAS, the County of Los Angeles and Subrecipient are desirous of
executing this Agreement, and the County of Los Angeles Board of Supervisors on July
12, 2022 authorized the CEO to prepare and execute this Agreement.
Page 2
NOW, THEREFORE, the County of Los Angeles and Subrecipient agree as follows:
SECTION I
INTRODUCTION
§101. Parties to this Agreement
The parties to this Agreement are:
A. County of Los Angeles, a political subdivision of the State of California, having its
principal office at Kenneth Hahn Hall of Administration, 500 West Temple Street,
Los Angeles, CA 90012; and
B. City of Azusa, a public agency, having its principal office at
.
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to administer
this Agreement and to whom formal notices, demands and communications must
be given are as follows:
1. The representative of the County of Los Angeles is, unless otherwise
stated in this Agreement:
Craig Hirakawa, HSGP Grants Director
Chief Executive Office, LAC
500 West Temple Street, Room B-79-2
Los Angeles, CA 90012
Phone: (213) 974-1127
Fax: (213) 687-3765
CHirakawa@ceo.lacounty.gov
Jimmy Nguyen
Chief Executive Office, LAC
500 West Temple Street, Room B-79-2
Los Angeles, CA 90012
Phone: (213) 262-7902
Fax: (213) 687-3765
JNguyen@ceo.lacounty.gov
Page 3
2. The representative of Subrecipient is:
Name and Title:
Organizational UEI
Number:
Address:
City/State/Zip:
Phone:
FAX:
Email:
With a copy to:
Name and Title:
Address:
City/State/Zip:
Phone:
FAX:
Email:
B. Formal notices, demands and communications to be given hereunder by either
party must be made in writing and may be effected by personal delivery, regular
U.S. Postal mail service and/or e-mail. In the event of personal delivery or email,
the message will be deemed communicated upon receipt by the County of Los
Angeles. In the event of mail service, the message will be deemed
communicated as of the date of mailing.
C. If the name and/or title of the person designated to receive the notices, demands
or communications or the address of such person is changed, written notice must
be given, in accord with this section, within five (5) business days of said change.
Page 4
§103. Independent Party
Subrecipient is acting hereunder as an independent party, and not as an agent or
employee of the County of Los Angeles. An employee of Subrecipient is not, and
will not be deemed, an employee of the County of Los Angeles by virtue of this
Agreement, and Subrecipient must so inform each employee organization and
each employee who is hired or retained under this Agreement. Subrecipient
must not represent or otherwise hold out itself or any of its directors, officers,
partners, employees, or agents to be an agent or employee of the County of Los
Angeles by virtue of this Agreement.
§104. Conditions Precedent to Execution of This Agreement
Subrecipient must provide the following signed documents to the County of
Los Angeles, unless otherwise exempted:
A. Certification and Disclosure Regarding Lobbying, attached hereto as Exhibit A
and made a part hereof, in accordance with §411.A.14 of this Agreement.
Subrecipient must also file a Disclosure Form at the end of each calendar quarter
in which there occurs any event requiring disclosure or which materially affects
the accuracy of the information contained in any Disclosure Form previously filed
by Subrecipient.
B. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion Lower Tier Covered Transactions, attached hereto as Exhibit B and
made a part hereof, as required by Executive Order 12549 in accordance with
§411.A.12 of this Agreement.
C. Certification Regarding Drug-Free Workplace, attached hereto as Exhibit C and
made a part hereof, in accordance with §411.A.13 of this Agreement.
D. Certification of Grant Assurances, attached hereto as Exhibit D and made a part
hereof, in accordance with §411.C of this Agreement.
SECTION II
TERM AND SERVICES TO BE PROVIDED
§201. Performance Period
The performance period of this Agreement is from September 1, 2021 to
February 28, 2024, unless the County of Los Angeles, with Cal OES approval,
provides written notification to the Subrecipient that the performance period has
been extended, in which case the performance period will be so extended by
such written notification, as provided in §502, below.
Page 5
§202. Use of Grant Funds
A. Subrecipient and the County of Los Angeles have previously completed a
mutually approved budget/expenditure plan, hereinafter “Budget,” for the 2021
SHSP, which has been approved by Cal OES. This information is contained in a
copy of the Final Grant Award Letter and Project Worksheet, attached hereto as
Exhibit E.
Any request by Subrecipient to modify the Budget must be made in writing with
the appropriate justification and submitted to CEO for approval. If during the
County of Los Angeles review process, additional information or documentation
is required, the Subrecipient will have ten (10) business days to comply with the
request. If the Subrecipient does not comply with the request, CEO will issue
written notification indicating that the requested modification will not be
processed. Modifications must be approved in writing by the County of Los
Angeles and Cal OES during the term of this Agreement. Upon approval, all
other terms of this Agreement will remain in effect.
Subrecipient must utilize grant funds in accordance with all Federal regulations
and State Guidelines.
B. Subrecipient agrees that grant funds awarded will be used to supplement existing
funds for program activities, and will not supplant (replace) non-Federal funds.
C. Subrecipient must review the Federal Debarment Listing at
https://www.sam.gov/SAM/pages/public/searchRecords/search.jsf prior to the
purchase of equipment or services to ensure the intended vendor is not listed
and also maintain documentation that the list was verified.
D. Prior to the purchase of equipment or services utilizing a sole source contract or
the receipt of single bid response of $250,000.00 or more, justification must be
presented to CEO, who upon review will request approval from Cal OES. Such
approval in writing must be obtained prior to the commitment of funds.
E. Subrecipient must provide any certifications or reports requested by the County
of Los Angeles to the CEO indicating Subrecipient's performance under this
Agreement, including progress on meeting program goals. Reports must be in
the form requested by the County of Los Angeles, and must be provided by the
fifteenth (15th) of the following month. Subrecipient is required to complete any
survey requests requested by the County of Los Angeles. Subrecipient must
also submit completed Project Claims for reimbursement immediately or a
minimum on a quarterly basis, and no later than the date stated in §201, above.
F. Subrecipient must provide an electronic copy of their Annual Single Audit Report,
as required by Title 2 Code of Federal Regulations (C.F.R) Part 200, to the
County of Los Angeles within 30 calendar days after receipt of the auditor’s
report(s). In the event the Subrecipient does not meet the Single Audit Threshold
Page 6
expenditure amount in a fiscal year, the Subrecipient must provide the County of
Los Angeles a copy of a letter sent to State Controller’s Office noting the Single
Audit Threshold was not met, and its exempt status within nine months after the
end of the Subrecipient’s fiscal year, unless otherwise approved by the County of
Los Angeles.
G. Subrecipient may be monitored by the County of Los Angeles on an annual basis
to ensure compliance with Cal OES grant program requirements. The County of
Los Angeles anticipates that said monitoring may include, at a minimum, one on-
site visit during the term of this Agreement. Monitoring will utilize a Review
Instrument (sample attached hereto as Exhibit H, and subject to periodic
revisions) to evaluate compliance.
H. Subrecipient must provide Corrective Action Plan(s) to CEO within thirty (30)
days of any audit finding.
I. Subrecipient use of the Los Angeles Regional Interoperable Communication
System’s Motorola Solutions, Incorporated Land Mobile Radio System Contract
to purchase equipment is unallowable unless the Subrecipient can clearly
demonstrate to CEO it meets one of the four federal exceptions to necessitate a
noncompetitive procurement before issuance of any contract, amendment, or
purchase order.
J. Subrecipient shall not use grant funds to purchase, extend, or renew any
Telecommunications and Video Surveillance services and equipment as
substantial or essential component of any system, or as critical technology as
part of any system which the Secretary of Defense, in consultation with Director
of National Intelligence or the Director of the Federal Bureau of Investigation,
reasonably believes to be an owned, controlled by, or connected to the People’s
Republic of China such as and not limited to Huawei Technologies Company or
ZTE Corporation (or any subsidiary or affiliate of such entities); or Hytera
Communications Corporation, Hangzhou Hikvision Digital Technology Company,
or Dahua Technology Company (or any subsidiary or affiliate of such entities).
K. Any equipment acquired pursuant to this Agreement must be authorized in the
G&T Authorized Equipment List (AEL) available online at
https://www.fema.gov/authorized-equipment-list and the Funding Guidelines of
the 2021 SHSP Notice of Funding Opportunity, incorporated by reference, and
attached hereto as Exhibit F. Subrecipient must provide the CEO a copy of its
most current procurement guidelines and follow its own procurement
requirements as long as they meet or exceed the minimum Federal requirements
and any added Cal OES requirements. Federal procurement requirements for
the 2021 SHSP can be found at Title 2 CFR Part 200.313.
Page 7
Any equipment acquired or obtained with Grant Funds:
1. Will be made available under the California Disaster and Civil Defense
Master Mutual Aid Agreement in consultation with representatives of the
various fire, emergency medical, hazardous materials response services,
and law enforcement agencies within the jurisdiction of the applicant;
2. Will be consistent with needs as identified in the State Homeland Security
Strategy and will be deployed in conformance with that plan;
3. Will be made available pursuant to applicable terms of the California
Disaster and Civil Defense Master Mutual Aid Agreement and deployed
with personnel trained in the use of such equipment in a manner
consistent with the California Law Enforcement Mutual Aid Plan or the
California Fire Services and Rescue Mutual Aid Plan.
L. Equipment acquired pursuant to this Agreement will be subject to the
requirements of Title 2 CFR Part 200.313. For the purposes of this subsection,
“Equipment” is defined as tangible nonexpendable property, having a useful life
of more than one year which costs $5,000.00 or more per unit. Items costing
less than $5,000.00, but acquired under the “Equipment” category of the Grant
must also be listed on any required Equipment Listing.
1. Equipment must be used by Subrecipient in the program or project for
which it was acquired as long as needed, whether or not the project or
program continues to be supported by Federal funds. When no longer
needed for the original program or project, the Equipment may be used in
other activities currently or previously supported by a Federal agency.
2. Subrecipient must make Equipment available for use on other like projects
or programs currently or previously supported by the Federal Government,
providing such use will not interfere with the work on the projects or
program for which it was originally acquired. First preference for other use
must be given to other programs or projects supported by the awarding
agency.
3. An Equipment Listing must be maintained listing each item of Equipment
acquired with SHSP funds. The Equipment Listing must be kept up to
date at all times. Any changes must be recorded in the Listing within ten
(10) business days and the updated Listing is to be forwarded to the
County of Los Angeles Auditor-Controller (A-C) Shared Services Division.
The Equipment Property Records must be maintained that include: (a) a
description of the property, (b) a serial number or other identification
number, (c) the source of property, (d) who holds title, (e) the acquisition
date, (f) and cost of the property, (g) percentage of Federal participation in
the cost of the property, (h) the location, (i) use and condition of the
Page 8
property, (j) and any ultimate disposition data including the date of
disposal and sale price of the property. Records must be retained by the
subrecipient pursuant to Title 2, Part 200.313 (d) (1) of the CFR.
4. All Equipment obtained under this Agreement must have an appropriate
identification decal affixed to it, and, when practical, must be affixed where
it is readily visible.
5. A physical inventory of the Equipment must be taken by the Subrecipient
and the results reconciled with the Equipment Listing at least once every
two years or prior to any site visit by State or Federal auditors or County of
Los Angeles monitors. The Subrecipient is required to have on file a letter
certifying as to the accuracy of the Equipment Listing in the frequency as
above, and provide to the CEO when requested.
M. Any Planning paid pursuant to this Agreement must conform to the guidelines as
listed in Exhibit F or subsequent grant year programs.
N. Any Organization activities paid pursuant to this Agreement must conform to the
guidelines as listed in Exhibit F.
O. Any Training paid pursuant to this Agreement must conform to the guidelines as
listed in Exhibit F, and must be first submitted to CEO and then pre-authorized by
Cal OES. A catalog of federally approved and sponsored training courses is
available at https://www.firstrespondertraining.gov/frts/.
P. Any Exercise paid pursuant to this Agreement must conform to the guidelines as
listed in Exhibit F. Detailed Homeland Security Exercise and Evaluation Program
Guidance is available at https://www.fema.gov/hseep.
Q. Any Personnel activities paid pursuant to this Agreement must conform to the
guidelines as listed in Exhibit F.
R. Subrecipient must provide to CEO a spending plan detailing the required steps
and timeframes required to complete the approved projects within the grant
timeframe. Subrecipient must submit the spending plan to CEO prior to final
execution of the Agreement.
S. Pursuant to this Agreement, indirect costs are not reimbursable.
Page 9
SECTION III
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. The County of Los Angeles will reimburse Subrecipient up to the maximum grant
amount of $63,500.00 as expenditures are incurred and paid by Subrecipient and
all documentation is reviewed and approved by County of Los Angeles. All
expenditures must be for the purchase of equipment, exercises, training,
organization, and planning as described in Section II of this Agreement. The
grant amount represents the amount allocated to Subrecipient in the 2021 SHSP
Grant Award Letter from Cal OES.
B. Subrecipient must submit reimbursement requests to the County of Los Angeles
A-C Shared Services Division requesting payment as soon as a Project is
completed and expenses are incurred and paid with the required supporting
documentation; submission can be sent immediately or at a minimum on a
quarterly basis, and no later than the date stated in §201, above. Each
reimbursement request must be accompanied by the Reimbursement Form
(sample attached hereto as Exhibit G, and subject to periodic revisions). All
appropriate back-up documentation must be attached to the reimbursement form,
including the method of procurement, bid documentation, purchase orders,
invoices, report of goods received, and proof of payment.
For Training reimbursements, Subrecipient must include a copy of the class
roster verifying training attendees, proof that prior approval was obtained from
Cal OES and that a Cal OES Feedback number has been assigned to the
course, and timesheets and payroll registers for all training attendees.
For Exercise reimbursements, Subrecipient must enter the After Action Report
(AAR) and Improvement Plan on the State Office of Domestic Preparedness
secure portal within sixty (60) days following completion of the exercise and
submit proof of prior State approval of the AAR with the reimbursement request.
For Planning reimbursements, Subrecipient must include a copy of the final
tangible product.
C. The County of Los Angeles may, at its discretion, reallocate unexpended grant
funds to another subrecipient. Said reallocation may occur upon approval by the
County of Los Angeles of a Subrecipient reimbursement submission, inquiry
from the County of Los Angeles to the Subrecipient regarding fund utilization, or
by written notification from the Subrecipient to the County of Los Angeles that a
portion of the grant funds identified in §301.A., above, will not be utilized. As
provided in §502, below, any increase or decrease in the grant amount specified
Page 10
in §301.A., above, may be effectuated by a written notification by the County of
Los Angeles to the Subrecipient.
D. Payment of reimbursement request will be withheld by the County of Los Angeles
until the County of Los Angeles has determined that Subrecipient has turned in
all supporting documentation and completed the requirements of this Agreement.
E. It is understood that the County of Los Angeles makes no commitment to fund
this Agreement beyond the terms set forth herein.
F. 1. Funding for all periods of this Agreement is subject to continuing Federal
appropriation of grant funds for this program. In the event of a loss or reduction
of Federal appropriation of grant funds for this program, the Agreement may be
terminated, or appropriately amended, immediately upon notice to Subrecipient
of such loss or reduction of Federal grant funds.
2. County of Los Angeles will make a good-faith effort to notify Subrecipient, in
writing, of such non-appropriation at the earliest time.
SECTION IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and do
not, and will not be deemed to, affect the meaning or construction of any of the
terms or provisions hereof. The language of this Agreement will be construed
according to its fair meaning and not strictly for or against either party.
§402. Applicable Law, Interpretation and Enforcement
Each party's performance hereunder must comply with all applicable laws of the
United States of America, the State of California, and the County of Los Angeles.
This Agreement will be enforced and interpreted, as applicable, under the laws of
the United States of America, the State of California and the County of Los
Angeles.
If any part, term or provision of this Agreement is held void, illegal,
unenforceable, or in conflict with any law of a Federal, State or Local
Government having jurisdiction over this Agreement, the validity of the remainder
of the Agreement will not be affected thereby.
Applicable Federal or State requirements that are more restrictive will be
followed.
Page 11
§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only as provided for herein.
§404. Breach
If any party fails to perform, in whole or in part, any promise, covenant, or
agreement set forth herein, or should any representation made by it be untrue,
any aggrieved party may avail itself of all rights and remedies, at law or equity, in
the courts of law. Said rights and remedies are cumulative of those provided for
herein except that in all events, no party may recover more than once, suffer a
penalty or forfeiture, or be unjustly compensated.
§405. Prohibition Against Assignment or Delegation
Subrecipient may not do any of the following, unless it has first obtained the
written permission of the County of Los Angeles:
A. Assign or otherwise alienate any of its rights hereunder, including the right to
payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
§406. Permits
Subrecipient and its officers, agents and employees must obtain and maintain all
permits and licenses necessary for Subrecipient’s performance hereunder and
must pay any fees required therefor. Subrecipient further certifies that it will
immediately notify the County of Los Angeles of any suspension, termination,
lapse, non-renewal or restriction of licenses, certificates, or other documents.
§407. Nondiscrimination and Affirmative Action
Subrecipient must comply with the applicable nondiscrimination and affirmative
action provisions of the laws of the United States of America, the State of
California, and the County of Los Angeles. In performing this Agreement,
Subrecipient must not discriminate in its employment practices against any
employee or applicant for employment because of such person's race, religion,
national origin, ancestry, sex, sexual orientation, age, physical handicap, mental
disability, marital status, domestic partner status or medical condition.
Subrecipient must comply with Executive Order 11246, entitled “Equal
Employment Opportunity,” as amended by Executive Order 11375, and as
supplemented in Department of Labor regulations (41 CFR Part 60).
Page 12
If required, Subrecipient must submit an Equal Employment Opportunity Plan to
the Department of Justice Office of Civil Rights in accordance with guidelines
listed at https://www.justice.gov/crt.
Any subcontract entered into by the Subrecipient relating to this Agreement, to
the extent allowed hereunder, will be subject to the provisions of this §407 of this
Agreement.
§408. Indemnification
Each of the parties to this Agreement is a public entity. This indemnity provision
is written in contemplation of the provisions of Section 895.2 of the Government
Code of the State of California, which impose certain tort liability jointly upon
public entities, solely by reason of such entities being parties to an agreement,
and the parties agree that this indemnity provision will apply and will be
enforceable regardless of whether Section 895 et seq. is deemed to apply to this
Agreement. The parties hereto, as between themselves, consistent with the
authorization contained in Government Code Sections 895.4 and 895.6 agree to
each assume the full liability imposed upon it or upon any of its officers, agents,
or employees by law, for injury caused by a negligent or wrongful act or omission
occurring in the performance of this Agreement, to the same extent that such
liability would be imposed in the absence of Government Code Section 895.2.
To achieve the above-stated purpose, each party agrees to indemnify and hold
harmless the other party for any liability arising out of its own negligent acts or
omissions in the performance of this Agreement (i.e., the Subrecipient agrees to
indemnify and hold harmless the County of Los Angeles for liability arising out of
the Subrecipient's negligent or wrongful acts or omissions and the County of Los
Angeles agrees to indemnify and hold harmless the Subrecipient for liability
arising out of the County of Los Angeles' negligent or wrongful acts or
omissions). Each party further agrees to indemnify and hold harmless the other
party for liability that is imposed on the other party solely by virtue of Government
Code Section 895.2. The provisions of Section 2778 of the California Civil Code
are made a part hereof as if fully set forth herein. Subrecipient certifies that it
has adequate self-insured retention of funds to meet any obligation arising from
this Agreement.
§409. Conflict of Interest
A. The Subrecipient covenants that none of its directors, officers, employees, or
agents may participate in selecting, or administrating, any subcontract supported
(in whole or in part) by Federal funds where such person is a director, officer,
employee or agent of the subcontractor; or where the selection of subcontractors
is or has the appearance of being motivated by a desire for personal gain for
themselves or others such as family business, etc.; or where such person knows
or should have known that:
Page 13
1. A member of such person's immediate family, or domestic partner or
organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by the California
Political Reform Act, California Government Code §87100 et seq. if such
person were a public officer, because such person would have a "financial
or other interest" in the subcontract.
B. Definitions:
1. The term "immediate family" means domestic partner and/or those
persons related by blood or marriage, such as husband, wife, father,
mother, brother, sister, son, daughter, father in law, mother in law, brother
in law, sister in law, son in law, daughter in law.
2. The term "financial or other interest" means:
a. Any direct or indirect financial interest in the specific contract,
including but not limited to, a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment, a profit,
or any other form of financial reward.
b. Any of the following interests in the subcontractor ownership:
partnership interest or other beneficial interest of five percent or
more; ownership of five percent or more of the stock; employment in
a managerial capacity; or membership on the board of directors or
governing body.
C. The Subrecipient further covenants that no officer, director, employee, or agent
may solicit or accept gratuities, favors, or anything of monetary value from any
actual or potential subcontractor, supplier, a party to a sub agreement, (or
persons who are otherwise in a position to benefit from the actions of any officer,
employee, or agent).
D. The Subrecipient may not subcontract with a former director, officer, or employee
within a one-year period following the termination of the relationship between
said person and the Subrecipient.
E. Prior to obtaining the County of Los Angeles' approval of any subcontract, the
Subrecipient must disclose to the County of Los Angeles any relationship,
financial or otherwise, direct or indirect, of the Subrecipient or any of its officers,
directors or employees or their immediate family with the proposed subcontractor
and its officers, directors or employees.
Page 14
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references are made to the guidelines, rules, and laws of the
County of Los Angeles, State of California, and Federal regulations regarding
conflict of interest.
G. The Subrecipient warrants that it has not paid or given and will not pay or give to
any third person any money or other consideration for obtaining this Agreement.
H. The Subrecipient covenants that no member, officer or employee of Subrecipient
may have interest, direct or indirect, in any contract or subcontract or the
proceeds thereof for work to be performed in connection with this project during
his/her tenure as such employee, member or officer or for one year thereafter.
I. The Subrecipient must incorporate the foregoing subsections of this Section into
every agreement that it enters into in connection with this grant and must
substitute the term "subcontractor" for the term "Subrecipient" and "sub
subcontractor" for "Subcontractor".
§410. Restriction on Disclosures
Any reports, analyses, studies, drawings, information, or data generated as a
result of this Agreement are to be governed by the California Public Records Act
(California Government Code Sec. 6250 et seq.).
§411. Statutes and Regulations Applicable To All Grant Contracts
A. Subrecipient must comply with all applicable requirements of State, Federal, and
County of Los Angeles laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this
Agreement. Subrecipient must comply with applicable State and Federal laws
and regulations pertaining to labor, wages, hours, and other conditions of
employment. Subrecipient must comply with new, amended, or revised laws,
regulations, and/or procedures that apply to the performance of this Agreement.
These requirements include, but are not limited to:
1. CFR
Subrecipient must comply with Title 2 CFR Part 200.
2. Single Audit Act
Since Federal funds are used in the performance of this Agreement,
Subrecipient must, as applicable, adhere to the rules and regulations of
the Single Audit Act (31 USC Sec. 7501 et seq.), 2 CFR Part 200 and any
administrative regulation or field memos implementing the Act.
Page 15
3. Americans with Disabilities Act
Subrecipient hereby certifies that, as applicable, it will comply with the
Americans with Disabilities Act 42, USC §§12101 et seq., and its
implementing regulations. Subrecipient will provide reasonable
accommodations to allow qualified individuals with disabilities to have
access to and to participate in its programs, services and activities in
accordance with the provisions of the Americans with Disabilities Act.
Subrecipient will not discriminate against persons with disabilities nor
against persons due to their relationship to or association with a person
with a disability. Any subcontract entered into by Subrecipient, relating to
this Agreement, to the extent allowed hereunder, will be subject to the
provisions of this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or
indirectly under this Agreement may be used for any partisan political
activity, or to further the election or defeat of any candidate for public
office. Neither may any funds provided under this Agreement be used for
any purpose designed to support or defeat any pending legislation or
administrative regulation. None of the funds provided pursuant to this
Agreement may be used for any sectarian purpose or to support or benefit
any sectarian activity.
Subrecipient must file a Disclosure Form at the end of each calendar
quarter in which there occurs any event requiring disclosure or which
materially affects the accuracy of any of the information contained in any
Disclosure Form previously filed by Subrecipient. Subrecipient must
require that the language of this Certification be included in the award
documents for all sub-awards at all tiers and that all subcontractors certify
and disclose accordingly.
5. Records Inspection
At any time during normal business hours and as often as either the
County of Los Angeles, the U.S. Comptroller General or the Auditor
General of the State of California may deem necessary, Subrecipient must
make available for examination all of its records with respect to all matters
covered by this Agreement. The County of Los Angeles, the U.S.
Comptroller General and the Auditor General of the State of California
have the authority to audit, examine and make excerpts or transcripts from
records, including all Subrecipient’s method of procurement, invoices,
materials, payrolls, records of personnel, conditions of employment and
other data relating to all matters covered by this Agreement.
Page 16
Subrecipient agrees to provide any reports requested by the County of
Los Angeles regarding performance of this Agreement.
6. Records Maintenance
Records, in their original form, must be maintained in accordance with
requirements prescribed by the County of Los Angeles with respect to all
matters specified in this Agreement. Original forms are to be maintained
on file for all documents specified in this Agreement. Such records must
be retained for a period five (5) years after termination of this Agreement
and after final disposition of all pending matters. “Pending matters”
include, but are not limited to, an audit, litigation or other actions involving
records. The County of Los Angeles may, at its discretion, take
possession of, retain and audit said records. Records, in their original
form pertaining to matters covered by this Agreement, must at all times be
retained within the County of Los Angeles unless authorization to remove
them is granted in writing by the County of Los Angeles.
7. Subcontracts and Procurement
Subrecipient must, as applicable, comply with the Federal, State and
County of Los Angeles standards in the award of any subcontracts. For
purposes of this Agreement, subcontracts include but are not limited to
purchase agreements, rental or lease agreements, third party agreements,
consultant service contracts and construction subcontracts.
Subrecipient must, as applicable, ensure that the terms of this Agreement
with the County of Los Angeles are incorporated into all Subcontractor
agreements. The Subrecipient must submit all Subcontractor agreements
to the County of Los Angeles for review prior to the release of any funds to
the Subcontractor. The Subrecipient must withhold funds to any
Subcontractor agency that fails to comply with the terms and conditions of
this Agreement and their respective Subcontractor agreement.
8. Labor
Subrecipient must, as applicable, comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. §§4728-4763) relating to prescribed
requirements for merit systems for programs funded under one of the 19
statutes or regulations specified in Appendix A of OPM's Standards for a
Merit System Personnel Administration (5 CFR 900, Subpart F).
Subrecipient must, as applicable, comply with the provisions of the Davis-
Bacon Act (40 U.S.C. §§276a to 276a-7); the Copeland Act (40 U.S.C.
§276c and 18 U.S.C. §874); the Contract Work Hours and Safety
Standards Act (40 U.S.C. §§327-333), regarding labor standards for
federally-assisted construction subagreements; and the Hatch Act (5 USC
§§1501-1508 and 7324-7328).
Page 17
Subrecipient must, as applicable, comply with the Federal Fair Labor
Standards Act (29 U.S.C. §201) regarding wages and hours of
employment.
None of the funds may be used to promote or deter union/labor organizing
activities. CA Gov’t Code Sec. 16645 et seq.
9. Civil Rights
Subrecipient must, as applicable, comply with all Federal statutes relating
to nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88-352), which prohibits discrimination
on the basis of race, color or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and 1685-
1686), which prohibits discrimination on the basis of sex; (c) Section 504
of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of disabilities; (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which
prohibits discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on
the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et
seq.), as amended, relating to non-discrimination in the sale, rental or
financing of housing; (i) any other nondiscrimination provisions in the
specific statute(s) under which application for Federal assistance is being
made; (j) the requirements of any other nondiscrimination statute(s) that
may apply to the application; and (k) P.L. 93-348 regarding the protection
of human subjects involved in research, development, and related
activities supported by this award of assistance.
10. Environmental
Subrecipient must, as applicable, comply, or has already complied, with
the requirements of Titles II and III of the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970 (P.L. 91-646), which
provide for fair and equitable treatment of persons displaced or whose
property is acquired as a result of Federal or federally-assisted programs.
These requirements apply to all interests in real property acquired for
project purposes regardless of Federal participation in purchases.
Subrecipient must, as applicable, comply with environmental standards
which may be prescribed pursuant to the following: (a) institution of
Page 18
environmental quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b)
notification of violating facilities pursuant to EO 11738; (c) protection of
wetlands pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of project
consistency with the approved State management program developed
under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et
seq.); (f) conformity of Federal actions to State (Clean Air) Implementation
Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42
U.S.C. §§7401 et seq.); (g) protection of underground sources of drinking
water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-
523); (h) protection of endangered species under the Endangered Species
Act of 1973, as amended (P.L. 93205); and (i) Flood Disaster Protection
Act of 1973 §102(a) (P.L. 93-234).
Subrecipient must, as applicable, comply with the Wild and Scenic Rivers
Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components
or potential components of the national wild and scenic rivers system.
Subrecipient must, as applicable, comply with the Lead-Based Paint
Poisoning Prevention Act (42 U.S.C. §§4801 et seq.), which prohibits the
use of lead-based paint in construction or rehabilitation of residence
structures.
Subrecipient must, as applicable, comply with the Federal Water Pollution
Control Act (33 U.S.C. §1251 et seq.), which restores and maintains the
chemical, physical and biological integrity of the Nation’s waters.
Subrecipient must, as applicable, ensure that the facilities under its
ownership, lease or supervision that are utilized in the accomplishment of
this project are not listed in the Environmental Protection Agency’s (EPA)
list of Violating Facilities and that it will notify the Federal Grantor agency
of the receipt of any communication from the Director of the EPA Office of
Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA.
By signing this Agreement, Subrecipient warrants and represents that it
will, as applicable, comply with the California Environmental Quality Act
(CEQA), Public Resources Code §21000 et seq.
Subrecipient must, as applicable, comply with the Energy Policy and
Conservation Act (P.L. 94-163, 89 Stat. 871).
Subrecipient must, as applicable, comply with the provision of the Coastal
Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 U.S.C.
3501 et. seq.) which prohibits the expenditure of most new Federal funds
within the units of the Coastal Barrier Resources System.
Page 19
11. Preservation
Subrecipient must, as applicable, comply with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO
11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1
et seq.).
12. Suspension, Debarment, Ineligibility and Voluntary Exclusion
Subrecipient must, as applicable, comply with Title 2 CFR Part §3000,
regarding Suspension and Debarment, and Subrecipient must submit a
Certification Regarding Debarment, attached hereto as Exhibit B, required
by Executive Order 12549 and any amendment thereto. Said Certification
must be submitted to the County of Los Angeles concurrent with the
execution of this Agreement and must certify that neither Subrecipient nor
its principals are presently debarred, suspended, proposed for debarment,
declared ineligible or voluntarily excluded from participation in this
transaction by any Federal department head or agency. Subrecipient
must require that the language of this Certification be included in the
award documents for all sub-award at all tiers and that all subcontractors
certify accordingly.
13. Drug-Free Workplace
Subrecipient must, as applicable, comply with the federal Drug-Free
Workplace Act of 1988, 41 USC §701, Title 44 Code of Federal
Regulations (CFR) Part §17; the California Drug-Free Workplace Act of
1990, CA Gov’t Code §§8350-8357, and Subrecipient must complete the
Certification Regarding Drug-Free Workplace Requirements, attached
hereto as Exhibit C, and incorporated herein by reference. Subrecipient
must require that the language of this Certification be included in the
award documents for all sub-award at all tiers and that all subcontractors
certify accordingly.
14. Lobbying Activities
Subrecipient must, as applicable, comply with 31 U.S.C.1352 and
complete the Disclosure of Lobbying Activities, (OMB 0038-0046),
attached hereto as Exhibit A, and incorporated herein by reference.
15. Miscellaneous
Subrecipient must, as applicable, comply with the Laboratory Animal
Welfare Act of 1966, as amended (P.L. 89-544, 7 USC §§2131 et seq.).
Page 20
B. Statutes and Regulations Applicable To This Particular Grant Agreement
Subrecipient must comply with all applicable requirements of State and Federal
laws, executive orders, regulations, program and administrative requirements,
policies and any other requirements governing this particular grant program.
Subrecipient must, as applicable, comply with new, amended, or revised laws,
regulations, and/or procedures that apply to the performance of this Agreement.
These requirements include, but are not limited to:
Title 2 CFR Part 200; EO 12372; U.S. Department of Homeland Security, Office
of State and Local Government Coordination and Preparedness, Office for
Domestic Preparedness, ODP WMD Training Course Catalogue; and DOJ Office
for Civil Rights.
Standardized Emergency Management System (SEMS) requirements as stated
in the California Emergency Services Act, Government Code Chapter 7 of
Division 1 of Title 2, §8607.1(e) and CCR Title 19, §§2445-2448.
Provisions of Title 2, 6, 28, 44 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures; Part 20,
Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable
Research and Statistical Information; Part 23, Criminal Intelligence Systems
Operating Policies; Part 30, Intergovernmental Review of Department of Justice
Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services; Part 38, Equal Treatment of Faith-based
Organizations; Part 42, Nondiscrimination/Equal Employment Opportunities
Policies and Procedures; Part 61, Procedures for Implementing the National
Environmental Policy Act; Part 63, Floodplain Management and Wetland
Protection Procedures; Part 64, Floodplain Management and Wetland Protection
Procedures; Federal laws or regulations applicable to Federal Assistance
Programs; Part 69, New Restrictions on Lobbying; Part 70, Uniform
Administrative Requirements for Grants and Cooperative Agreements (including
sub-awards) with Institutions of Higher Learning, Hospitals and other Non-Profit
Organizations; and Part 83, Government-Wide Requirements for a Drug Free
Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and Safe Streets
Act of 1968, as amended, 42 USC 3789(d), or the Juvenile Justice and
Delinquency Prevention Act, or the Victims of Crime Act, as appropriate; the
provisions of the current edition of the Office of Justice Programs Financial and
Administrative Guide for Grants, M7100.1, and all other applicable Federal laws,
orders, circulars, or regulations.
1. Travel Expenses
Subrecipient, as provided herein, will be compensated for Subrecipient’s
reasonable travel expenses incurred in the performance of this
Page 21
Agreement, to include travel and per diem, unless otherwise expressed.
Subrecipient’s total travel for in-State and/or out-of-State and per diem
costs must be included in the contract budget(s). All travel, including out-
of-State travel, that is not included in the budget(s) will not be reimbursed
without prior written authorization from the County of Los Angeles.
Subrecipient’s administrative-related travel and per diem reimbursement
costs will not be reimbursed. For programmatic-related travel costs,
Subrecipient’s reimbursement rates may not exceed the amounts
established under the grant.
C. Compliance With Grant Requirements
To obtain the grant funds, the State required an authorized representative of the
County of Los Angeles to sign certain promises regarding the way the grant
funds would be spent. These requirements are included in Exhibit F and in the
State's “Grant Assurances”. By signing these Grant Assurances and accepting
Exhibit F, the County of Los Angeles became liable to the State for any funds
that are used in violation of the grant requirements. The State's Grant
Assurances are incorporated into this Agreement through Exhibit D.
Subrecipient will be liable to the Grantor for any funds the State determines the
Subrecipient used in violation of these Grant Assurances.
Pursuant to this Agreement, Subrecipient shall execute the 2021 Certification of
Grant Assurances in Exhibit D, accepting and agreeing to abide by all
provisions, assurances, and requirements therein. Subrecipient agrees to
indemnify and hold harmless the County of Los Angeles for any sums the State
or Federal government determines Subrecipient used in violation of the Grant
Assurances.
To the extent Exhibit D conflicts with language or provisions contained in this
Agreement, or contains more restrictive requirements under Federal and State
law, Exhibit D shall control.
D. Noncompliance With Grant Requirements
Subrecipient understands that failure to comply with any of the above
assurances and requirements, including Exhibit D, may result in suspension,
termination or reduction of grant funds, and repayment by the Subrecipient to
the County of Los Angeles of any unauthorized expenditures.
§412. Federal, State and Local Taxes
Federal, State and local taxes are the responsibility of the Subrecipient as an
independent party and not of the County of Los Angeles and must be paid prior
to requesting reimbursement. However, these taxes are an allowable expense
under the grant program.
Page 22
§413. Inventions, Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery ("Invention") patentable or
otherwise under Title 35 of the U.S. Code, including, without limitation, processes
and business methods made in the course of work under this Agreement, the
Subrecipient must report the fact and disclose the Invention promptly and fully to
the County of Los Angeles. The County of Los Angeles will report the fact and
disclose the Invention to the State. Unless there is a prior agreement between
the County of Los Angeles and the State, the State will determine whether to
seek protection on the Invention. The State will determine how the rights in the
Invention, including rights under any patent issued thereon, will be allocated and
administered in order to protect the public interest consistent with the policy
(“Policy”) embodied in the Federal Acquisition Regulations System, which is
based on Ch. 18 of Title 35 U.S.C. Sections 200 et seq. (Pub. L. 95-517, Pub. L.
98-620, Title 37 CFR Part 401); Presidential Memorandum on Government
Patent Policy to the Heads of the Executive Departments and Agencies, dated
2/18/1983); and Executive Order 12591, 4/10/87, 52 FR 13414, Title 3 CFR,
1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR
48661, Title 3 CFR, 1987 Comp., p. 262). Subrecipient hereby agrees to be
bound by the Policy, and will contractually require its personnel to be bound by
the Policy.
B. Rights to Use Inventions
As applicable, County of Los Angeles will have an unencumbered right, and a
non-exclusive, irrevocable, royalty-free license to use, manufacture, improve
upon, and allow others to do so for all government purposes, any Invention
developed under this Agreement.
C. Copyright Policy
1. Unless otherwise provided by the State or the terms of this Agreement,
when copyrightable material ("Material") is developed under this
Agreement, the County of Los Angeles, at its discretion, may copyright the
Material. If the County of Los Angeles declines to copyright the Material,
the County of Los Angeles will have an unencumbered right, and a non-
exclusive, irrevocable, royalty-free license, to use, manufacture, improve
upon, and allow others to do so for all government purposes, any Material
developed under this Agreement.
2. The State will have an unencumbered right, and a non-exclusive,
irrevocable, royalty-free license, to use, manufacture, improve upon, and
allow others to do so for all government purposes, any Material developed
under this Agreement or any Copyright purchased under this Agreement.
3. Subrecipient must comply with Title 24 CFR 85.34.
Page 23
D. Rights to Data
The State and the County of Los Angeles will have unlimited rights or copyright
license to any data first produced or delivered under this Agreement. “Unlimited
rights” means the right to use, disclose, reproduce, prepare derivative works,
distribute copies to the public, and perform and display publicly, or permit others
to do so; as required by Title 48 CFR 27.401. Where the data are not first
produced under this Agreement or are published copyrighted data with the notice
of 17 U.S.C. Section 401 or 402, the State acquires the data under a copyright
license as set forth in Title 48 CFR 27.404(f)(2) instead of unlimited rights. (Title
48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
Subrecipient must require all subcontractors to comply with the obligations of this
section by incorporating the terms of this section into all subcontracts.
§414. Child Support Assignment Orders
Under the terms of this Agreement, Subrecipient must, as applicable, comply
with California Family Code Section 5230 et seq.
§415. Minority, Women, And Other Business Enterprise Outreach Program
It is the policy of the County of Los Angeles to provide Minority Business
Enterprises, Women Business Enterprises and all other business enterprises an
equal opportunity to participate in the performance of all Subrecipient’s contracts,
including procurement, construction and personal services. This policy applies to
all of the Subrecipient’s contractors and sub-contractors.
§416. Compliance with Fair Chance Employment Practices
Subrecipient shall comply with fair chance employment hiring practices set forth
in California Government Code Section 12952, Employment Discrimination:
Conviction History. Subrecipient’s violation of this paragraph of the Agreement t
may constitute a material breach of the Agreement. In the event of such material
breach, County of Los Angeles may, in its sole discretion, terminate the
Agreement.
§417. Method of Payment and Required Information
The County of Los Angles may, at its sole discretion, determine the most
appropriate, efficient, secure, and timely form of payment provided under this
Agreement. Subrecipient further agrees that the default form of payment shall be
Electronic Funds Transfer (EFT) or Direct Deposit, unless an alternative method
of payment is deemed appropriate by the A-C.
Page 24
Subrecipient shall provide the A-C with electronic banking and related
information for the Subrecipient and/or any other payee that the Subrecipient
designates to receive payment pursuant to this Agreement at
https://directdeposit.lacounty.gov/. Such electronic banking and related
information includes, but is not limited to: bank account number and routing
number, legal business name, valid taxpayer identification number or TIN, a
working e-mail address capable of receiving remittance advices and other
payment related correspondence, and any other information that the A-C
determines is reasonably necessary to process the payment and comply with all
accounting, record keeping, and tax reporting requirements.
Any provision of law, grant, or funding agreement requiring a specific form or
method of payment other than EFT or Direct Deposit shall supersede this
requirement with respect to those payments. At any time during the duration of
this Agreement, the Subrecipient may submit a written request for an exemption
to this requirement and must be based on specific legal, business or operational
needs and explain why the payment method designated by the A-C is not
feasible and an alternative is necessary. The A-C, in consultation with CEO, shall
decide whether to approve exemption requests.
SECTION V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
§501. Defaults
Should either party fail for any reason to comply with the contractual obligations
of this Agreement within the time specified by this Agreement, the non-breaching
party reserves the right to terminate the Agreement, reserving all rights under
State and Federal law.
§502. Termination
This Agreement may be terminated, in whole or in part, from time to time, when
such action is deemed by the County of Los Angeles, in its sole discretion, to be
in its best interest. Termination of work hereunder shall be effected by notice of
termination to the Subrecipient specifying the extent to which performance of
work is terminated and the date upon which such termination becomes effective.
The date upon which such termination becomes effective shall be no less than
ten (10) days after the notice is sent.
§503. Amendments
Except as otherwise provided in this paragraph, any change in the terms of this
Agreement, including changes in the services to be performed by Subrecipient,
Page 25
that are agreed to by the Subrecipient and the County of Los Angeles must be
incorporated into this Agreement by a written amendment properly signed by
persons who are authorized to bind the parties. Notwithstanding the foregoing,
any increase or decrease of the grant amount specified in §301.A., above, or any
extension of the performance period specified in §201, above, does not require a
written amendment, but may be effectuated by a written notification by the
County of Los Angeles to the Subrecipient.
SECTION VI
ENTIRE AGREEMENT
§601. Complete Agreement
This Agreement contains the full and complete Agreement between the two
parties. Neither verbal agreement nor conversation or other communication with
any officer or employee of either party will affect or modify any of the terms and
conditions of this Agreement.
§602. Number of Pages and Attachments
This Agreement may be executed utilizing wet, scanned digital, and electronic
signatures, each of which is deemed to be an original. This Agreement includes
(26) pages and (8) Exhibits which constitute the entire understanding and
agreement of the parties.
[Remainder of this page intentionally left blank]
Page 26
IN WITNESS WHEREOF, the Subrecipient and County of Los Angeles have caused
this Agreement to be executed by their duly authorized representatives.
COUNTY OF LOS ANGELES
BY _________ ________
FESIA A. DAVENPORT Date
Chief Executive Officer
BY __________________________ BY _________________
CELIA ZAVALA ARLENE BARRERA
Executive Officer, Board of Supervisors Auditor-Controller
APPROVED AS TO FORM
DAWYN R, HARRISON
Acting County Counsel
BY__________________________
Deputy County Counsel
CITY OF AZUSA
BY_____________________________ ________________________ __________________
City Representative/Title (Signature) (Print Name) Date
APPROVED AS TO FORM
BY_____________________________ ________________________ __________________
City Attorney (Signature) (Print Name) Date
ATTEST
BY_____________________________ ________________________ _________________
City Clerk (Signature) (Print Name) Date
EXHIBITS
Exhibit A Certification and Disclosure Regarding Lobbying
Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit C Certification Regarding Drug-Free Workplace
Exhibit D Certification of Grant Assurances
Exhibit E Final Grant Award Letter and Project Worksheet
Exhibit F 2021 Notice of Funding Opportunity
Exhibit G Reimbursement Form and Instructions
Exhibit H Monitoring Instrument
$SSURYHGE\20%
'LVFORVXUHRI/REE\LQJ$FWLYLWLHV&DO2(6 5HYLVHG
INSTRUCTIONS FOR COMPLETION OF SF-LLL,
DISCLOSURE OF LOBBYING ACTIVITIES
7KLVGLVFORVXUHIRUPVKDOOEHFRPSOHWHGE\WKHUHSRUWLQJHQWLW\ZKHWKHUVXEDZDUGHHRUSULPH)HGHUDO
UHFLSLHQWDWWKHLQLWLDWLRQRUUHFHLSWRIDFRYHUHG)HGHUDODFWLRQRUDPDWHULDOFKDQJHWRDSUHYLRXVILOLQJ
SXUVXDQWWRTitle 31 U.S.C. Section 13527KHILOLQJRIDIRUPLVUHTXLUHGIRUHDFKSD\PHQWRUDJUHHPHQW
WRPDNHSD\PHQWWRDQ\OREE\LQJHQWLW\IRULQIOXHQFLQJRUDWWHPSWLQJWRLQIOXHQFHDQRIILFHURUHPSOR\HH
RIDQ\DJHQF\D0HPEHURI&RQJUHVVDQRIILFHURUHPSOR\HHRI&RQJUHVVRUDQHPSOR\HHRID
0HPEHURI&RQJUHVVLQFRQQHFWLRQZLWKDFRYHUHG)HGHUDODFWLRQ8VHWKH6)///$&RQWLQXDWLRQ
6KHHWIRUDGGLWLRQDOLQIRUPDWLRQLIWKHVSDFHRQWKHIRUPLVLQDGHTXDWH&RPSOHWHDOOLWHPVWKDWDSSO\IRU
ERWKWKHLQLWLDOILOLQJDQGPDWHULDOFKDQJHUHSRUW5HIHUWRWKHLPSOHPHQWLQJJXLGDQFHSXEOLVKHGE\WKH
2IILFHRI0DQDJHPHQWDQG%XGJHWIRUDGGLWLRQDOLQIRUPDWLRQ
,GHQWLI\WKHW\SHRIFRYHUHG)HGHUDODFWLRQIRUZKLFKOREE\LQJDFWLYLW\LVDQGRUKDVEHHQVHFXUHG
WRLQIOXHQFHWKHRXWFRPHRIDFRYHUHG)HGHUDODFWLRQ
,GHQWLI\WKHVWDWXVRIWKHFRYHUHG)HGHUDODFWLRQ
,GHQWLI\WKHDSSURSULDWHFODVVLILFDWLRQRIWKLVUHSRUW,IWKLVLVDIROORZXSUHSRUWFDXVHGE\D
PDWHULDOFKDQJHWRWKHLQIRUPDWLRQSUHYLRXVO\UHSRUWHGHQWHUWKH\HDUDQGTXDUWHULQZKLFKWKH
FKDQJHRFFXUUHG(QWHUWKHGDWHRIWKHODVWSUHYLRXVO\VXEPLWWHGUHSRUWE\WKLVUHSRUWLQJHQWLW\
IRUWKLVFRYHUHG)HGHUDODFWLRQ
(QWHUWKHIXOOQDPHDGGUHVVFLW\VWDWHDQG]LSFRGHRIWKHUHSRUWLQJHQWLW\,QFOXGH
&RQJUHVVLRQDO'LVWULFWLINQRZQ&KHFNWKHDSSURSULDWHFODVVLILFDWLRQRIWKHUHSRUWLQJHQWLW\WKDW
GHVLJQDWHVLILWLVRUH[SHFWVWREHDSULPHRUVXEDZDUGUHFLSLHQW,GHQWLI\WKHWLHURIWKH
VXEDZDUGHHHJWKHILUVWVXEDZDUGHHRIWKHSULPHLVWKHVWWLHU6XEDZDUGVLQFOXGHEXWDUH
QRWOLPLWHGWRVXEFRQWUDFWVVXEJUDQWVDQGFRQWUDFWDZDUGVXQGHUJUDQWV
,IWKHRUJDQL]DWLRQILOLQJWKHUHSRUWLQLWHPFKHFNV³6XEDZDUGHH´WKHQHQWHUWKHIXOOQDPH
DGGUHVVFLW\VWDWHDQG]LSFRGHRIWKHSULPH)HGHUDOUHFLSLHQW,QFOXGH&RQJUHVVLRQDO'LVWULFWLI
NQRZQ
(QWHUWKHQDPHRIWKH)HGHUDODJHQF\PDNLQJWKHDZDUGRUORDQFRPPLWPHQW,QFOXGHDWOHDVW
RQHRUJDQL]DWLRQDOOHYHOEHORZDJHQF\QDPHLINQRZQ)RUH[DPSOH'HSDUWPHQWRI
7UDQVSRUWDWLRQ8QLWHG6WDWHV&RDVW*XDUG
(QWHUWKH)HGHUDOSURJUDPQDPHRUGHVFULSWLRQIRUWKHFRYHUHG)HGHUDODFWLRQ LWHP ,I
NQRZQHQWHUWKHIXOO&DWDORJRI)HGHUDO'RPHVWLF$VVLVWDQFH &)'$ QXPEHUIRUJUDQWV
FRRSHUDWLYHDJUHHPHQWVORDQVDQGORDQFRPPLWPHQWV
(QWHUWKHPRVWDSSURSULDWH)HGHUDOLGHQWLI\LQJQXPEHUDYDLODEOHIRUWKH)HGHUDODFWLRQLGHQWLILHG
LQLWHP HJ5HTXHVWIRU3URSRVDO 5)3 QXPEHU ,QYLWDWLRQIRU%LG ,)% QXPEHU VXEJUDQW
DQQRXQFHPHQWQXPEHU WKHFRQWUDFWVXEJUDQWRUORDQDZDUGQXPEHU WKHDSSOLFDWLRQSURSRVDO
FRQWUROQXPEHUDVVLJQHGE\WKH)HGHUDODJHQF\ ,QFOXGHSUHIL[HVHJ´5)3'( ´
)RUDFRYHUHG)HGHUDODFWLRQZKHUHWKHUHKDVEHHQDQDZDUGRUORDQFRPPLWPHQWE\WKH
)HGHUDODJHQF\HQWHUWKH)HGHUDODPRXQWRIWKHDZDUGORDQFRPPLWPHQWIRUWKHSULPHHQWLW\
LGHQWLILHGLQLWHPRU
Cal OES 2-232
EXHIBIT A
Page 1 of 4
$SSURYHGE\20%
'LVFORVXUHRI/REE\LQJ$FWLYLWLHV&DO2(6 5HYLVHG
D (QWHUWKHIXOOQDPHDGGUHVVFLW\VWDWHDQG]LSFRGHRIWKHOREE\LQJHQWLW\HQJDJHGE\WKH
UHSRUWLQJHQWLW\LGHQWLILHGLQLWHPWRLQIOXHQFHWKHFRYHUHG)HGHUDODFWLRQ
E (QWHUWKHIXOOQDPHVRIWKHLQGLYLGXDO V SHUIRUPLQJVHUYLFHVDQGLQFOXGHIXOODGGUHVVLI
GLIIHUHQWIURP D (QWHU/DVW1DPH)LUVW1DPHDQG0LGGOH,QLWLDO 0,
(QWHUWKHDPRXQWRIFRPSHQVDWLRQSDLGRUUHDVRQDEO\H[SHFWHGWREHSDLGE\WKHUHSRUWLQJHQWLW\
LWHP WRWKHOREE\LQJHQWLW\ LWHP ,QGLFDWHZKHWKHUWKHSD\PHQWKDVEHHQPDGH DFWXDO
RUZLOOEHPDGH SODQQHG &KHFNDOOER[HVWKDWDSSO\,IWKLVLVDPDWHULDOFKDQJHUHSRUWHQWHU
WKHFXPXODWLYHDPRXQWRISD\PHQWPDGHRUSODQQHGWREHPDGH
&KHFNWKHDSSURSULDWHER[ HV &KHFNDOOER[HVWKDWDSSO\,ISD\PHQWLVPDGHWKURXJKDQLQ
NLQGFRQWULEXWLRQVSHFLI\WKHQDWXUHDQGYDOXHRIWKHLQNLQGSD\PHQW
&KHFNWKHDSSURSULDWHER[ HV &KHFNDOOER[HVWKDWDSSO\,IRWKHUVSHFLI\QDWXUH
3URYLGHDVSHFLILFDQGGHWDLOHGGHVFULSWLRQRIWKHVHUYLFHVWKDWWKHOREE\LVWKDVSHUIRUPHGRUZLOO
EHH[SHFWHGWRSHUIRUPDQGWKHGDWH V RIDQ\VHUYLFHVUHQGHUHG,QFOXGHDOOSUHSDUDWRU\DQG
UHODWHGDFWLYLW\QRWMXVWWLPHVSHQWLQDFWXDOFRQWDFWZLWK)HGHUDORIILFLDOV,GHQWLI\WKH)HGHUDO
RIILFLDO V RUHPSOR\HH V FRQWDFWHGRUWKHRIILFHU V HPSOR\HH V RU0HPEHU V RI&RQJUHVV
WKDWZHUHFRQWDFWHG
&KHFNZKHWKHURUQRWD6)///$&RQWLQXDWLRQ6KHHW V LVDWWDFKHG
7KHFHUWLI\LQJRIILFLDOVKDOOVLJQDQGGDWHWKHIRUPSULQWKLVKHUQDPHWLWOHDQGWHOHSKRQH
QXPEHU
3XEOLFUHSRUWLQJEXUGHQIRUWKLVFROOHFWLRQRILQIRUPDWLRQLVHVWLPDWHGWRDYHUDJHPLQXWHVSHU
UHVSRQVHLQFOXGLQJWLPHIRUUHYLHZLQJLQVWUXFWLRQVVHDUFKLQJH[LVWLQJGDWDVRXUFHVJDWKHULQJDQG
PDLQWDLQLQJWKHGDWDQHHGHGDQGFRPSOHWLQJDQGUHYLHZLQJWKHFROOHFWLRQRILQIRUPDWLRQ6HQG
FRPPHQWVUHJDUGLQJWKHEXUGHQHVWLPDWHRUDQ\RWKHUDVSHFWRIWKLVFROOHFWLRQRILQIRUPDWLRQ
LQFOXGLQJVXJJHVWLRQVIRUUHGXFLQJWKLVEXUGHQWRWKH2IILFHRI0DQDJHPHQWDQG%XGJHW
3DSHUZRUN5HGXFWLRQ3URMHFW :DVKLQJWRQ'&
Cal OES 2-232
EXHIBIT A
Page 2 of 4
$SSURYHGE\20%
'LVFORVXUHRI/REE\LQJ$FWLYLWLHV&DO2(6 5HYLVHG
DISCLOSURE OF LOBBYING ACTIVITIES
&RPSOHWHWKLVIRUPWRGLVFORVHOREE\LQJDFWLYLWLHVSXUVXDQWWR86&
1. Type of Federal Action:2. Status of Federal Action:3. Report Type:
DLQLWLDOILOLQJ
EPDWHULDOFKDQJH
For Material Change Only:
Year Quarter
GDWHRIODVWUHSRUW
DFRQWUDFW
EJUDQW
FFRRSHUDWLYHDJUHHPHQW
GORDQ
HORDQJXDUDQWHH
IORDQLQVXUDQFH
DELGRIIHUDSSOLFDWLRQ
ELQLWLDODZDUG
FSRVWDZDUG
4. Name and Address of Reporting Entity:
5. If Reporting Entity in No. 4 is Subawardee,
Enter Name and Address of Prime:
3ULPH 6XEDZDUGHH
Tier, If known:
Congressional District, if known:Congressional District, if known:
6. Federal Department/Agency:7. Federal Program Name/Description:
&)'$1XPEHULIDSSOLFDEOH
8. Federal Action Number, if known:9. Award Amount, if known:
10. a. Name and Address of Lobbying Entity LILQGLYLGXDOODVWQDPHILUVWQDPH0,
DWWDFK&RQWLQXDWLRQ6KHHW V 6)///$LIQHFHVVDU\
b. Individuals Performing Services
ODVWQDPHILUVWQDPH0,LQFOXGHDGGUHVVLIGLIIHUHQWIURPD
11. Amount of Payment (check all that apply)
:13.Type of Payment (check all that apply):
Actual Planned DUHWDLQHU
12. Form of Payment (check all that apply):ERQHWLPHIHH
DFDVKFFRPPLVVLRQ
ELQNLQG VSHFLI\
GFRQWLQJHQWIHH
nature value
HGHIHUUHG
IRWKHU VSHFLI\
14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s), employee(s), or
Member(s) contacted, for Payment indicated in item 11: DWWDFK&RQWLQXDWLRQ6KHHW V 6)///$LIQHFHVVDU\
15. Continuation Sheet(s) SF-LLL-A attached: <HV1R
6LJQDWXUH
1DPH
7LWOH
7HOHSKRQH
(area code)
16.,QIRUPDWLRQUHTXHVWHGWKURXJKWKLVIRUPLVDXWKRUL]HGE\Title 31 U.S.C. Section 1352
7KLVGLVFORVXUHRIOREE\LQJDFWLYLWLHVLVDPDWHULDOUHSUHVHQWDWLRQRIIDFWXSRQZKLFK
UHOLDQFHZDVSODFHGE\WKHWLHUDERYHZKHQWKLVWUDQVDFWLRQZDVPDGHRUHQWHUHGLQWR
7KLVGLVFORVXUHLVUHTXLUHGSXUVXDQWWR31 U.S.C. 13527KLVLQIRUPDWLRQZLOOEH
UHSRUWHGWRWKH&RQJUHVVVHPLDQQXDOO\DQGZLOOEHDYDLODEOHIRUSXEOLFLQVSHFWLRQ$Q\
SHUVRQZKRIDLOVWRILOHWKHUHTXLUHGGLVFORVXUHVKDOOEHVXEMHFWWRDFLYLOSHQDOW\RIQRW
OHVVWKDQDQGQRWPRUHWKDQIRUHDFKVXFKIDLOXUH'DWH
Federal Use Only:Authorized for Local Reproduction
Standard Form – LLL
B B A
✔
Department of Homeland Security
Homeland Security Grant Program
97.067
Cal OES 2-232
County of Los Angeles
Chief Executive Office - HSGA
500 West Temple Street, Room B-79-2
Los Angeles, CA 90012
EXHIBIT A
Page 3 of 4
$SSURYHGE\20%
'LVFORVXUHRI/REE\LQJ$FWLYLWLHV&DO2(6 5HYLVHG
DISCLOSURE OF LOBBYING ACTIVITIES
CONCONTINUATION SHEET
Continuation of 10 a-b DGGLWLRQDOVKHHWVPD\EHDGGHGLIQHFHVVDU\
5HSRUWLQJ(QWLW\
/DVW1DPH )LUVW1DPH 0,
$GGUHVV&LW\ =LS
/DVW1DPH )LUVW1DPH 0,
$GGUHVV&LW\ =LS
/DVW1DPH )LUVW1DPH 0,
$GGUHVV&LW\ =LS
/DVW1DPH )LUVW1DPH 0,
$GGUHVV&LW\ =LS
Continuation of 14: DGGLWLRQDOVKHHWVPD\EHDGGHGLIQHFHVVDU\
%ULHI'HVFULSWLRQRI6HUYLFHVDQG3D\PHQWVLQGLFDWHGLQLWHP
$XWKRUL]HGIRU/RFDO5HSURGXFWLRQ
6WDQGDUG)RUP±///$
EXHIBIT A
Page 4 of 4
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION
LOWER TIER COVERED TRANSACTIONS
This certification is required by the regulations Implementing Exec utive Order 12549,
Debarment and Suspension, 24 CFR Part 24 Section 24.51 O, Participants' responsibilities.
(READ ATTACHED INSTRUCTIONS FOR CERTIFI CATION BEFORE
COMPLETING)
1.The prospective recipient of Federal assistance funds certifies that neither itnor its principals are presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in
this transaction by any Federal department or agency.
2.Where the prospective recipient of Federal assistance funds is unable to
certify to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
AGREEMENT NUMBER
CONTRACTOR/BORROWER/AGENCY
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE DATE
EXHIBIT B
Page 1 of 2
INSTRUCTIONS FOR CERTIFICATION
1.By signing and submitting this document,the prospective recipient of Federal assistance
Is providing the certification as set out below.
2.The certification in this clause Is a material representation of fact upon which reliance
was placed when this transaction was entered into.If it is later determined that the
prospective recipient of Federal assistance funds knowingly rendered an erroneous
certification,in addition to other remedies available to the Federal Government,the
department or agency with which this transaction originated may pursue available
remedies,including suspension andlor debarment.
3.The prospective recipient of Federal assistance funds shall provide immediate written
notice to the person to which this agreement Is entered,If at any time the prospective
recipient of Federal assistance funds learns that its certification was erroneous,when
submitted or has become erroneous by reason of changed circumstances.
4.The terms “covered transaction,”“debarred,”“suspended,”“ineligible,”“lower tier
covered transaction,”“participant,”“person,””primary covered transaction,”‘principal,”
“proposal,”and “voluntarily excluded,”as used in this clause,have the meanings set out
in the Definitions and Coverage sections of rules implementing Executive Order 12549.
5.The prospective recipient of Federal assistance funds agrees by submitting this proposal
that,should the proposed covered transaction be entered into,it shall not knowingly
enter into any lower tier coveted transaction with a person who is debarred,suspended,
declared Ineligible,or voluntarily excluded from participation on this coveted transaction,
unless authorized by the department or agency with which this transaction originated.
6.The prospective recipient of Federal assistance funds further agrees by submitting this
proposal that it will include the clause titled “Certification Regarding Debarment,
Suspension,Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions,”
without modification,in all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
7.A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction,unless it knows that the certification is
erroneous.A participant may decide the method and frequency by which it determines
the eligibility of Its principals.Each participant may,but is not requited to,check the List
of Parties Excluded from Procurement or Non Procurement Programs.
6.Nothing contained in the foregoing shall be construed to require establishment of a
system of records in order to render in good faith the certification required by this clause.
The knowledge and information of a participant is not requited to exceed that which is
normally possessed by a prudent person in the ordinary course of business dealings.
9.Except for transactions authorized under Paragraph 5 of these instructions,if a
participant In a covered transaction knowingly enters into a lower tier covered transaction
with a person who is suspended,debarred,ineligible,or voluntary excluded form
participation in this transaction,in addition to other remedies available to the Federal
Government,the department or agency with which this transaction originated may pursue
available remedies,including suspension and/or debarment.
EXHIBIT B
Page 2 of 2
STATE OF CALIFORNIA
DRUG-FREE WORKPLACE CERTIFICATION
STD. 21
COMPANY/ORGANIZATION NAME:
The contractor or grant recipient named above hereby certifies compliance with Government Code Section 8355 in
matters relating to providing a drug-free workplace. The above-named contractor or recipient will:
1.Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or
use of a controlled substance is prohibited and specifying actions to be taken against employees for violations,
as required by Government Code Section 8355(a).
2.Establish a Drug-Free Awareness Program as required by Government Code Section 8355(b), to inform
employees about all of the following:
(a) The dangers of drug abuse in the workplace,
(b) The person’s or organization’s policy of maintaining a drug-free workplace,
(c) Any available counseling, rehabilitation and employee assistance programs, and
(d) Penalties that may be imposed upon employees for drug abuse violations.
3.Provide as required by Government Code Section 8355(c), that every employee who works on the proposed
contract or subgrant:
(a) Will receive a copy of the company’s drug-free policy statement, and
(b) Will agree to abide by the terms of the company’s statement as a condition of employment on the contract
or subgrant.
CERTIFICATION
I, the official named below, hereby swear that I am duly authorized legally to bind the contractor or Recipient to the above
described certification. I am fully aware that this certification, executed on the date and in the county below, is made under
penalty of perjury under the laws of the State of California.
OFFICAL’S NAME DATE EXECUTED
EXECUTED IN THE COUNTY OF
CONTRACTOR or RECEIPEINT SIGNATURE
TITLE
FEDERAL I.D. NUMBER
EXHIBIT C
Page 1 of 2
STATEMENT ON THE DRUG-FREE WORKPLACE
To comply with the enactment of Senate Bill 1120, (Chapter 1170, Statutes of 1990), which established the
Drug-Free Workplace Act of 1990, the
(your agency) accordingly provides this statement of compliance.
In order to maintain funding eligibility, state agencies, along with those in receipt of grant and contractual
awards, must certify that they provide drug-free workplaces and have issued drug-free workplace statements
to their employees [Section 8355(a) of the Government Code]. Consequently, in accordance with this directive,
this statement is issued to meet this requirement.
The (your agency), an agency within the State of California has adopted this
statement in compliance with legislation which addresses issues to avoid the dangers arising from drug and
alcohol abuse in the workplace. These dangers include death and injury to the employee, co-workers, or the
public resulting from accidents, dereliction of duty, poor judgment and carelessness. Substance abuse also
results in lost productivity, reduced efficiency, and increased absenteeism by the substance abuser and
interferes with the job performance of employees who do not use illegal or unauthorized substances. [Section
8355(b)(1)]
California law prohibits the unlawful manufacture, dispensation, possession, or illegal use of a controlled
substance. That prohibition extends to all places and includes the worksite of California state employees.
[Section 8355(a)]
Employees convicted of a violation of criminal drug statute, when the violation occurred at an employee’s
worksite, shall report the conviction to the granting and monitoring State agency upon conviction. [Section
8356(a)(1)(2)]
In the event of the unlawful manufacture, distribution, dispensation, possession or illegal use of a controlled
substance at a State worksite, the State may take disciplinary action pursuant to the law and/or require the
satisfactory completion of a drug abuse assistance or rehabilitation program. [Section 8355(b)(4)]
The Employee Assistance Program (EAP) provides drug problem assessment and referral to appropriate
counseling and rehabilitation services. The EAP is available to all agency employees. Procedures exist to
ensure the confidentiality of EAP records. Contact your personnel office for further information.
It is the intent of the (your agency) to ensure by execution of this statement of
compliance that each employee shall abide by the terms of this drug-free workplace statement. [Section
8355(c)]
EXHIBIT C
Page 2 of 2
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 1 of 14 Initials
As the duly authorized representative of the Applicant, I hereby certify that the
Applicant has the legal authority to apply for federal assistance and the institutional,
managerial and financial capability (including funds sufficient to pay any non-federal
share of project cost) to ensure proper planning, management, and completion of the
project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all
requirements within the:
(a)Applicable Federal Regulations (see below);
(b)Federal Program Notice of Funding Opportunity (NOFO);
(c)Federal Preparedness Grants Manual;
(d)California Supplement to the NOFO; and
(e)Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements, and audit
requirements for federal grant programs are set forth in Title 2, Part 200 of the Code of
Federal Regulations (C.F.R.). Updates are issued by the Office of Management and
Budget (OMB) and can be found at http://www.whitehouse.gov/omb/.
State and federal grant award requirements are set forth below. The Applicant hereby
agrees to comply with the following:
1.Proof of Authority
The Applicant will obtain proof of authority from the city council, governing board, or
authorized body in support of this project. This written authorization must specify that
the Applicant and the city council, governing board, or authorized body agree:
(a)To provide all matching funds required for the grant project and that any cash
match will be appropriated as required;
(b)Any liability arising out of the performance of this agreement shall be the
responsibility of the Applicant and the city council, governing board, or
authorized body;
(c)Grant funds shall not be used to supplant expenditures controlled by the city
council, governing board, or authorized body;
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 2 of 14 Initials
(d) Applicant is authorized by the city council, governing board, or authorized
body to apply for federal assistance, and the institutional, managerial and
financial capability (including funds sufficient to pay the non-federal share of
project cost, if any) to ensure proper planning, management and completion
of the project described in this application; and
(e) Official executing this agreement is authorized by the Applicant.
This Proof of Authority must be maintained on file and readily available upon request.
2. Period of Performance
The period of performance is specified in the Award. The Applicant is only authorized
to perform allowable activities approved under the award, within the period of
performance.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons
entering into a contract, grant, loan, or cooperative agreement from an agency or
requests or receives from an agency a commitment providing for the United States to
insure or guarantee a loan, the Applicant certifies that:
(a) No federal appropriated funds have been paid or will be paid, by or on behalf
of the undersigned, to any person for influencing or attempting to influence an
officer or employee of an agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, the making of any
federal grant, the making of any federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any federal contract, grant, loan, or
cooperative agreement.
(b) If any funds other than federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this
federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, “Disclosure Form to Report
Lobbying”, in accordance with its instructions.
(c) The undersigned shall require that the language of this certification be
included in the award documents for all subawards at all tiers (including
subcontracts, subgrants, and contracts under grants, loans, and cooperative
agreements) and that all subrecipients shall certify and disclose accordingly.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 3 of 14 Initials
The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§ 1501- 1508
and §§ 7324-7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with federal funds.
Finally, the Applicant agrees that federal funds will not be used, directly or indirectly,
to support the enactment, repeal, modification or adoption of any law, regulation or
policy without the express written approval from the California Governor’s Office of
Emergency Services (Cal OES) or the federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 C.F.R. § 200.213 and codified
in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection
against waste, fraud, and abuse by debarring or suspending those persons deemed
irresponsible in their dealings with the federal government. The Applicant certifies that
it and its principals, recipients, or subrecipients:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by any federal
department or agency;
(b) Have not within a three-year period preceding this application been convicted
of or had a civil judgment rendered against them for commission of fraud or
a criminal offense in connection with obtaining, attempting to obtain, or
performing a public (federal, state, or local) transaction or contract under a
public transaction; violation of federal or state antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (federal, state, or local) with commission of any of the
offenses enumerated in paragraph (2)(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or
more public transaction (federal, state, or local) terminated for cause or
default.
Where the Applicant is unable to certify to any of the statements in this certification,
he or she shall attach an explanation to this application.
5. Non-Discrimination and Equal Employment Opportunity
The Applicant will comply with all state and federal statutes relating to non-
discrimination, including:
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 4 of 14 Initials
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §
2000d et. seq.) which prohibits discrimination on the basis of race, color, or
national origin and requires that recipients of federal financial assistance take
reasonable steps to provide meaningful access to persons with limited English
proficiency (LEP) to their programs and services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§ 1681-1683, and
1685-1686), which prohibits discrimination on the basis of sex in any federally
funded educational program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits
discrimination against those with disabilities or access and functional needs;
(d) Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. §§ 12101- 12213), which
prohibits discrimination on the basis of disability and requires buildings and
structures be accessible to those with disabilities and access and functional
needs;
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits
discrimination on the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd—2), relating to
confidentiality of patient records regarding substance abuse treatment;
(g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to
nondiscrimination in the sale, rental or financing of housing as implemented by
the Department of Housing and Urban Development at 24 C.F.R. Part100. The
prohibition on disability discrimination includes the requirement that new
multifamily housing with four or more dwelling units—i.e., the public and
common use areas and individual apartment units (all units in buildings with
elevators and ground-floor units in buildings without elevators)— be designed
and constructed with certain accessible features (See 24 C.F.R. § 100.201);
(h) Executive Order 11246, which prohibits federal contractors and federally
assisted construction contractors and subcontractors, who do over $10,000 in
Government business in one year from discriminating in employment decisions
on the basis of race, color, religion, sex, sexual orientation, gender
identification or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of race, color,
religion, sex, sexual orientation, gender identification, or national origin in hiring
and employment in both the United States federal workforce and on the part
of government contractors;
(j) California Public Contract Code § 10295.3, which prohibits discrimination based
on domestic partnerships and those in same sex marriages;
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 5 of 14 Initials
(k) DHS policy to ensure the equal treatment of faith-based organizations, under
which all applicants and recipients must comply with equal treatment policies
and requirements contained in 6 C.F.R. Part 19;
(l) The Applicant will comply with California’s Fair Employment and Housing Act
(FEHA) (California Government Code §§12940, 12945, 12945.2), as applicable.
FEHA prohibits harassment and discrimination in employment because of
ancestry, familial status, race, color, religious creed (including religious dress
and grooming practices), sex (which includes pregnancy, childbirth,
breastfeeding and medical conditions related to pregnancy, childbirth or
breastfeeding), gender, gender identity, gender expression, sexual orientation,
marital status, national origin, ancestry, mental and physical disability, genetic
information, medical condition, age, pregnancy, denial of medical and family
care leave, or pregnancy disability leave, military and veteran status, and/or
retaliation for protesting illegal discrimination related to one of these
categories, or for reporting patient abuse in tax supported institutions;
(m) Any other nondiscrimination provisions in the specific statute(s) under which
application for federal assistance is being made; and
(n) The requirements of any other nondiscrimination statute(s) that may apply to this
application.
6. Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), the
Applicant certifies that it will maintain a drug-free workplace and a drug-free
awareness program as outlined in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, including:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code
§§ 21000- 21177), to include coordination with the city or county planning
agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3,
§§ 15000- 15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the
basic structure for regulating discharges of pollutants into the waters of the
United States and regulating quality standards for surface waters;
(d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions
from stationary and mobile sources;
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 6 of 14 Initials
(e) Institution of environmental quality control measures under the National
Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on
Environmental Quality Regulations for Implementing the Procedural Provisions
of NEPA; and Executive Order 12898 which focuses on the environmental and
human health effects of federal actions on minority and low-income
populations with the goal of achieving environmental protection for all
communities;
(f) Evaluation of flood hazards in floodplains in accordance with Executive Order
11988;
(g) Executive Order 11514 which sets forth national environmental standards;
(h) Executive Order 11738 instituted to assure that each federal agency
empowered to enter into contracts for the procurement of goods, materials, or
services and each federal agency empowered to extend federal assistance by
way of grant, loan, or contract shall undertake such procurement and
assistance activities in a manner that will result in effective enforcement of the
Clean Air Act and the Federal Water Pollution Control Act Executive Order
11990 which requires preservation of wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523);
(j) The Endangered Species Act of 1973, (P.L. 93-205);
(k) Assurance of project consistency with the approved state management
program developed under the Coastal Zone Management Act of 1972
(16 U.S.C. §§1451 et seq.);
(l) Conformity of Federal Actions to State (Clear Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et
seq.);
(m) Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et seq.) related to
protecting components or potential components of the national wild and
scenic rivers system.
The Applicant shall not be: 1) in violation of any order or resolution promulgated by
the State Air Resources Board or an air pollution district; 2) subject to a cease and
desist order pursuant to § 13301 of the California Water Code for violation of waste
discharge requirements or discharge prohibitions; or 3) determined to be in violation
of federal law relating to air or water pollution.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 7 of 14 Initials
8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the
Applicant will cause to be performed the required financial and compliance audits in
accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code
of Federal Regulations, Part 200, Subpart F Audit Requirements.
9. Access to Records
In accordance with 2 C.F.R. § 200.336, the Applicant will give the awarding agency,
the Comptroller General of the United States and, if appropriate, the state, through
any authorized representative, access to and the right to examine all records, books,
papers, or documents related to the award. The Applicant will require any
subrecipients, contractors, successors, transferees and assignees to acknowledge
and agree to comply with this provision.
10. Conflict of Interest
The Applicant will establish safeguards to prohibit the Applicant’s employees from
using their positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest, or personal gain.
11. Financial Management
False Claims for Payment - The Applicant will comply with 31 U.S.C §§ 3729-3733
which sets forth that no subrecipient, recipient, or subrecipient shall submit a false
claim for payment, reimbursement or advance.
12. Reporting - Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding
Accountability and Transparency Act (FFATA) (P.L. 109-282), specifically (a) the
reporting of subawards obligating $25,000 or more in federal funds and (b) executive
compensation data for first-tier subawards. This includes the provisions of FFATA,
which includes requirements for executive compensation, and also requirements
implementing the Act for the non-federal entity at 2 C.F.R. Part 25 Financial
Assistance Use of Universal Identifier and Central Contractor Registration and 2 C.F.R.
Part 170 Reporting Subaward and Executive Compensation Information.
13. Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower
protections at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. §
4304 and § 4310.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 8 of 14 Initials
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking
Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant
award recipients or a subrecipient from: (1) engaging in trafficking in persons during
the period of time that the award is in effect; (2) procuring a commercial sex act
during the period of time that the award is in effect; (3) using forced labor in the
performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) The Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the
Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work
Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor
standards for federally-assisted construction contracts or subcontracts, and
(b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to
employees of institutes of higher learning (IHE), hospitals and other non-profit
organizations.
16. Worker’s Compensation
The Applicant must comply with provisions which require every employer to be
insured to protect workers who may be injured on the job at all times during the
performance of the work of this Agreement, as per the workers compensation laws
set forth in California Labor Code §§ 3700 et seq.
17. Property-Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or whose
property is acquired as a result of federal or federally-assisted programs. These
requirements apply to all interests in real property acquired for project
purposes regardless of federal participation in purchase;
(b) Comply with flood insurance purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires subrecipients
in a special flood hazard area to participate in the program and to purchase
flood insurance if the total cost of insurable construction and acquisition is
$10,000 or more;
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 9 of 14 Initials
(c) Assist the awarding agency in assuring compliance with Section 106 of the
(d) National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470),
Executive Order 11593 (identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §469a-1 et
seq.); and
(e) Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4831
and 24 CFR Part 35) which prohibits the use of lead-based paint in construction
or rehabilitation of residence structures.
18. Certifications Applicable Only to Federally-Funded Construction Projects
For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title
or other interest in the site and facilities without permission and instructions from
the awarding agency. Will record the federal awarding agency directives and
will include a covenant in the title of real property acquired in whole or in part
with federal assistance funds to assure nondiscrimination during the useful life of
the project;
(b) Comply with the requirements of the awarding agency with regard to the
drafting, review and approval of construction plans and specifications; and
(c) Provide and maintain competent and adequate engineering supervision at
the construction site to ensure that the complete work conforms with the
approved plans and specifications and will furnish progressive reports and such
other information as may be required by the assistance awarding agency or
State.
19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and
23123.5. These laws prohibit driving motor vehicle while using an electronic wireless
communications device to write, send, or read a text-based communication. Drivers
are also prohibited from the use of a wireless telephone without hands-free listening
and talking, unless to make an emergency call to 911, law enforcement, or similar
services.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 10 of 14 Initials
20. California Public Records Act and Freedom of Information Act
The Applicant acknowledges that all information submitted in the course of applying
for funding under this program, or provided in the course of an entity’s grant
management activities that are under Federal control, is subject to the Freedom of
Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act,
California Government Code section 6250 et seq. The Applicant should consider
these laws and consult its own State and local laws and regulations regarding the
release of information when reporting sensitive matters in the grant application,
needs assessment, and strategic planning process.
EMERGENCY MANAGEMENT PERFORMANCE GRANT (EMPG) –
PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS
21. Acknowledgment of Federal Funding from DHS
All recipients must acknowledge their use of federal funding when issuing statements,
press releases, requests for proposals, bid invitations, and other documents describing
projects or programs funded in whole or in part with federal funds.
22. Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States
are coordinated as necessary with appropriate government authorities and that
appropriate licenses, permits, or approvals are obtained.
23. Best Practices for Collection and Use of Personally Identifiable Information (PII)
DHS defines personally identifiable information (PII) as any information that permits the
identity of an individual to be directly or indirectly inferred, including any information
that is linked or linkable to that individual. All recipients who collect PII are required to
have a publically-available privacy policy that describes standards on the usage and
maintenance of PII they collect. Recipients may also find the DHS Privacy Impact
Assessments: Privacy Guidance and Privacy template a useful resource respectively.
24. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and
an acknowledgement of U.S. Government sponsorship (including the award number)
to any work first produced under federal financial assistance awards.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 11 of 14 Initials
25. Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in
2 C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance
awards to overcome fund deficiencies, to avoid restrictions imposed by federal
statutes, regulations, or federal financial assistance award terms and conditions, or for
other reasons. However, these prohibitions would not preclude recipients from shifting
costs that are allowable under two or more awards in accordance with existing
federal statutes, regulations, or the federal financial assistance award terms and
conditions.
26. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. § 6201 which contain
policies relating to energy efficiency that are defined in the state energy
conservation plan issued in compliance with this Act.
27. Federal Debt Status
All recipients are required to be non-delinquent in their repayment of any federal
debt. Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments. See OMB Circular A-129.
28. Fly America Act of 1974
All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers
holding certificates under 49 U.S.C. § 41102) for international air transportation of
people and property to the extent that such service is available, in accordance with
the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. §
40118) and the interpretative guidelines issued by the Comptroller General of the
United States in the March 31, 1981, amendment to Comptroller General Decision B-
138942.
29. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all
Applicants must ensure that all conference, meeting, convention, or training space
funded in whole or in part with federal funds complies with the fire prevention and
control guidelines of the Federal Fire Prevention and Control Act of 1974, as
amended, 15 U.S.C. § 2225a.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 12 of 14 Initials
30. Non-supplanting Requirement
All recipients who receive federal financial assistance awards made under programs
that prohibit supplanting by law must ensure that federal funds do not replace
(supplant) funds that have been budgeted for the same purpose through non-
federal sources.
31. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L.
No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are
subject to the specific requirements governing the development, reporting, and
disposition of rights to inventions and patents resulting from financial assistance
awards located at 37 C.F.R. Part 401 and the standard patent rights clause located
at 37 C.F.R. § 401.14.
32. SAFECOM
All recipients who receive federal financial assistance awards made under programs
that provide emergency communication equipment and its related activities must
comply with the SAFECOM Guidance for Emergency Communication Grants,
including provisions on technical standards that ensure and enhance interoperable
communications.
33. Terrorist Financing
All recipients must comply with Executive Order 13224 and U.S. law that prohibit
transactions with, and the provisions of resources and support to, individuals and
organizations associated with terrorism. Recipients are legally responsible to ensure
compliance with the Order and laws.
34. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the recipient’s currently active grants, cooperative agreements,
and procurement contracts from all federal assistance offices exceeds $10,000,000 for
any period of time during the period of performance of this federal financial
assistance award, you must comply with the requirements set forth in the
government-wide Award Term and Condition for Recipient Integrity and
Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is
incorporated here by reference in the award terms and conditions.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 13 of 14 Initials
35. USA Patriot Act of 2001
All recipients must comply with requirements of the Uniting and Strengthening
America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism
Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175–175c.
36. Use of DHS Seal, Logo, and Flags
All recipients must obtain permission from their DHS Financial Assistance Office, prior
to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS
agency officials, including use of the United States Coast Guard seal, logo, crests or
reproductions of flags or likenesses of Coast Guard officials.
EXHIBIT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 14 of 14 Initials
IMPORTANT
The purpose of the assurance is to obtain federal and state financial assistance,
including any and all federal and state grants, loans, reimbursement, contracts, etc. The
Applicant recognizes and agrees that state financial assistance will be extended based
on the representations made in this assurance. This assurance is binding on the
Applicant, its successors, transferees, assignees, etc. Failure to comply with any of the
above assurances may result in suspension, termination, or reduction of grant funds.
All appropriate documentation, as outlined above, must be maintained on file by the
Applicant and available for Cal OES or public scrutiny upon request. Failure to comply
with these requirements may result in suspension of payments under the grant or
termination of the grant or both and the subrecipient may be ineligible for award of any
future grants if the Cal OES determines that any of the following has occurred: (1) the
recipient has made false certification, or (2) violates the certification by failing to carry
out the requirements as noted above.
All of the language contained within this document must be included in the award
documents for all subawards at all tiers. All recipients are bound by the Department of
Homeland Security Standard Terms and Conditions 2020, Version 10.1, hereby
incorporated by reference, which can be found at:
https://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for and
on behalf of the Applicant.
Subrecipient:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title: Date:
EXHIBIT D
GAVIN NEWSOM MARK S.GHILARDUCCI
GOVERNOR DIRECTOR:‘Cal OES
;>1 GOVERNORS OFFICE
OF EMERGENCY SERVICES
October 23,2020
Fesia A.Davenport
Acting Chief Executive Officer
Los Angeles County
500 West Temple Street,Room 713
Los Angeles,CA 90012-0000
SUBJECT:NOTIFICATION Of SUBRECIPIENT SUBAWARD APPROVAL
Fiscal Year (FY)2020 Homeland Security Grant Program (HSGP)
Subaward #2020-0095,Cal OES ID#037-00000
Subaward Period of Performance:09/01/2020-05/31/2023
Dear Ms.Davenport:
We are pleased to announce the approval of your FY 2020 HSGP subaward in the
amount of $10,593,612.Once the completed application is received and
approved,reimbursement of eligible subaward expenditures may be requested
using the California Governor’s Office of Emergency Services (Cal OES)Financial
Management Forms Workbook.Failure to provide documentation in a timely
manner could result in a hold on funding,pursuant to Title 2,Code of Federal
Regulations (CFR),Sections 200.338(a)and 200.207(b)(1)-(2).
This subaward is subject to requirements in 2 CFR,Part 200,including the Notice of
Funding Opportunity (NOFO),the Preparedness Grants Manual,the California
Supplement to the NOFO,and all applicable federal,state,and local
requirements.All activities funded with this subaward must be completed within
the subaward period of performance.
Subrecipients must obtain additional written approval prior to incurring costs for
activities such as aviation,watercraft,allowability request logs,noncompetitive
procurement,and projects requiring Environmental Planning and Historic
Preservation review.Additionally,all projects falling under the National Priority
Investment Justifications must be reviewed and approved for effectiveness by the
3650 SCHRIEVER AVENUE,MATHER,CA 95655
.CalOES.ca.ov
EXHIBIT E
Fesia A.Davenport
October 23,2020
Page 2 of 2
Federal Emergency Management Agency (FEMA),prior to the obligation,and
expenditure of funds for those projects.
Your organization will be required to prepare and submit the Biannual Strategy
Implementation Report (BSIR)to Cal OES via the FEMA Grants Reporting Tool
(GRT)semi-annually for the duration of the subaward period of performance or
until all activities are completed and the subaward is formally closed.Failure to
submit requited reports could result in subaward reduction,suspension,or
termination.Throughout the subaward cycle,milestones set in the GRT will be
used as indicators of project feasibility,performance,and grant management
capacity.This information may also be used in assessing proposals in future grant
opportunities.
A Conditional Hold has been placed on your subaward;five percent of the
subaward must be allocated to each of the four National Priority Investment
Justifications for a total of twenty percent of the award.To release this hold,
additional information is required for the investments identified which must be
submitted in the December 2020 BSIR in a manner consistent with Grants Program
Directorate Information Bulletin No.447.
Your dated signature is required on this letter.Please sign and return the original
to your Cal OES Program Representative within 20 calendar days upon receipt
and keep a copy for your records.For further assistance,please contact your
Cal OES Program Representative.
Sincerely,
MARK S.GHILARDUCCI
Director
L1 202o
DateFesiaA.Davenport
Los Angeles County
EXHIBIT E
Azusa Ledger Type
FY 2021 State Home Security Program (SHSP) Projects Date
Grant Subaward: 2021-0081
Cal OES ID: 037-00000 POP Start Date
POP End Date
Project
No.Project Title Funding
Source Discipline Solution Area Total Budgeted
013 NPA: LE Cybersecurity Equipment 2 HSGP-SHSP LE Equipment 60,500$
018 NPA: LE Cybersecurity Training 2 HSGP-SHSP LE Training 3,000$
Total 63,500$
Project Ledger
9/1/2021
5/31/2024
Initial Application
4/25/2021
Page 1 of 6
Azusa Ledger Type Initial Application
FY 2021 State Home Security Program (SHSP) Projects Date 4/25/2021
Grant Subaward: 2021-0081
Cal OES ID: 037-00000 POP Start Date 9/1/2021
POP End Date 5/31/2024
Project
No.Planning Activity Funding
Source Discipline Solution Area Sub-
Category
Expenditure
Category Final Product
Noncompetitive
Procurement
over $250K
Budgeted Cost
$ -
Planning
Page 2 of 6
Azusa Ledger Type Initial Application
FY 2021 State Home Security Program (SHSP) Projects Date 4/25/2021
Grant Subaward: 2021-0081
Cal OES ID: 037-00000 POP Start Date 9/1/2021
POP End Date 5/31/2024
Project
No.Organization Funding
Source Discipline Solution Area
Sub-Category
Expenditure
Category Detail Certification on
File Budgeted Cost
$ -
Organization
Page 3 of 6
Azusa Ledger Type
FY 2021 State Home Security Program (SHSP) Projects Date
Grant Subaward: 2021-0081
Cal OES ID: 037-00000 POP Start Date
POP End Date
Project
No.
Equipment Description
(Include Quantity)AEL #AEL Title Funding
Source Discipline Solution Area Sub-
Category
Deployable /
Shareable
Noncompetitive
Procurement over
$250K
Hold Trigger Budgeted
Cost
$ 60,500
13.00
NPA: 1 - Dual firewalls, 12
month cloud storage for
backups, 12 - MDM for
Mobile Devices, 12 month
EndPoint Protection, 1 -
Tape BackUp system and1 -
standalone backup server
05NP-00-FWAL;
04HW-01-INHW,
05HS-00-MALW;
06CC-02-DSAD
Firewall, Network; Hardware,
Computer, Integrated;
Software, Malware/Anti-Virus
Protection; Device, Data
Service Access
HSGP-SHSP LE Information
Technology Deployable No No Hold
Indicated $ 60,500
5/31/2024
Equipment
Initial Application
4/25/2021
9/1/2021
Page 4 of 6
Azusa Ledger Type
FY 2021 State Home Security Program (SHSP) Projects Date
Grant Subaward: 2021-0081
Cal OES ID: 037-00000 POP Start Date
POP End Date
Project
No.Course Name Funding
Source Discipline Solution Area Sub-
Category
Expenditure
Category
Feedback
Number
Training
Activity
Total #
Trainee(s)
Identified
Host
Noncompetitive
Procurement EHP Hold EHP Approval Date Budgeted Cost
$ 3,000
18.00 NPA: Cybersecurity Training HSGP-SHSP LE Course Delivery
and Evaluation Consultant Classroom 10 TBD No No 3,000$
9/1/2021
5/31/2024
Training
Initial Application
4/25/2021
Page 5 of 6
Azusa Ledger Type
FY 2021 State Home Security Program (SHSP) Projects Date
Grant Subaward: 2021-0081
Cal OES ID: 037-00000 POP Start Date
POP End Date
Project
No.Exercise Title Funding
Source Discipline Solution Area Sub-
Category
Expenditure
Category
Date of
Exercise Exercise Type Identified Host
Date of AAR
entered into
HSEEP
Noncompetitive
Procurement
over $250K
EHP Hold Budgeted Cost
$ -
9/1/2021
5/31/2024
Exercise
Initial Application
4/25/2021
Page 6 of 6
1
FY 2021 HSGP NOFO Back to the Top
The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year 2021 Homeland Security Grant Program
NOTE: If you are going to apply for this funding opportunity and have not obtained an
Employer Identification Number (EIN), a Data Universal Numbering System (DUNS)
number, are not currently registered in the System for Award Management (SAM), or
your SAM registration is not active, please take immediate action to obtain an EIN and
DUNS Number, if applicable, and then register immediately in SAM or, if applicable,
renew your SAM registration. It may take four weeks or more after you submit your SAM
registration before your registration is active in SAM, then an additional 24 hours for
Grants.gov to recognize your information. Information on obtaining a DUNS number and
registering in SAM is available from Grants.gov at:
http://www.grants.gov/web/grants/register.html. Detailed information regarding DUNS, EIN,
and SAM is also provided in Section D of this NOFO under the subsection titled “How to
Register to Apply.” Detailed information regarding the time required for each registration is also
provided in Section D of this NOFO under the subsection titled “Other Key Dates.”
Table of Contents
A.Program Description ................................................................................................................ 3
1.Issued By .......................................................................................................................... 3
2.Assistance Listings Number ............................................................................................ 3
3.Assistance Listings Title .................................................................................................. 3
4. Funding Opportunity Title ............................................................................................... 3
5. Funding Opportunity Number.......................................................................................... 3
6. Authorizing Authority for Program ................................................................................. 3
7. Appropriation Authority for Program .............................................................................. 3
8. Announcement Type ........................................................................................................ 3
9. Program Category ............................................................................................................ 3
10.Program Overview, Objectives, and Priorities ................................................................ 3
11.Performance Metrics ........................................................................................................ 9
B.Federal Award Information ................................................................................................... 10
1. Available Funding for the NOFO .................................................................................. 10
2. Projected Number of Awards…. .................................................................................... 13
3.Period of Performance ................................................................................................... 13
4.Projected Period of Performance Start Date(s) .............................................................. 13
5.Projected Period of Performance End Date(s) ............................................................... 13
6. Funding Instrument Type ............................................................................................... 13
C.Eligibility Information ........................................................................................................... 13
1.Eligible Applicants......................................................................................................... 13
2. Applicant Eligibility Criteria ......................................................................................... 14
3.Other Eligibility Criteria ................................................................................................ 14
4.Cost Share or Match....................................................................................................... 15
D.Application and Submission Information .............................................................................. 15
1.Key Dates and Times ..................................................................................................... 15
2. Agreeing to Terms and Conditions of the Award .......................................................... 17
EXHIBIT F
2
FY 2021 HSGP NOFO Back to the Top
3. Address to Request Application Package ...................................................................... 17
4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award
Management (SAM), and Submit an Application ......................................................... 17
5.Electronic Delivery ........................................................................................................ 18
6. How to Register to Apply through Grants.gov .............................................................. 18
7.How to Submit an Initial Application to FEMA via Grants.gov ................................... 18
8.Submitting the Final Application in ND Grants ............................................................ 19
9.Timely Receipt Requirements and Proof of Timely Submission .................................. 19
10. Content and Form of Application Submission ............................................................... 20
11.Other Submission Requirements .................................................................................... 32
12.Intergovernmental Review ............................................................................................. 32
13. Funding Restrictions and Allowable Costs .................................................................... 32
E.Application Review Information ........................................................................................... 41
1.Application Evaluation Criteria ..................................................................................... 41
2.Review and Selection Process ....................................................................................... 43
F.Federal Award Administration Information .......................................................................... 46
1.Notice of Award ............................................................................................................. 46
2.Pass-Through Requirements .......................................................................................... 47
3.Administrative and National Policy Requirements ........................................................ 48
4. Reporting........................................................................................................................ 51
5. Monitoring and Oversight .............................................................................................. 51
G.DHS Awarding Agency Contact Information ....................................................................... 52
1.Contact and Resource Information ................................................................................ 52
2.Systems Information ...................................................................................................... 53
H.Additional Information .......................................................................................................... 53
1.Termination Provisions .................................................................................................. 54
2.Period of Performance Extensions ................................................................................. 54
EXHIBIT F
3
FY 2021 HSGP NOFO Back to the Top
A.Program Description
1.Issued By
U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency
(FEMA)/Grant Programs Directorate (GPD)
2.Assistance Listings Number
97.067
3.Assistance Listings Title
Homeland Security Grant Program
4.Funding Opportunity Title
Fiscal Year 2021 Homeland Security Grant Program (HSGP)
•State Homeland Security Program (SHSP)
•Urban Area Security Initiative (UASI)
•Operation Stonegarden (OPSG)
5.Funding Opportunity Number
DHS-21-[GPD]-[067]-[00]-[02]
6.Authorizing Authority for Program
Section 2002 of the Homeland Security Act of 2002 (Pub. L. No. 107-296, as amended) (6
U.S.C. § 603)
7.Appropriation Authority for Program
Department of Homeland Security Appropriations Act, 2021 (Pub. L. No. 116-260)
8.Announcement Type
Initial
9.Program Category
Preparedness: Community Security
10.Program Overview, Objectives, and Priorities
a.Overview
The Fiscal Year (FY) 2021 Homeland Security Grant Program (HSGP) is one of three grant
programs that constitute the DHS/FEMA focus on enhancing the ability of state, local, tribal,
and territorial governments, as well as nonprofits, to prevent, protect against, respond to, and
recover from terrorist attacks. These grant programs are part of a comprehensive set of
measures authorized by Congress and implemented by DHS to help strengthen the Nation’s
communities against potential terrorist attacks. Among the five basic homeland security
missions noted in the DHS Strategic Plan, HSGP supports the goal to Strengthen National
Preparedness and Resilience.
EXHIBIT F
4
FY 2021 HSGP NOFO Back to the Top
In FY 2021, there are three components of HSGP:
1)State Homeland Security Program (SHSP): SHSP assists state, local, tribal, and
territorial efforts to build, sustain, and deliver the capabilities necessary to prevent,
prepare for, protect against, and respond to acts of terrorism.
2)Urban Area Security Initiative (UASI): UASI assists high-threat, high-density Urban
Area efforts to build, sustain, and deliver the capabilities necessary to prevent,
prepare for, protect against, and respond to acts of terrorism.
3)Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and
coordination among Customs and Border Protection (CBP), United States Border
Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies
to improve overall border security. OPSG provides funding to support joint efforts to
secure the United States’ borders along routes of ingress/egress to and from
international borders, to include travel corridors in states bordering Mexico and
Canada, as well as states and territories with international water borders. State, local,
tribal, and territorial (SLTT) law enforcement agencies utilize their inherent law
enforcement authorities to support the border security mission and do not receive any
additional authority as a result of participation in OPSG.
The 2018-2022 FEMA Strategic Plan creates a shared vision for reducing the risks posed by
terrorism and sets an ambitious, yet achievable, path forward to unify and further
professionalize emergency management across the country. HSGP supports the goals of
Building a Culture of Preparedness and Readying the Nation for Catastrophic Disasters. We
invite our stakeholders and partners to also adopt these priorities and join us in building a
more prepared and resilient Nation, as preparedness is a shared responsibility and funding
should support priorities that are most impactful and demonstrate the greatest return on
investment.
For FY 2021, DHS is focused on the criticality of information sharing and collaboration to
building a national culture of preparedness and protecting against terrorism and other
emerging threats to our national security. DHS and its homeland security mission were born
from the “failures among federal agencies and between the federal agencies and state and
local authorities to share critical information related to the threat of terrorism” prior to the
September 11, 2001, attacks.1 The threat profile has changed in the past two decades – we
now face continuous cyber threats by sophisticated actors, threats to soft targets and crowded
places, threats from domestic violent extremists, and threats from new and emerging
technologies. But information sharing and cooperation among state, local, and tribal
authorities and federal agencies, including all DHS officials, is just as vital, and perhaps even
more vital, today. Therefore, for FY 2021, we have identified five priority areas, tied to some
of the most serious threats that DHS would like to see addressed by state and local
1 Homeland Security Act of 2002: Report Together with Minority and Dissenting Views 222, Select Committee on
Homeland Security: 107th Congress, U.S. House of Representatives (2002) (H. Rpt. 107-609).
EXHIBIT F
5
FY 2021 HSGP NOFO Back to the Top
governments, that recipients will need to address with their HSGP funds. Perhaps most
importantly, we will be focused on forging partnerships to strengthen information sharing
and collaboration in each of these priority areas and looking for recipients to remove barriers
to communication and cooperation with DHS and other federal agencies.
b. Objective
The objective of the FY 2021 HSGP is to fund state, local, tribal, and territorial efforts to
prevent terrorism and prepare the Nation for threats and hazards that pose the greatest risk to
the security of the United States.
c. Priorities
Given the evolving threat landscape, it is incumbent upon DHS/FEMA to continuously
evaluate the national risk profile and set priorities that help ensure appropriate allocation of
scarce security dollars. In assessing the national risk profile for FY 2021, five priority areas
attract the most concern. Due to the unique threats that the nation faces in 2021, DHS/FEMA
has determined that these five priorities should be addressed by allocating specific
percentages of SHSP and UASI funds to each of these five areas, for a total of 30 percent per
award. The following are the five priority areas for FY 2021, along with the corresponding
percentage of SHSP and UASI funds that each recipient will be required to designate to each
priority area in order to obtain a full allocation of SHSP and UASI funds:
1) Enhancing cybersecurity – 7.5 percent
2) Enhancing the protection of soft targets/crowded places – 5 percent
3) Enhancing information and intelligence sharing and analysis, and cooperation with
federal agencies, including DHS – 5 percent
4) Combating domestic violent extremism – 7.5 percent
5) Addressing emergent threats (e.g., transnational criminal organizations, unmanned
aircraft systems [UASs], weapons of mass destruction [WMD], etc.) – 5 percent
Failure by a recipient to propose investments and projects that align with the five priority
areas and spending requirements will result in a recipient having a portion of their SHSP and
UASI funds (up to 30 percent) placed on hold until they provide projects that sufficiently
align to the National Priority Areas, and total at least the minimum percentage identified
above of total SHSP and UASI funds per National Priority Area.
A state or high-risk urban area must allocate the remaining 70 percent of their funding to
gaps identified through their Threat and Hazard Identification and Risk Assessment (THIRA)
and Stakeholder Preparedness Review (SPR) process.
Likewise, there are several enduring security needs that crosscut the homeland security
enterprise to which recipients should consider allocating funding across core capability gaps
and national priorities. The following are enduring needs that help recipients implement a
comprehensive approach to securing communities:
1) Effective planning;
2) Training and awareness campaigns;
EXHIBIT F
6
FY 2021 HSGP NOFO Back to the Top
3) Equipment and capital projects; and
4)Exercises.
SHSP and UASI Funding Priorities
The table below provides a breakdown of the FY 2021 SHSP and UASI priorities (the focus
of OPSG remains unique to border security), showing the core capabilities enhanced and
lifelines supported, as well as examples of eligible project types for each area. A detailed
description of allowable investments for each project type is included in the Preparedness
Grants Manual. DHS/FEMA anticipates that in future years, national priorities will continue
to be included and will be updated as the threats evolve and as capability gaps are closed.
Applicants are strongly encouraged to begin planning to sustain existing capabilities through
funding mechanisms other than DHS preparedness grants.
FY 2021 SHSP & UASI Funding Priorities
Priority Areas Core Capabilities Lifelines Example Project Types
National Priorities
Enhancing
Cybersecurity •Cybersecurity
•Intelligence and information
sharing
•Planning
•Public information and
warning
•Operational coordination
•Screening, search, and
detection
•Access control and identity
verification
•Supply chain integrity and
security
•Risk management for
protection programs and
activities
•Long-term vulnerability
reduction
•Situational assessment
•Infrastructure systems
•Operational communications
•Safety and
Security
•Cybersecurity risk assessments
•Migrating online services to the “.gov”
internet domain
•Projects that address vulnerabilities
identified in cybersecurity risk
assessments
o Improving cybersecurity of critical
infrastructure to meet minimum levels
identified by the Cybersecurity and
Infrastructure Security Agency (CISA)
o Cybersecurity training and planning
Enhancing the
Protection of
Soft Targets/
Crowded Places
•Operational coordination
•Public information and
warning
•Intelligence and information
sharing
•Interdiction and disruption
•Screening, search, and
detection
•Access control and identity
verification
•Physical protective measures
•Risk management for
protection programs and
activities
•Safety and
Security
•Operational overtime
•Physical security enhancements
o Closed-circuit television (CCTV)
security cameras
o Security screening equipment for
people and baggage
o Lighting
o Access controls
o Fencing, gates, barriers, etc.
EXHIBIT F
7
FY 2021 HSGP NOFO Back to the Top
Priority Areas Core Capabilities Lifelines Example Project Types
Enhancing
information and
intelligence
sharing and
analysis, and
cooperation with
federal agencies,
including DHS
•Intelligence and information
sharing
•Interdiction and disruption
•Planning
•Public information and
warning
•Operational coordination
•Risk management for
protection programs and
activities
•Safety and
Security
•Fusion center operations (Fusion Center
project will be required under this
investment, no longer as a stand-alone
investment)
•Information sharing with all DHS
components; fusion centers; other
operational, investigative, and analytic
entities; and other federal law
enforcement and intelligence entities
•Cooperation with DHS officials and other
entities designated by DHS in
intelligence, threat recognition,
assessment, analysis, and mitigation
•Identification, assessment, and reporting
of threats of violence
•Joint intelligence analysis training and
planning with DHS officials and other
entities designated by DHS
Combating
Domestic
Violent
Extremism
•Interdiction and disruption
•Screening, search and
detection
•Physical protective measures
•Intelligence and information
sharing
•Planning
•Public information and
warning
•Operational coordination
•Risk management for
protection programs and
activities
•Safety and
Security
•Open source analysis of misinformation
campaigns, targeted violence and threats
to life, including tips/leads, and
online/social media-based threats
•Sharing and leveraging intelligence and
information, including open source
analysis
•Execution and management of threat
assessment programs to identify, evaluate,
and analyze indicators and behaviors
indicative of domestic violent extremists
•Training and awareness programs (e.g.,
through social media, suspicious activity
reporting [SAR] indicators and behaviors)
to help prevent radicalization
•Training and awareness programs (e.g.,
through social media, SAR indicators and
behaviors) to educate the public on
misinformation campaigns and resources
to help them identify and report potential
instances of domestic violent extremism
Addressing
Emergent
Threats, such as
the activities of
Transnational
Criminal
Organizations,
open source
threats, and
threats from
UAS and WMD
•Interdiction & disruption
•Screening, search and
detection
•Physical protective measures
•Intelligence and information
sharing
•Planning
•Public Information and
Warning
•Operational Coordination
•Safety and
Security
•Sharing and leveraging intelligence and
information
•UAS detection technologies
•Enhancing WMD and/or improvised
explosive device (IED) prevention,
detection, response and recovery
capabilities
o Chemical/Biological/Radiological/
Nuclear/Explosive (CBRNE)
detection, prevention, response, and
recovery equipment
Enduring Needs
Planning •Planning •Safety and
Security
•Development of:
o Security Risk Management Plans
EXHIBIT F
8
FY 2021 HSGP NOFO Back to the Top
Priority Areas Core Capabilities Lifelines Example Project Types
•Risk management for
protection programs and
activities
•Risk and disaster resilience
assessment
•Threats and hazards
identification
•Operational coordination
•Community resilience
o Threat Mitigation Plans
o Continuity of Operations Plans
o Response Plans
•Efforts to strengthen governance
integration between/among regional
partners
•Joint training and planning with DHS
officials and other entities designated by
DHS
•Cybersecurity training and planning
Training &
Awareness •Long-term vulnerability
reduction
•Public information and
warning
•Operational coordination
•Situational assessment
•Community resilience
•Safety and
Security
•Active shooter training
•Intelligence analyst training
•SAR and terrorism indicators/behaviors
training
•Security training for employees
•Public awareness/preparedness campaigns
•Joint training and planning with DHS
officials and other entities designated by
DHS
•Cybersecurity training and planning
Equipment &
Capital Projects
•Long-term vulnerability
reduction
•Infrastructure systems
•Operational communications
•Interdiction and disruption
•Screening, search and
detection
•Access control and identity
verification
•Physical protective measures
•Safety and
Security
•Protection of high-risk, high-consequence
areas or systems that have been identified
through risk assessments
•Physical security enhancements
o Security cameras (CCTV)
o Security screening equipment for
people and baggage
o Lighting
o Access Controls
Fencing, gates, barriers, etc.
Exercises •Long-term vulnerability
reduction
•Operational coordination
•Operational communications
•Community resilience
•Safety and
Security
•Response exercises
For FY 2021, each SHSP and UASI recipient is required to submit an Investment
Justification (IJ) for each of the five National Priority Areas identified above. Each of these
five investments must also account for at least the relevant minimum percentage of the
applicant’s SHSP and UASI allocation. The fusion center project must be included under the
Information and Intelligence Sharing IJ. State Administrative Agencies (SAAs) may submit
complete project-level information at the time of application, including the five National
Priority Area IJs, but are not required to do so. As a reminder, all SHSP- and UASI-funded
projects must have a demonstrated nexus to preventing, preparing for, protecting against, and
responding to acts of terrorism. However, such projects may simultaneously support
enhanced preparedness for disasters unrelated to acts of terrorism.
DHS/FEMA also requires SHSP and UASI recipients (states, territories, and high-risk urban
areas) to complete a THIRA/SPR and prioritize grant funding to support closing capability
gaps or sustaining capabilities that address national priorities and/or support enduring needs.
EXHIBIT F
9
FY 2021 HSGP NOFO Back to the Top
Additional information on the THIRA/SPR process, including other National Preparedness
System (NPS) tools and resources, can be found at https://www.fema.gov/national-
preparedness-system. Detailed information on THIRA/SPR timelines and deadlines can be
found in the Preparedness Grants Manual.
OPSG Funding Priorities
The table below provides a breakdown of the FY 2021 OPSG funding priorities, which
remain focused on and unique to border security.
FY 2021 OPSG Funding Priorities
Priority Areas Core Capabilities Lifelines Example Project Types
National Priorities
Enhancing
information and
intelligence
sharing and
analysis, and
cooperation with
federal agencies,
including DHS
• Intelligence and
information sharing
• Safety and
Security
• Participation in the DHS/ICE 287(g)
training program
• Information sharing with all DHS
components; fusion centers; other
operational, investigative, and analytic
entities; and other federal law
enforcement and intelligence entities
• Cooperation with DHS officials and other
entities designated by DHS in
intelligence, threat recognition,
assessment, analysis, and mitigation
• Identification, assessment, and reporting
of threats of violence
• Joint intelligence analysis training and
planning with DHS officials and other
entities designated by DHS
Addressing
Emergent
Threats, such as
the activities of
Transnational
Criminal
Organizations
• Interdiction & disruption
• Screening, search and
detection
• Physical protective
measures
• Intelligence and
information sharing
• Safety and
Security
• Operational overtime for border security
operations as directed by the applicable,
USBP-approved operations order
• Sharing and leveraging intelligence and
information
For FY 2021, each OPSG applicant is required to clearly articulate and identify how the
Concept of Operations addresses each of the two national priorities identified above.
11. Performance Metrics
Performance metrics for this program:
SHSP and UASI:
• Percentage of funding allocated by the recipient to core capabilities to build or sustain
national priorities identified in the section above
EXHIBIT F
10
FY 2021 HSGP NOFO Back to the Top
OPSG:
• Number of contacts that occurred as a result of OPSG deployments
o Number of arrests that resulted from OPSG contacts
o Value of drug seizures that resulted from OPSG contacts
B. Federal Award Information
1. Available Funding for the NOFO: $1,120,000,000.00
HSGP Programs FY 2021 Allocation
SHSP $415,000,000
UASI $615,000,000
OPSG $90,000,000
Total $1,120,000,000
SHSP Allocations
For FY 2021, DHS/FEMA will award SHSP funds based on DHS/FEMA’s relative risk
methodology and statutory minimums pursuant to the Homeland Security Act of 2002, as
amended. THIRA/SPR results do not impact grant allocation or award.
Each state and territory will receive a minimum allocation under the SHSP using thresholds
established in the Homeland Security Act of 2002, as amended. All 50 States, the District of
Columbia, and the Commonwealth of Puerto Rico will receive 0.35 percent of the total funds
allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of
2002, as amended. Each of the four territories (American Samoa, Guam, the Northern
Mariana Islands, and the U.S. Virgin Islands) will receive a minimum allocation of 0.08
percent of the total funds allocated for grants under Section 2003 and 2004 of the Homeland
Security Act of 2002, as amended.
Each state must include a separate IJ for each of the five National Priority Areas identified in
the Priorities section, above. All projects related to the National Priority Area must be
included in the IJ. The funding level in each National Priority Area investment must equal
or exceed the percentage for that respective National Priority Area, calculated as a
percentage of the state’s SHSP allocation in the table below.
FY 2021 SHSP ALLOCATIONS
State/Territory FY 2021
Allocation
State/Territory FY 2021
Allocation
Alabama $4,602,500 Montana $4,602,500
Alaska $4,602,500 Nebraska $4,602,500
American Samoa $1,052,000 Nevada $4,602,500
Arizona $4,602,500 New Hampshire $4,602,500
Arkansas $4,602,500 New Jersey $7,345,897
California $59,220,807 New Mexico $4,602,500
Colorado $4,602,500 New York $70,639,800
EXHIBIT F
11
FY 2021 HSGP NOFO Back to the Top
State/Territory FY 2021
Allocation
State/Territory FY 2021
Allocation
Connecticut $4,602,500 North Carolina $5,280,222
Delaware $4,602,500 North Dakota $4,602,500
District of Columbia $5,280,222 Northern Mariana Islands $1,052,000
Florida $9,701,894 Ohio $6,428,138
Georgia $5,491,278 Oklahoma $4,602,500
Guam $1,052,000 Oregon $4,602,500
Hawaii $4,602,500 Pennsylvania $8,447,973
Idaho $4,602,500 Puerto Rico $4,602,500
Illinois $14,427,260 Rhode Island $4,602,500
Indiana $4,602,500 South Carolina $4,602,500
Iowa $4,602,500 South Dakota $4,602,500
Kansas $4,602,500 Tennessee $4,602,500
Kentucky $4,602,500 Texas $18,908,141
Louisiana $4,602,500 U.S. Virgin Islands $1,052,000
Maine $4,602,500 Utah $4,602,500
Maryland $7,345,897 Vermont $4,602,500
Massachusetts $6,428,138 Virginia $8,447,973
Michigan $5,280,222 Washington $6,428,138
Minnesota $4,602,500 West Virginia $4,602,500
Mississippi $4,602,500 Wisconsin $4,602,500
Missouri $4,602,500 Wyoming $4,602,500
Total $415,000,000
UASI Allocations
Eligible candidates for the FY 2021 UASI program are identified in the table below.
Eligibility has been determined through an analysis of relative risk of terrorism faced by the
100 most populous Metropolitan Statistical Areas (MSAs) in the United States, in accordance
with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is
publicly available from the United States Census Bureau at
https://www.census.gov/programs-surveys/metro-micro.html. THIRA/SPR results do not
impact grant allocation or award.
The following table identifies the UASI allocations for each high-risk urban area based on
DHS/FEMA’s relative risk methodology pursuant to the Homeland Security Act of 2002, as
amended.
In its application, each high-risk urban area, through the state, must include a separate IJ for
each of the five National Priority Areas identified in the Priorities section, above. All
projects related to the National Priority Area must be included in the IJ. The funding
level in each National Priority Area investment must equal or exceed the percentage for that
respective National Priority Area, calculated as a percentage of the urban area’s UASI
allocation in the table below.
EXHIBIT F
12
FY 2021 HSGP NOFO Back to the Top
2021 UASI ALLOCATIONS
State/Territory Urban Area FY 2021 UASI Allocation
Arizona Phoenix Area $5,250,000
California
Anaheim/Santa Ana Area $5,250,000
Bay Area $37,500,000
Los Angeles/Long Beach Area $68,000,000
Riverside Area $3,900,000
Sacramento Area $3,800,000
San Diego Area $16,900,000
Colorado Denver Area $3,900,000
District of Columbia National Capital Region $51,750,000
Florida
Miami/Fort Lauderdale Area $14,750,000
Orlando Area $3,800,000
Tampa Area $3,800,000
Georgia Atlanta Area $6,250,000
Hawaii Honolulu Area $3,800,000
Illinois Chicago Area $68,000,000
Maryland Baltimore Area $4,250,000
Massachusetts Boston Area $16,900,000
Michigan Detroit Area $5,250,000
Minnesota Twin Cities Area $5,250,000
Missouri St. Louis Area $3,800,000
Nevada Las Vegas Area $5,250,000
New Jersey Jersey City/Newark Area $19,050,000
New York New York City Area $178,750,000
North Carolina Charlotte Area $3,800,000
Oregon Portland Area $3,800,000
Pennsylvania Philadelphia Area $16,900,000
Texas
Dallas/Fort Worth/Arlington Area $16,900,000
Houston Area $24,600,000
San Antonio Area $3,800,000
Virginia Hampton Roads Area $3,800,000
Washington Seattle Area $6,250,000
Total $615,000,000
OPSG Allocations
For FY 2021, DHS/FEMA will award OPSG funds based on risk and the anticipated
effectiveness of the proposed use of grant funds upon completion of the application review
process. The FY 2021 OPSG risk assessment is designed to identify the risk to border
security and to assist with the distribution of funds for the grant program. Funding under
OPSG is distributed based on the risk to the security of the border and the effectiveness of
the proposed projects. Entities eligible for funding are the state, local, and tribal law
EXHIBIT F
13
FY 2021 HSGP NOFO Back to the Top
enforcement agencies that are located along the border of the United States. DHS/FEMA will
make final award determinations based upon a review of the anticipated effectiveness of the
state’s application as described in Section D, below. The THIRA/SPR process is not required
for OPSG.
For the purposes of OPSG, the risk is defined as the potential for an adverse outcome
assessed as a function of threats, vulnerabilities, and consequences associated with an
incident, event, or occurrence.
Based upon ongoing intelligence analysis and extensive security reviews, DHS/CBP
continues to focus the bulk of OPSG funds based upon risk analyses. The risk model used to
allocate OPSG funds considers the potential risk that certain threats pose to border security
and estimates the relative risk faced by a given area. In evaluating risk, DHS/CBP considers
intelligence, situational awareness, criminal trends, and statistical data specific to each of the
border sectors, and the potential impacts that these threats pose to the security of the border
area. For vulnerability and consequence, DHS/CBP considers the expected impact and
consequences of successful border events occurring in specific areas.
Threat and vulnerability are evaluated based on specific operational data from DHS/CBP.
Threat components present in each of the sectors are used to determine the overall threat
score. These components are terrorism, criminal aliens, drug trafficking organizations, and
alien smuggling organizations.
Effectiveness of the proposed investments will be evaluated based on the recipient’s
investment strategy, budget, collaboration, and past performance.
2. Projected Number of Awards: 56
3. Period of Performance: 36 months
Extensions to the period of performance are allowed. For additional information on period of
performance extensions, please refer to Section H of this NOFO and the Preparedness Grants
Manual.
FEMA awards under this program only include one budget period, so it will be same as the
period of performance. See 2 C.F.R. § 200.1 for definitions of “budget period” and “period of
performance.”
4. Projected Period of Performance Start Date(s): 10/01/2021
5. Projected Period of Performance End Date(s): 09/30/2024
6. Funding Instrument Type: Grant
C. Eligibility Information
1. Eligible Applicants
The SAA is the only entity eligible to submit HSGP applications to DHS/FEMA, including
EXHIBIT F
14
FY 2021 HSGP NOFO Back to the Top
those applications submitted on behalf of UASI and OPSG applicants. All 56 states and
territories, including any state of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the
Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. Tribal
governments may not apply directly for HSGP funding; however, funding may be available
to tribes under the SHSP and OPSG through the SAA.
2. Applicant Eligibility Criteria
Eligible high-risk urban areas for the FY 2021 UASI program have been determined through
an analysis of relative risk of terrorism faced by the 100 most populous MSAs in the United
States. Subawards will be made by the SAAs to the designated high-risk urban areas.
In FY 2021, OPSG eligible subrecipients are local units of government at the county level or
equivalent level of government and federally recognized tribal governments in states
bordering Canada or Mexico and states and territories with international water borders. All
applicants must have active ongoing USBP operations coordinated through a CBP sector
office to be eligible for OPSG funding.
In FY 2021, OPSG subrecipients eligible to apply for and receive a subaward directly from
the SAAs are divided into three Tiers. Tier 1 entities are local units of government at the
county level or equivalent and federally recognized tribal governments that are on a physical
border in states bordering Canada, states bordering Mexico, and states and territories with
international water borders. Tier 2 eligible subrecipients are those not located on the physical
border or international water but are contiguous to a Tier 1 county. Tier 3 eligible
subrecipients are those not located on the physical border or international water but are
contiguous to a Tier 2 eligible subrecipient. The tier structure is only applicable with regard
to eligibility. OPSG funding allocations are based on the assessed border security risks as
determined by the USBP.
An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may
be deemed ineligible when the person that submitted the application is not: 1) a current
employee, personnel, official, staff, or leadership of the non-federal entity; and 2) duly
authorized to apply for an award on behalf of the non-federal entity at the time of
application.
Further, the Authorized Organization Representative (AOR) must be a duly authorized
current employee, personnel, official, staff, or leadership of the recipient and provide an
email address unique to the recipient at the time of application and upon any change in
assignment during the period of performance. Consultants or contractors of the recipient
are not permitted to be the AOR of the recipient.
3. Other Eligibility Criteria
a. National Incident Management System (NIMS) Implementation
Prior to allocation of any federal preparedness awards, recipients must ensure and maintain
adoption and implementation of NIMS. The list of objectives used for progress and
EXHIBIT F
15
FY 2021 HSGP NOFO Back to the Top
achievement reporting is on FEMA’s website at https://www.fema.gov/emergency-
managers/nims/implementation-training.
Please see the Preparedness Grants Manual for more information on NIMS.
b. Emergency Management Assistance Compact (EMAC) Membership
In support of the National Preparedness Goal (the Goal), SHSP recipients must belong to, be
in, or act as a temporary member of EMAC, except for American Samoa and the
Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC
at this time. All assets supported in part or entirely with FY 2021 HSGP funding must be
readily deployable and NIMS-typed when possible to support emergency or disaster
operations per existing EMAC agreements. In addition, funding may be used for the
sustainment of core capabilities that, while they may not be physically deployable, support
national response capabilities, such as Geographic/Geospatial Information Systems (GIS),
interoperable communications systems, capabilities as defined under the Mitigation Mission
Area of the Goal, and fusion centers.
c. Law Enforcement Terrorism Prevention Activities (LETPA)
Per section 2006 of the Homeland Security Act of 2002, as amended (6 U.S.C. § 607),
DHS/FEMA is required to ensure that at least 25 percent of grant funding appropriated for
grants awarded under HSGP’s authorizing statute are used for LETPAs. DHS/FEMA meets
this requirement, in part, by requiring all recipients allocate at least 25 percent of the
combined HSGP funds allocated under SHSP and UASI towards LETPAs, as defined in 6
U.S.C. § 607. The LETPA allocation can be from SHSP, UASI, or both. The 25 percent
LETPA allocation may be met by funding projects in any combination of the five National
Priority Areas identified above and any other investments. The 25 percent LETPA allocation
requirement is in addition to the 80 percent pass-through requirement to local units of
government and tribes, referenced below.
The National Prevention Framework describes those activities that should be executed upon
the discovery of intelligence or information regarding an imminent threat to the homeland, to
thwart an initial or follow-on terrorist attack and provides guidance to ensure the Nation is
prepared to identify, prevent, avoid, or stop a threatened or actual act of terrorism. Activities
outlined in the National Prevention Framework are eligible for use as LETPA-focused funds.
Also, where capabilities are shared with the protection mission area, the National Protection
Framework activities are also eligible. All other terrorism prevention activities proposed for
funding under LETPA must be approved by the FEMA Administrator.
4. Cost Share or Match
There is no cost share or match requirement for the FY 2021 HSGP.
D. Application and Submission Information
1. Key Dates and Times
a. Application Start Date: 02/25/2021
EXHIBIT F
16
FY 2021 HSGP NOFO Back to the Top
b. Application Submission Deadline: 05/14/2021 at 05 PM ET
All applications must be received by the established deadline.
The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is
submitted. Applicants will receive an electronic message confirming receipt of their
submission. For additional information on how an applicant will be notified of application
receipt, see the subsection titled “Timely Receipt Requirements and Proof of Timely
Submission” in Section D of this NOFO.
FEMA will not review applications that are received after the deadline or consider
these late applications for funding. FEMA may, however, extend the application deadline
on request for any applicant who can demonstrate that good cause exists to justify extending
the deadline. Good cause for an extension may include technical problems outside of the
applicant’s control that prevent submission of the application by the deadline, other exigent
or emergency circumstances, or statutory requirements for FEMA to make an award.
Applicants experiencing technical problems outside of their control must notify FEMA
as soon as possible and before the application deadline. Failure to timely notify FEMA of
the issue that prevented the timely filing of the application may preclude consideration of the
award. “Timely notification” of FEMA means: prior to the application deadline and within
48 hours after the applicant became aware of the issue.
A list of FEMA contacts can be found in Section G of this NOFO, “DHS Awarding Agency
Contact Information.” For additional assistance using the ND Grants System, please contact
the ND Grants Service Desk at (800) 865-4076 or NDGrants@fema.dhs.gov. The ND Grants
Service Desk is available Monday through Friday, 9:00 AM – 6:00 PM Eastern Time (ET).
For programmatic or grants management questions, please contact your Program Analyst or
Grants Specialist. If applicants do not know who to contact or if there are programmatic
questions or concerns, please contact the Centralized Scheduling and Information Desk
(CSID) by phone at (800) 368-6498 or by e-mail at askcsid@fema.dhs.gov, Monday through
Friday, 9 AM – 5 PM ET.
c. Anticipated Funding Selection Date: No later than 07/16/2021
d. Anticipated Award Date: No later than 09/30/2021
e. Other Key Dates:
Event Suggested Deadline for Completion
Obtaining DUNS Number Four weeks before actual submission deadline
Obtaining a valid EIN Four weeks before actual submission deadline
Creating an account with login.gov Four weeks before actual submission deadline
Registering in SAM or Updating SAM
registration Four weeks before actual submission deadline
Registering in Grants.gov Four weeks before actual submission deadline
EXHIBIT F
17
FY 2021 HSGP NOFO Back to the Top
2. Agreeing to Terms and Conditions of the Award
By submitting an application, applicants agree to comply with the requirements of this
NOFO and the terms and conditions of the award, should they receive an award.
3. Address to Request Application Package
See the Preparedness Grants Manual for requesting and submitting an application.
Initial applications are processed through the Grants.gov portal. Final applications are
completed and submitted through FEMA’s ND Grants System. Application forms and
instructions are available at Grants.gov. To access these materials, go to
http://www.grants.gov.
Hard copies of the NOFO can be downloaded at Grants.gov or obtained via email from the
Awarding Office points of contact listed in Section G of this NOFO, “DHS Awarding
Agency Contact Information” or by TTY (800) 462-7585.
4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award
Management (SAM), and Submit an Application
Applying for an award under this program is a multi-step process and requires time to
complete. Applicants are encouraged to register early as the registration process can take four
weeks or more to complete. Therefore, registration should be done in sufficient time to
ensure it does not impact your ability to meet required submission deadlines.
Please review the table above for estimated deadlines to complete each of the steps listed.
Failure of an applicant to comply with any of the required steps before the deadline for
submitting an application may disqualify that application from funding.
To apply for an award under this program, all applicants must:
a. Apply for, update, or verify their Data Universal Numbering System (DUNS) number
from Dun & Bradstreet and Employer Identification Number (EIN) from the Internal
Revenue Service;
b. In the application, provide a valid DUNS number, which is currently the unique entity
identifier;
c. Have an account with login.gov;
d. Register for, update, or verify their SAM account and ensure the account is active before
submitting the application;
e. Create a Grants.gov account;
f. Add a profile to a Grants.gov account;
g. Establish an AOR in Grants.gov;
h. Register in ND Grants
i. Submit an initial application in Grants.gov;
Starting application in Grants.gov One week before actual submission deadline
Submitting the final application in ND Grants By the submission deadline
EXHIBIT F
18
FY 2021 HSGP NOFO Back to the Top
j. Submit the final application in ND Grants, including electronically signing
applicable forms; and
k. Continue to maintain an active SAM registration with current information at all times
during which it has an active federal award or an application or plan under consideration
by a federal awarding agency. As part of this, applicants must also provide information
on an applicant’s immediate and highest-level owner and subsidiaries, as well as on all
predecessors that have been awarded federal contracts or federal financial assistance
within the last three years, if applicable.
Specific instructions on how to apply for, update, or verify a DUNS number or SAM
registration or establish an AOR are included below in the steps for applying through
Grants.gov.
Applicants are advised that FEMA may not make a federal award until the applicant has
complied with all applicable DUNS and SAM requirements. Therefore, an applicant’s SAM
registration must be active not only at the time of application, but also during the application
review period and when FEMA is ready to make a federal award. Further, as noted above, an
applicant’s or recipient’s SAM registration must remain active for the duration of an active
federal award. If an applicant’s SAM registration is expired at the time of application, expires
during application review, or expires any other time before award, FEMA may determine
that the applicant is not qualified to receive a federal award and use that determination as a
basis for making a federal award to another applicant.
Per 2 C.F.R. § 25.110(c)(2)(ii), if an applicant is experiencing exigent circumstances that
prevents it from receiving a DUNS number and completing SAM registration prior to
receiving a federal award, the applicant must notify FEMA as soon as possible by contacting
askcsid@fema.dhs.gov and providing the details of the circumstances that prevent
completion of these requirements. If FEMA determines that there are exigent circumstances
and FEMA has decided to make an award, the applicant will be required to obtain a DUNS
number and complete SAM registration within 30 days of the federal award date.
5. Electronic Delivery
DHS is participating in the Grants.gov initiative to provide the grant community with a single
site to find and apply for grant funding opportunities. DHS encourages or requires applicants
to submit their applications online through Grants.gov, depending on the funding
opportunity.
For this funding opportunity, FEMA requires applicants to submit initial applications through
Grants.gov and a final application through ND Grants.
6. How to Register to Apply through Grants.gov
For information on how to register to apply through Grants.gov, please see the Preparedness
Grants Manual.
7. How to Submit an Initial Application to FEMA via Grants.gov
Standard Form 424 (SF-424) is the initial application for this NOFO.
EXHIBIT F
19
FY 2021 HSGP NOFO Back to the Top
Grants.gov applicants can apply online using a workspace. A workspace is a shared, online
environment where members of a grant team may simultaneously access and edit different
web forms within an application. For each Notice of Funding Opportunity, you can create
individual instances of a workspace. Applicants are encouraged to submit their initial
applications in Grants.gov at least seven days before the application deadline.
In Grants.gov, applicants need to submit the following forms:
• SF-424, Application for Federal Assistance
• Grants.gov Lobbying Form, Certification Regarding Lobbying
For further information on how to submit an initial application via Grants.gov, please see the
Preparedness Grants Manual.
8. Submitting the Final Application in ND Grants
After submitting the initial application in Grants.gov, eligible applicants will be notified by
FEMA and asked to proceed with submitting their complete application package in ND
Grants. Applicants can register early with ND Grants and are encouraged to begin their ND
Grants registration at the time of this announcement or, at the latest, seven days before the
application deadline. Early registration will allow applicants to have adequate time to start
and complete their applications.
Applicants needing assistance registering for the ND Grants system should contact
ndgrants@fema.dhs.gov or (800) 865-4076. For step-by-step directions on using the ND
Grants system and other guides, please see https://www.fema.gov/grants/guidance-tools/non-
disaster-grants-management-system.
In ND Grants, applicants will be prompted to submit the standard application information
and any program-specific information required as described in Section D.10 of this NOFO,
“Content and Form of Application Submission.”. The Standard Forms (SF) are auto
generated in ND Grants, but applicants may access these forms in advance through the Forms
tab under the SF-424 family on Grants.gov. Applicants should review these forms before
applying to ensure they have all the information required.
For additional application submission requirements, including program-specific
requirements, please refer to the subsection titled “Content and Form of Application
Submission” under Section D of this NOFO.
9. Timely Receipt Requirements and Proof of Timely Submission
As application submission is a two-step process, the applicant with the AOR role who
submitted the application in Grants.gov will receive an acknowledgement of receipt and a
tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission
of its initial application. This notification does not serve as proof of timely submission, as
the application is not complete until it is submitted in ND Grants. Applicants can also
view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted
workspace section in Grants.gov, under the Agency Tracking Number column. Should the
Agency Tracking Number not appear, the application has not yet migrated from Grants.gov
EXHIBIT F
20
FY 2021 HSGP NOFO Back to the Top
into the ND Grants System. Please allow 24 hours for your ND Grants application tracking
number to migrate.
All applications must be received in ND Grants by 5 PM ET on the application deadline.
Proof of timely submission is automatically recorded by ND Grants. An electronic date/time
stamp is generated within the system when the application is successfully received by ND
Grants. Additionally, the applicant(s) listed as contacts on the application will receive a
system-generated email to confirm receipt.
10. Content and Form of Application Submission
a. Standard Required Application Forms and Information
I. GRANTS.GOV
• SF-424, Application for Federal Assistance, initial application submitted through
Grants.gov
• Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through
Grants.gov
II. ND GRANTS
• SF-424A, Budget Information (Non-Construction), submitted via the forms generated
by ND Grants
o For construction under an award, submit SF-424C, Budget Information
(Construction), submitted via the forms generated by ND Grants, in addition to
or instead of SF-424A
• SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated
by ND Grants
o For construction under an award, submit SF-424D, Standard Assurances
(Construction), submitted via the forms generated by ND Grants, in addition to
or instead of SF-424B
• SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND
Grants
• Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the
budget includes indirect costs and the applicant is required to have an indirect cost rate
agreement or proposal. If the applicant does not have or is not required to have an
indirect cost rate agreement or proposal, please see Section D.13 of this NOFO, “Funding
Restrictions and Allowable Costs,” for further information regarding allowability of
indirect costs and whether alternatives to an indirect cost rate agreement or proposal
might be available, or contact the relevant FEMA staff identified in Section G of this
NOFO, “DHS Awarding Agency Contact Information” for further instructions.
Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and
SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that
only have construction work and do not have any non-construction work need only submit
the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e.,
SF-424A and SF-424B), and vice versa. However, applicants who have both construction
and non-construction work under this program need to submit both the construction and non-
construction forms.
EXHIBIT F
21
FY 2021 HSGP NOFO Back to the Top
b. Program-Specific Required Forms and Information
I. IJ DEVELOPMENT: SHSP AND UASI
As part of the FY 2021 HSGP application process for SHSP and UASI funds, applicants
must develop formal IJs that address the proposed investments. Failure to fulfill of all of the
terms contained in this section will be considered by DHS/FEMA in its evaluation of the
effectiveness of the IJs submitted to meet the minimum percent spend requirement for each
National Priority Area. Failure to sufficiently align projects to the National Priority Areas
and meet the minimum percent spend requirement will result in funds being placed on hold
until those issues are addressed.
FY 2021 SHSP and UASI applications must include one (1) IJ and at least one (1) respective
project for each of the five National Priority Areas (Cybersecurity, Soft Targets/Crowded
Places, Intelligence and Information Sharing, Countering Domestic Violent Extremism, and
Emerging Threats) identified in this NOFO. Each of these five IJs must also meet or exceed
the minimum percent spend requirement based on the applicant’s SHSP and UASI allocation
stated in this NOFO. The SAA must submit one IJ per National Priority Area; all
projects associated with a National Priority Area must be submitted in the same IJ and
account for the relevant minimum spend requirement as a percentage of the SHSP or
UASI allocation. SAAs may submit complete project-level information at the time of
application but are not required to do so at the time of application. However, any SHSP or
UASI application that does not include an IJ for each National Priority Area that meets the
minimum spend requirement will have that funding placed on hold (up to the National
Priority Area, or up to 30 percent of the total award) until those IJs and project-level details
that sufficiently address the National Priority Areas are received and approved by
DHS/FEMA.
Each IJ must demonstrate how proposed investments:
• Support terrorism preparedness;
• Support closing capability gaps or sustaining capabilities identified in the community’s
THIRA/SPR process; and
• Support the overcoming of existing logistical, technological, legal, policy, and other
impediments to collaborating, networking, sharing information, cooperating, and
fostering a culture of national preparedness with federal, state, tribal, and local
governments, as well as other regional, and nonprofit partners in efforts to prevent,
prepare for, protect against, and respond to acts of terrorism, to meet its target
capabilities, support the national security mission of DHS and other federal agencies, and
to otherwise reduce the overall risk to the high-risk urban area, the state, or the Nation.
Each IJ must explain how the proposed investments will support the applicant’s efforts to:
• Prevent a threatened or an actual act of terrorism;
• Prepare for all hazards and threats, while explaining the nexus to terrorism preparedness;
• Protect citizens, residents, visitors, and assets against the greatest threats and hazards,
relating to acts of terrorism; and/or
EXHIBIT F
22
FY 2021 HSGP NOFO Back to the Top
• Respond quickly to save lives, protect property and the environment, and meet basic
human needs in the aftermath of an act of terrorism or other catastrophic incidents.
If not included in the application, SHSP and UASI recipients must submit complete project-
level information for each SHSP and UASI IJ as part of the Biannual Strategy
Implementation Report (BSIR) due by January 30, 2022. This includes IJs for the five
National Priority Areas.
DHS/FEMA will evaluate the effectiveness of the projects submitted in support of the
National Priority Areas, either at the time of application or as part of the December 2021
BSIR. DHS/FEMA will not reduce FY 2021 HSGP awards based on the effectiveness review
but will work with recipients to ensure compliance with the National Priority Area
requirements based on the results of the effectiveness review. Recipients and subrecipients
will not be permitted to expend funding under the National Priority Areas until the
effectiveness of the proposed projects has been reviewed and confirmed by FEMA.
II. DEVELOPMENT OF INVESTMENTS AND PROJECTS: SHSP
• Applicants must propose at least five and may include up to ten investments.
• Within each investment, applicants must propose at least one project to describe the
activities they plan to implement with SHSP funds. There is no limit to the number of
projects that may be submitted.
• Required National Priority Area IJs must include the name of the priority in the
investment name for easy identification.
• Of the proposed SHSP-funded investments, one single project, within the required
Intelligence and Information Sharing National Priority Area IJ, must be in support of a
designated fusion center. Recipients must coordinate with the fusion center when
developing a fusion center project prior to submission. See additional information on how
to develop the fusion center projects below and in the Preparedness Grants Manual.
• All emergency communications investments must describe how such activities align with
needs identified in their Statewide Communication Interoperability Plan (SCIP).
Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC)
and/or Statewide Interoperability Governing Body (SIGB) when developing an
emergency communications investment prior to submission to ensure the project supports
the statewide strategy to improve emergency communications and is compatible and
interoperable with surrounding systems. The investment name must include the words
“emergency communications” to easily identify any emergency communications
investments.
• All requested funding must be associated with specific projects. For each project, several
pieces of information must be provided to submit the project for consideration in the
application, including:
o Project name;
o Project description;
o Subrecipient name, if applicable;
o Recipient type (e.g., state or local);
o Project location (zip code of the primary location of the project);
o Primary core capability the project supports;
EXHIBIT F
23
FY 2021 HSGP NOFO Back to the Top
o Whether the project activities are shareable and deployable; and
o Which National Priority Area (if any) the project supports.
• Projects should describe how the proposed investment supports closing capability gaps or
sustaining capabilities identified in the THIRA/SPR process.
• FEMA encourages states to use any DHS provided assessments, such as those performed
by DHS’s Protective Security Advisors and Cybersecurity Advisors, when developing
their IJs.
III. NATIONAL PRIORITY AREA INVESTMENTS: SHSP
States are encouraged to review the Strategic Framework for Countering Terrorism and
Targeted Violence when developing investments.
• Cybersecurity IJ (7.5 percent)
At least one investment must be in support of the state’s cybersecurity efforts. The
investment must meet or exceed the FY 2021 national priority percentage for
cybersecurity and will also be subject to DHS/FEMA’s evaluation of the effectiveness of
the proposed investments. Cybersecurity investments must support the security and
functioning of critical infrastructure and core capabilities as they relate to preventing,
preparing for, protecting against, or responding to acts of terrorism. Recipients and
subrecipients of FY 2021 HSGP grant awards will be required to complete the 2021
Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure
progress of improving their cybersecurity posture. The Chief Information Officer (CIO),
Chief Information Security Officer (CISO) or equivalent for each recipient should
complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity
professional should complete the assessment. The NCSR is available at no cost to the
user and takes approximately 2-3 hours to complete. The 2021 NCSR is estimated to be
open from October – December 2021.
The NCSR is an annual requirement for recipients and subrecipients of HSGP funds.
Additionally, FEMA recognizes that some subawards will not be issued until after the
NCSR has closed. In such cases, such subrecipients will be required to complete the first
available NCSR offered after the subaward has been issued by the pass-through entity.
Although not required by SLTTs that did not receive HSGP funds, all SLTT agencies
with preparedness responsibilities are highly encouraged to participate and complete the
NCSR to evaluate their cybersecurity posture. For detailed information and background
on the NCSR, please see IB 439.
• Soft Targets/Crowded Places IJ (5 percent)
Soft targets and crowded places are increasingly appealing to terrorists and other
extremist actors because of their relative accessibility and the large number of potential
targets. This challenge is complicated by the prevalent use of simple tactics and less
sophisticated attacks. Segments of our society are inherently open to the general public,
and by nature of their purpose do not incorporate strict security measures. Given the
increased emphasis by terrorists and other extremist actors to leverage less sophisticated
methods to inflict harm in public areas, it is vital that the public and private sectors
EXHIBIT F
24
FY 2021 HSGP NOFO Back to the Top
collaborate to enhance security of locations such as transportation centers, parks,
restaurants, shopping centers, special event venues, and similar facilities.
Given the increased risk to soft targets and crowded places, at least one investment must
be in support of the state’s efforts to protect soft targets/crowded places. Additionally, the
proposed investment must meet or exceed the FY 2021 national priority percentage for
soft targets/crowded places and will also be subject to DHS/FEMA’s evaluation of the
effectiveness of the proposed investments. Additional resources and information
regarding securing soft targets and crowded places are available through the
Cybersecurity and Infrastructure Security Agency. States are encouraged to engaged
DHS’ Protective Security Advisors’ security assessments of soft targets to ensure that
recommendations from those assessments are taken into consideration when allocating
grant funding.
• Information and Intelligence Sharing and Cooperation IJ (5 percent)
Effective homeland security operations rely on access to, analysis of, and the timely
sharing of open source, unclassified, and classified information, suspicious activity
reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately
identify, assess, and mitigate a wide array of threats against the United States, including
terrorism, threats to life, targeted violence, and other threats within the DHS mission
space. Accordingly, DHS works diligently to enhance intelligence collection, integration,
analysis, and information sharing capabilities to ensure partners, stakeholders, and senior
leaders receive actionable intelligence and information necessary to inform their
decisions and operations. A critical and statutorily charged mission of DHS is to deliver
intelligence and information to federal, state, local, and tribal governments and private
sector partners. Cooperation and information sharing among state, federal, and local
partners across all areas of the homeland security enterprise, including counterterrorism –
including both international and domestic terrorism, cybersecurity, border security,
transnational organized crime, immigration enforcement, economic security, and other
areas is critical to homeland security operations and the prevention of, preparation for,
protection against, and responding to acts of terrorism, and other threats to life and
criminal acts of targeted violence.
Given the importance of information sharing and collaboration to effective homeland
security solutions, at least one investment must be in support of the state’s efforts to
enhance information sharing and cooperation with DHS and other federal agencies. As
noted above, this requirement must include at least one dedicated fusion center project.
Additional instructions on development of the fusion center project can be found below.
Applicants must justify persuasively how they will contribute to the information sharing
and collaboration purposes of the investment and a culture of national preparedness.
Additionally, the proposed investment must meet or exceed the FY 2021 national priority
percentage for information sharing and cooperation with DHS and will also be subject to
DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Additional
resources and information regarding collaboration and information sharing are available
through the Department’s Office of Intelligence and Analysis.
EXHIBIT F
25
FY 2021 HSGP NOFO Back to the Top
• Domestic Violent Extremism IJ (7.5 percent)
As stated in the October 2020 DHS Homeland Threat Assessment, domestic violent
extremists, including ideologically motivated lone offenders and small groups, present
the most persistent and lethal terrorist threat to the Homeland. These violent extremists
capitalize on social and political tensions, which have resulted in an elevated threat
environment. They utilize social media platforms and other technologies to spread violent
extremist ideologies that encourage violence and influence action within the United
States. The COVID-19 pandemic has further created an environment that may lead to
accelerated mobilization to targeted violence and/or radicalization to domestic terrorism,
including driving lawful protests to incite violence, intimidate targets, and promote their
violent extremist ideologies.
Given the rise of domestic violent extremism in recent years, at least one investment must
be in support of the state’s efforts to combat the rise, influence, and spread of domestic
violent extremism. Additionally, the proposed investment must meet or exceed the FY
2021 national priority percentage for domestic violent extremism and will also be subject
to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.
Please note that there currently is not a “Domestic Violent Extremism” Investment Type
option in the Grant Reporting Tool (GRT). Instead applicants should select the
“Standard” Investment Type and clearly name the IJ as “Domestic Violent Extremism
Priority Area” to ensure it is appropriately accounted for during FEMA’s administrative
and effectiveness reviews.
• Emerging Threats IJ (5 percent)
The spread of rapidly evolving and innovative technology, equipment, techniques, and
knowledge presents new and emerging dangers for homeland security in the years ahead.
Terrorists, criminal actors, and foreign adversaries continue to utilize open source and
other technologies to spread misinformation and sow discord in the United States. These
actors also remain intent on acquiring WMD capabilities, and rogue nations and non-state
actors are aggressively working to develop, acquire, and modernize WMDs that they
could use against the Homeland. Meanwhile, biological and chemical materials and
technologies with dual use capabilities are more accessible throughout the global market.
Due to the proliferation of such information and technologies, rogue nations and non-
state actors have more opportunities to develop, acquire, and use WMDs than ever
before. Similarly, the proliferation of UASs, artificial intelligence, and biotechnology
increase opportunities of threat actors to acquire and use these capabilities against the
United States and its interests.
Given the increased risk of these emerging threats, at least one investment must be in
support of the state’s efforts to address emerging threats. Additionally, the proposed
investment must meet or exceed the FY 2021 national priority percentage for emerging
threats and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the
proposed investments. Additional resources and information regarding emerging threats
are available through the Countering Weapons of Mass Destruction Office and the
Cybersecurity and Infrastructure Security Agency.
EXHIBIT F
26
FY 2021 HSGP NOFO Back to the Top
IV. DEVELOPMENT OF INVESTMENTS AND PROJECTS: UASI
• Applicants must propose at least five and may include up to ten investments.
• Within each investment, urban areas must propose at least one project to describe the
activities they are planning to implement with UASI funds. There is no limit to the
number of projects that may be submitted.
• Required National Priority Area IJs must include the name of the priority in the
investment name for easy identification.
• Of the proposed projects, urban areas are required to propose one single project, as part
of the required intelligence and information sharing IJ, in support of a designated fusion
center within the urban area, if applicable. Recipients must coordinate with the fusion
center when developing a fusion center project prior to submission. See additional
information on how to develop fusion center investments below and in the Preparedness
Grants Manual.
• All emergency communications investments must describe how such activities align with
the needs identified in their SCIP. Recipients must coordinate with their SWIC and/or
SIGB when developing an emergency communications investment prior to submission to
ensure the project supports the statewide strategy to improve emergency communications
and is compatible and interoperable with surrounding systems. The investment name
must include the words “emergency communications” to easily identify any emergency
communications investments.
• All requested funding must be associated with specific projects. For each project, several
pieces of information must be provided to submit the project for consideration in the
application, including:
o Project name;
o Project description
o Subrecipient name, if applicable;
o Recipient type (e.g., state or local);
o Project location (zip code of the primary location of the project);
o Primary core capability the project supports;
o Whether the project activities are shareable and deployable; and
o Which National Priority Area (if any) the project supports.
• Projects should describe how the proposed investment supports closing capability gaps or
sustaining capabilities identified in the THIRA/SPR process.
• FEMA encourages states to use any DHS provided assessments, such as those performed
by DHS’s Protective Security Advisors and Cybersecurity Advisors, when developing
their IJs.
V. PRIORITY INVESTMENTS: UASI
High-risk urban areas are encouraged to review the Strategic Framework for Countering
Terrorism and Targeted Violence when developing investments.
• Cybersecurity IJ (7.5 percent)
At least one investment must be in support of the urban area’s cybersecurity efforts. The
investment must meet or exceed the FY 2021 national priority percentage for
cybersecurity and will also be subject to DHS/FEMA’s evaluation of the effectiveness of
the proposed investments. Cybersecurity investments must support the security and
EXHIBIT F
27
FY 2021 HSGP NOFO Back to the Top
functioning of critical infrastructure and core capabilities as they relate to preventing,
preparing for, protecting against, or responding to acts of terrorism. Recipients and
subrecipients of FY 2021 HSGP awards will be required to complete the 2021
Nationwide Cybersecurity Review, enabling agencies to benchmark and measure
progress of improving their cybersecurity posture. The CIO, CISO or equivalent for each
recipient should complete the NCSR. If there is no CIO or CISO, the most senior
cybersecurity professional should complete the assessment. The NCSR is available at no
cost to the user and takes approximately 2- 3 hours to complete. The 2021 NCSR is
estimated to be open from October – December 2021.
The NCSR is an annual requirement for recipients and subrecipients of HSGP funds.
Additionally, FEMA recognizes that some subawards will not be issued until after the
NCSR has closed. In such cases, such subrecipients will be required to complete the first
available NCSR offered after the subaward has been issued by the pass-through entity.
Although not required by SLTTs that did not receive HSGP funds, all SLTT agencies
with preparedness responsibilities are highly encouraged to participate and complete the
NCSR to evaluate their cybersecurity posture. For detailed information and background
on the NCSR, please see IB 439.
• Soft Targets/Crowded Places IJ (5 percent)
Soft targets and crowded places are increasingly appealing to terrorists and other
extremist actors because of their relative accessibility and the large number of potential
targets. This challenge is complicated by the prevalent use of simple tactics and less
sophisticated attacks. Segments of our society are inherently open to the general public,
and by nature of their purpose do not incorporate strict security measures. Given the
increased emphasis by terrorists and other extremist actors to leverage less sophisticated
methods to inflict harm in public areas, it is vital that the public and private sectors
collaborate to enhance security of locations such as transportation centers, parks,
restaurants, shopping centers, special event venues, and similar facilities.
Given the increased risk to soft targets and crowded places, at least one investment must
be in support of the urban area’s efforts to protect soft targets/crowded places.
Additionally, the proposed investment must meet or exceed the FY 2021 national priority
percentage for soft targets/crowded places and will also be subject to DHS/FEMA’s
evaluation of the effectiveness of the proposed investments. Additional resources and
information regarding securing soft targets and crowded places are available through the
Cybersecurity and Infrastructure Security Agency.
• Information and Intelligence Sharing and Cooperation IJ (5 percent)
Effective homeland security operations rely on access to, analysis of, and timely sharing
of open source, unclassified, and classified information, suspicious activity reports,
tips/leads, and actionable intelligence on indicators and behaviors to accurately identify,
assess, and mitigate a wide array of threats against the United States, including terrorism,
threats to life, targeted violence, and other threats within the DHS mission space.
Accordingly, DHS works diligently to enhance intelligence collection, integration,
analysis, and information sharing capabilities to ensure partners, stakeholders, and senior
EXHIBIT F
28
FY 2021 HSGP NOFO Back to the Top
leaders receive actionable intelligence and information necessary to inform their
decisions and operations. A critical and statutorily charged mission of DHS is to deliver
intelligence and information to federal, state, local, and tribal governments and private
sector partners. Cooperation and information sharing among state, federal, and local
partners across all areas of the homeland security enterprise, including counterterrorism,
– including both international and domestic terrorism, cybersecurity, transnational
organized crime, economic security, border security, immigration enforcement, and other
areas is critical to homeland security operations and the prevention of, preparation for,
protection against, and responding to acts of terrorism, and other threats to life and
criminal acts of targeted violence.
Given the importance of information sharing and collaboration to effective homeland
security solutions, at least one investment must be in support of the urban area’s efforts to
enhance information sharing and cooperation with DHS and other federal agencies. As
noted above, this requirement must include at least one dedicated fusion center project.
Additional instructions on development of the fusion center project can be found below.
Applicants must justify persuasively how they will contribute to the information sharing
and collaboration purposes of the investment and a culture of national preparedness.
Additionally, the proposed investment must meet or exceed the FY 2021 national priority
percentage for information sharing and cooperation with DHS and will also be subject to
DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Additional
resources and information regarding collaboration and information sharing are available
through the Department’s Office of Intelligence and Analysis.
• Domestic Violent Extremism IJ (7.5 percent)
As stated in the October 2020 DHS Homeland Threat Assessment, domestic violent
extremists, including ideologically motivated lone offenders and small groups, present
the most persistent and lethal terrorist threat to the Homeland. These violent extremists
capitalize on social and political tensions, which have resulted in an elevated threat
environment. They utilize social media platforms and other technologies to spread violent
extremist ideologies that encourage violence and influence action within the United
States. The COVID-19 pandemic has further created an environment that may lead to
accelerated mobilization to targeted violence and/or radicalization to domestic terrorism,
including driving lawful protests to incite violence, intimidate targets, and promote their
violent extremist ideologies.
Given the rise of domestic violent extremism in recent years, at least one investment must
be in support of the urban area’s efforts to combat the rise, influence, and spread of
domestic violent extremism. Additionally, the proposed investment must meet or exceed
the FY 2021 national priority percentage for domestic violent extremism and will also be
subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.
Please note that there currently is not a “Domestic Violent Extremism” Investment Type
option in the GRT. Instead applicants should select the “Standard” Investment Type and
clearly name the IJ as “Domestic Violent Extremism Priority Area” to ensure it is
appropriately accounted for during FEMA’s administrative and effectiveness reviews.
EXHIBIT F
29
FY 2021 HSGP NOFO Back to the Top
• Emerging Threats IJ (5 percent)
The spread of rapidly evolving and innovative technology, equipment, techniques, and
knowledge presents new and emerging dangers for homeland security in the years ahead.
Terrorists, criminal actors, and foreign adversaries continue to utilize open source and
other technologies to spread misinformation and sow discord in the United States. These
actors also remain intent on acquiring WMD capabilities, and rogue nations and non-state
actors are aggressively working to develop, acquire, and modernize WMDs that they
could use against the Homeland. Meanwhile, biological and chemical materials and
technologies with dual use capabilities are more accessible throughout the global market.
Due to the proliferation of such information and technologies, rogue nations and non-
state actors have more opportunities to develop, acquire, and use WMDs than ever
before. Similarly, the proliferation of UASs, artificial intelligence, and biotechnology
increase opportunities of threat actors to acquire and use these capabilities against the
United States and its interests.
Given the increased risk of these emerging threats, at least one investment must be in
support of the urban area’s efforts to address emerging threats. Additionally, the proposed
investment must meet or exceed the FY 2021 national priority percentage for emerging
threats and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the
proposed investments. Additional resources and information regarding emerging threats
are available through the Countering Weapons of Mass Destruction Office and the
Cybersecurity and Infrastructure Security Agency.
VI. DEVELOPMENT OF FUSION CENTER PROJECTS: SHSP AND UASI
If applicable, each applicant must identify a fusion center project that will:
• Indicate alignment to a designated Fusion Center;
• Provide both a brief narrative description and funding itemization for the proposed
project activities that directly support the designated fusion center; and
• The descriptive narrative and the financial itemization should align improvement or
sustainment requests with fusion center activities as they relate to the Fusion Center
Performance Measures found in the Preparedness Grants Manual.
Sample Fusion Center Funding Itemization
A sample project description and funding itemization are below. For the itemized projects,
clearly identify the anticipated fusion center performance improvement or sustainment as a
result of the proposed funding.
The X Fusion enhancement project will fund:
• Salaries, benefits, and training for X number of Fusion Center intelligence analysts
• Travel costs associated with fusion center analyst training
• This project will directly sustain the Center’s current capabilities and performance
and directly aligns with performance measures 2021.XXX
• We anticipate seeing an improvement in the quality and quantity of analytic
production and responses to requests for information as a direct result of the
funding of this project
EXHIBIT F
30
FY 2021 HSGP NOFO Back to the Top
The funding itemization for a fusion center project should include the amount and percent of
each relevant solution area. As an example:
Solution Area and Amount of Proposed
Funding
Percent of Proposed
Funding
Planning: $10,000 2%
Organization: $200,000 48%
Equipment: $200,000 48%
Training: $10,000 2%
Exercises: $0 0%
Total: $420,000 100%
VII. COMPLETING IJS IN THE GRANT REPORTING TOOL (GRT): SHSP AND UASI
In the Related Documents section of the Grants.gov posting, applicants can find the IJ
template and instructions for collecting the required information for investments and
projects. Additionally, applicants should utilize the Project Worksheet located in Grants.gov
posting to assemble the information required for each project, which will facilitate the input
of that information into the GRT.
Applicants must ensure the appropriate National Priority Area “Investment Type” (Overview
Tab – Investment Information Section) is selected for the corresponding National Priority
Area (Cybersecurity, Soft Targets/Crowded Places, Information and Intelligence Sharing and
Cooperation, and Emerging Threats). Important note: there currently is not a “Domestic
Violent Extremism” Investment Type option. Applicants should instead select the
“Standard” Investment Type and clearly name the IJ as “Domestic Violent Extremism
Priority Area” to ensure it is appropriately accounted for during FEMA’s
administrative and effectiveness reviews. All non-National Priority Area IJs should have
the “Standard” Investment Type option selected.
VIII. DEVELOPMENT OF CONCEPT OF OPERATIONS FOR OPSG
As part of the FY 2021 OPSG application process, each eligible local unit of government at
the county or federally recognized tribal government level must develop a strategic plan
called a Concept of Operations (CONOP)/Application, which is a formal proposal of action
to address a specific situation and forms the basis for Operations Orders, in coordination with
state and federal law enforcement agencies, to include, but not limited to CBP/USBP.
CONOPs that are developed at the county level should be inclusive of city, county, tribal,
and other local law enforcement agencies that are eligible to participate in OPSG operational
activities, and the CONOP/Application should describe participating agencies in the
Executive Summary.
CONOP/Application details should include the names of the agencies, points of contact, and
individual funding requests. All CONOPs/Applications must be developed in collaboration
with the local USBP sector office, the SAA, and the local unit of government. Requests for
funding in CONOPs/Applications must be based on risks and the operational enforcement
support requirements of its corresponding USBP Sector, as well as the national priorities
identified below. USBP Sector offices will forward the CONOPs to USBP Headquarters for
EXHIBIT F
31
FY 2021 HSGP NOFO Back to the Top
vetting and coordination. Applicants will forward corresponding OPSG Applications to the
SAA for submission to FEMA. USBP Headquarters will reconcile all submitted CONOPs
with the OPSG Applications. FEMA will review and evaluate all CONOPs and OPSG
Applications and funding will be allocated based on the review and selection criteria
identified in this NOFO.
OPSG Applicants will be required to clearly articulate and identify how the CONOPs
will address the national priorities identified below.
• Information and Intelligence Sharing and Cooperation
Effective border security operations rely on access to, analysis of, and the timely sharing
of open source, unclassified, and classified information, suspicious activity reports,
tips/leads, and actionable intelligence on indicators and behaviors to accurately identify,
assess, and mitigate a wide array of threats against the United States, including terrorism,
threats to life, targeted violence, and other threats within the DHS mission space.
Accordingly, DHS works diligently to enhance intelligence collection, integration,
analysis, and information sharing capabilities to ensure partners, stakeholders, and senior
leaders receive actionable intelligence and information necessary to inform their
decisions and operations. One critical, statutorily required mission of DHS is to deliver
intelligence and information to federal, state, local, and tribal governments and private
sector partners. Cooperation and information sharing among state, federal, and local
partners across all areas of the homeland security enterprise, including both international
and domestic terrorism, cybersecurity, transnational organized crime, economic security,
border security, immigration enforcement, and other areas is critical to homeland security
operations and the prevention of, preparation for, protection against, and responding to
acts of terrorism, and other threats to life and criminal acts of targeted violence.
Given the importance of information sharing and collaboration to effective homeland
security solutions, the CONOP must support the recipient’s efforts to enhance
information sharing and cooperation with DHS and other federal agencies. Applicants
must justify persuasively how they will contribute to the information sharing and
collaboration purposes of the OPSG program and a culture of national preparedness.
Additional resources and information regarding collaboration and information sharing are
available through the Department’s Office of Intelligence and Analysis.
• Emerging Threats
The spread of rapidly evolving and innovative technology, equipment, techniques, and
knowledge presents new and emerging dangers for homeland security in the years ahead.
Terrorists, criminal actors, and foreign adversaries continue to utilize open source and
other technologies to spread misinformation and sow discord in the United States. These
actors also remain intent on remain intent on acquiring WMD capabilities, and rogue
nations and non-state actors are aggressively working to develop, acquire, and modernize
WMDs that they could use against the Homeland. Meanwhile, biological and chemical
materials and technologies with dual use capabilities are more accessible throughout the
global market. Due to the proliferation of such information and technologies, rogue
nations and non-state actors have more opportunities to develop, acquire, and use WMDs
EXHIBIT F
32
FY 2021 HSGP NOFO Back to the Top
than ever before. Similarly, the proliferation of UASs, artificial intelligence, and
biotechnology increase opportunities of threat actors to acquire and use these capabilities
against the United States and its interests.
Given the increased risk of these emerging threats, the CONOP must be in support
of the recipient’s efforts to address emerging threats. Additional resources and
information regarding emerging threats are available through the Countering
Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure
Security Agency.
IX. DETAILED Budget
Applicants must provide budget summary worksheets for all funds requested at the time of
application. The budget summary worksheets must be complete, reasonable, and cost-
effective in relation to the proposed project and should provide the basis of computation of
all project-related costs (including management and administrative costs) and any appropriate
narrative. FEMA must be able to thoroughly evaluate the projects being submitted based on
the information provided. FEMA must be able to determine how much funding is being
passed through to subrecipients for each sub-program (UASI, SHSP, OPSG). Consequently,
applicants must provide an appropriate level of detail within the budget summary worksheets
to clarify what will be purchased and spent. Sample budget summary worksheets are
available on the grants.gov posting for the HSGP in the Related Documents tab and may be
used as a guide to assist applicants in the preparation of budgets and budget narratives.
11. Other Submission Requirements
Emergency Communications Investments
If an entity uses HSGP funding to support emergency communications investments, the
applicant must describe in the investment how proposed communications investments align
to needs identified in their SCIP. Effective project alignment will require advance
coordination with the SWIC and consultation with governing bodies such as the SIGB or
Statewide Interoperability Executive Committee (SIEC), as they serve as the primary steering
group for the statewide interoperability strategy. Additionally, recipients should consult
subject matter experts serving on governance bodies, such as broadband experts, chief
information officers, representatives from utilities, or legal and financial experts, when
developing proposals.
12. Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state’s Single
Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372
(See https://www.archives.gov/federal-register/codification/executive-order/12372.html;
https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf).
13. Funding Restrictions and Allowable Costs
All costs charged to awards covered by this NOFO must comply with the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200,
unless otherwise indicated in the NOFO, the terms and conditions of the award, or the
Preparedness Grants Manual. This includes, among other requirements, that costs must be
EXHIBIT F
33
FY 2021 HSGP NOFO Back to the Top
incurred, and products and services must be delivered, within the period of performance of
the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards
under this program is the same as the period of performance).
Federal funds made available through this award may be used for the purpose set forth in this
NOFO, the Preparedness Grants Manual, and the terms and conditions of the award and must
be consistent with the statutory authority for the award. Award funds may not be used for
matching funds for any other federal awards, lobbying, or intervention in federal regulatory
or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal
Government or any other government entity. See the Preparedness Grants Manual for more
information on funding restrictions and allowable costs.
a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications
Equipment or Services
Recipients and subrecipients of FEMA federal financial assistance are subject to the
prohibitions described in section 889 of the John S. McCain National Defense Authorization
Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§
200.216, 200.326, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13,
2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and
subcontractors – prohibits obligating or expending federal award funds on certain
telecommunications and video surveillance products and contracting with certain entities for
national security reasons.
Additional guidance is available in FEMA Policy #405-143-1 Prohibitions on Expending
FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim).
Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA
funds under open or new awards to:
(1) Procure or obtain any equipment, system, or service that uses covered
telecommunications equipment or services as a substantial or essential component of
any system, or as critical technology of any system;
(2) Enter into, extend, or renew a contract to procure or obtain any equipment, system, or
service that uses covered telecommunications equipment or services as a substantial
or essential component of any system, or as critical technology of any system; or
(3) Enter into, extend, or renew contracts with entities that use covered
telecommunications equipment or services as a substantial or essential component of
any system, or as critical technology as part of any system.
I. REPLACEMENT EQUIPMENT AND SERVICES
FEMA grant funding may be permitted to procure replacement equipment and services
impacted by this prohibition, provided the costs are otherwise consistent with the
requirements of the NOFO and the Preparedness Grants Manual.
EXHIBIT F
34
FY 2021 HSGP NOFO Back to the Top
II. DEFINITIONS
Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered
telecommunications equipment or services means:
i. Telecommunications equipment produced by Huawei Technologies Company or
ZTE Corporation, (or any subsidiary or affiliate of such entities);
ii. For the purpose of public safety, security of Government facilities, physical
security surveillance of critical infrastructure, and other national security
purposes, video surveillance and telecommunications equipment produced by
Hytera Communications Corporation, Hangzhou Hikvision Digital Technology
Company, or Dahua Technology Company (or any subsidiary or affiliate of such
entities);
iii. Telecommunications or video surveillance services provided by such entities or
using such equipment; or
iv. Telecommunications or video surveillance equipment or services produced or
provided by an entity that the Secretary of Defense, in consultation with the
Director of National Intelligence or the Director of the Federal Bureau of
Investigation, reasonably believes to be an entity owned or controlled by, or
otherwise connected to, the People’s Republic of China.
Examples of the types of products covered by this prohibition include phones, internet, video
surveillance, and cloud servers when produced, provided, or used by the entities listed in the
definition of “covered telecommunications equipment or services.” See 2 C.F.R. § 200.471.
b. Pre-Award Costs
Pre-award costs are allowable only with the prior written approval of DHS/FEMA and as
included in the award agreement. To request pre-award costs, a written request must be
included with the application, signed by the AOR of the entity. The letter must outline what
the pre-award costs are for, including a detailed budget break-out of pre-award costs from the
post-award costs, and a justification for approval.
c. Management and Administration (M&A) Costs
Management and administration (M&A) activities are those directly relating to the
management and administration of HSGP funds, such as financial management and
monitoring. A maximum of up to five percent of HSGP funds awarded may be retained by
the state, and any funds retained are to be used solely for M&A purposes associated with the
HSGP award. Subrecipients may also retain a maximum of up to five percent of the funding
passed through by the state solely for M&A purposes associated with the HSGP award.
Recipients or subrecipients may apply or credit M&A funding toward the recipient’s
requirement to allocate funding toward the five National Priority Areas. For example, if a
recipient spends $5,000 to manage or administer its funding dedicated toward its enhancing
cybersecurity investment, the recipient may credit that funding toward its requirement to
allocate at least 7.5 percent of its award to the enhancing cybersecurity National Priority
Area.
EXHIBIT F
35
FY 2021 HSGP NOFO Back to the Top
A state’s HSGP funds for M&A calculation purposes includes the total of its SHSP, UASI,
and OPSG awards. While the SAA may retain up to five percent of this total for M&A, the
state must still ensure that all subrecipient award amounts meet the mandatory minimum
pass-through requirements that are applicable to each HSGP program. To meet this
requirement, the percentage of SHSP and UASI funds passed through to local or tribal
jurisdictions must be based on the state’s total HSGP award prior to withholding any M&A.
In retaining these funds, states may retain a maximum of 2.5 percent of the OPSG allocation,
which must be withheld from the pass-through to each subrecipient county or tribe in an
equal percentage. The SAA may also retain additional funding from its SHSP award to
manage and administer the OPSG award, but that additional amount is also capped at an
amount equal to 2.5 percent of the OPSG award. Examples applying this principle:
SAA 1:
SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000
M&A Maximum: $300,000 (5 percent of $6,000,000)
Maximum M&A for SHSP = $50,000
Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5 percent) may be
retained from the OPSG allocation, and the other $62,500 would come from the SHSP
allocation. Any amount used to manage and administer OPSG that is charged to SHSP
may be above and beyond the $50,000 available to manage the SHSP allocation.
Maximum M&A for UASI = $125,000
SAA 2:
SHSP: $3,500,000 OPSG: $1,000,000
M&A Maximum: $225,000 (5 percent of $4,500,000)
Maximum M&A for SHSP = $175,000
Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5 percent) may be
retained from the OPSG allocation, and the other $25,000 would come from the SHSP
allocation. Any amount used to manage and administer OPSG that is charged to SHSP
may be above and beyond the $175,000 available to manage the SHSP allocation.
HSGP recipients are also reminded that any M&A charged to a recipient’s or subrecipient’s
UASI funding must be directly allocable to administration of the UASI grant program and
cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding.
Similarly, any M&A charged to a recipient’s or subrecipient’s SHSP or OPSG funding
cannot be used to cover M&A costs directly allocable to UASI funding.
Additionally, if a state/territory receives Nonprofit Security Grant Program (NSGP) funding,
it may use SHSP M&A funding to cover M&A costs related to the management of NSGP-
State awards, and UASI M&A funding to cover M&A costs related to the management of
NSGP-Urban Area awards.
Please note, IB 365: Management and Administration Costs in the Homeland Security Grant
Program and DHS/FEMA Policy 207-087-1 do not apply to awards made in FY 2021
under this NOFO. Please also reference IB 416 for additional clarification on OPSG M&A,
EXHIBIT F
36
FY 2021 HSGP NOFO Back to the Top
but to the extent that there is any conflict between IB 416 and this NOFO, the requirements
of this NOFO will apply to FY 2021 awards made under this NOFO.
d. Indirect Facilities & Administrative (F&A) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2
C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that
desire to charge indirect costs to an award must provide a copy of their negotiated indirect
cost rate agreement at the time of application. Not all applicants are required to have a
current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R.
Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part
200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time
of application. Applicants who do not have a current negotiated indirect cost rate agreement
(including a provisional rate) and wish to charge the de minimis rate must reach out to the
FEMA Grants Management Specialist for further instructions. Applicants who wish to use a
cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants
Management Specialist for further instructions. Post-award requests to charge indirect costs
will be considered on a case-by-case basis and based upon the submission of an agreement or
proposal as discussed above or based upon on the de minimis rate or cost allocation plan, as
applicable.
f. Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes SHSP, UASI,
and OPSG). Recipients can submit an investment/project where funds come from multiple
funding sources (e.g., SHSP and UASI), however, recipients are not allowed to divert
funding from one program to another due to the risk-based funding allocations, which were
made at the discretion of DHS/FEMA.
e. Other Direct Costs
I. PLANNING
Planning costs are allowed under this program. Please see the Preparedness Grants Manual
for more information.
II. ORGANIZATION
Organization costs are allowed under this program. Please see the Preparedness Grants
Manual for more information.
III. EQUIPMENT
Equipment costs are allowed under this program. Please see the Preparedness Grants Manual
for more information.
• General Purpose Equipment
HSGP allows expenditures on general purpose equipment if it aligns to and supports one or
more core capabilities identified in the Goal and has a nexus to terrorism preparedness.
General purpose equipment, like all equipment funded under the HSGP, must be sharable
EXHIBIT F
37
FY 2021 HSGP NOFO Back to the Top
through the EMAC 2 and allowable under 6 U.S.C. § 609, and any other applicable provision
of the Homeland Security Act of 2002, as amended. Examples of such general-purpose
equipment may include:
o Law enforcement vehicles;
o Emergency medical services (EMS) equipment and vehicles;
o Fire service equipment and vehicles, to include hose, pump accessories, and foam
concentrate for specialized CBRNE response;
o Interoperability of data systems, such as computer aided dispatch (CAD) and record
management systems (RMS); and
o Office equipment for staff 3 engaged in homeland security program activity.
• Controlled Equipment
For decades, the federal government has provided equipment to state, local, and tribal law
enforcement agencies (LEAs) through federal grants. Some federal grant programs have
assisted LEAs as they carry out their critical missions to keep the American people safe. The
equipment acquired by LEAs through these programs includes administrative equipment,
such as office furniture and computers. Some federal grant programs also may include
military and military-styled equipment, firearms, and tactical vehicles provided by the federal
government, including property covered under 22 C.F.R. Part 121 and 15 C.F.R. Part 774
(collectively, "controlled equipment").
However, not all equipment that is considered controlled equipment is allowable under the
HSGP. As discussed further below, there are certain “prohibited equipment” that are not
allowable under HSGP. And for the procurement of certain controlled equipment that is
allowable under the HSGP, there are additional submission requirements and reviews that
must be met before DHS/FEMA will permit funding to be used for this purpose.
DHS/FEMA will continue to collaborate with federal agency partners to ensure that there is a
consistent and reasonable approach to the restrictions placed on controlled equipment
expenditures while continuing to support these investments when there is a justifiable need.
Further, DHS/FEMA will continue to maintain an awareness of the evolving policy
developments related to controlled equipment expenditures and keep grant recipients up to
date on future developments.
Grant funds under this program may not be used for the purchase of equipment not approved
by DHS/FEMA. The purchase of weapons and weapons accessories, including ammunition,
is not allowed with HSGP funds. Grant funds under this program must also comply with IB
426 and may not be used for the purchase of the following equipment: 1) firearms; 2)
2 Except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to
belong to EMAC at this time.
3 This applies to all homeland security personnel and is not limited to M&A staff, and costs are to be captured
outside the cap on M&A costs
EXHIBIT F
38
FY 2021 HSGP NOFO Back to the Top
ammunition; 3) grenade launchers; 4) bayonets; or 5) weaponized aircraft, vessels, or
vehicles of any kind with weapons installed.
IV. TRAINING
Training costs are allowed under this program. Please see the Preparedness Grants Manual
for more information.
V. EXERCISES
Exercise costs are allowed under this program. Please see the Preparedness Grants Manual
for more information.
VI. PERSONNEL
Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform
allowable HSGP planning, organization, training, exercise, and equipment activities. Under
OPSG, overtime costs are allowable only in so far as they meet the intent of the program. All
recipients and subrecipients of HSGP funds, including SHSP, UASI, and OPSG allocations,
may not use more than 50 percent of their awards to pay for personnel activities unless a
waiver is approved by FEMA. For more information on the 50 percent personnel cap, please
see FEMA IB 421b, Clarification on the Personnel Reimbursement for Intelligence
Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412) –
the PRICE Act. Please see the Preparedness Grants Manual for more information.
VII. OPERATIONAL OVERTIME
Operational overtime costs are allowed under this program. Prior to use of funds for
operational overtime, recipients must receive approval from DHS/FEMA. Operational
overtime costs are also subject to the 50 percent personnel cap. Please see the Preparedness
Grants Manual for more information.
VIII. TRAVEL
Domestic travel costs are allowed under this program, as provided for in this NOFO and in
the Preparedness Grants Manual. International travel is not an allowable cost under this
program unless approved in advance by DHS/FEMA.
IX. CONSTRUCTION AND RENOVATION
Construction and renovation costs to achieve capability targets related to preventing,
preparing for, protecting against, or responding to acts of terrorism are allowed under this
program. For construction and renovation costs to be allowed, they must be specifically
approved by DHS/FEMA in writing prior to the use of any program funds. Applicants must
use the Environmental Planning and Historical Preservation (EHP) approval process. Limits
on the total amount of grant funding that may be used for construction or renovation may
apply. Additionally, recipients are required to submit SF-424C and SF-424D. Please see the
Preparedness Grants Manual for more information.
X. MAINTENANCE AND SUSTAINMENT
Maintenance- and sustainment-related costs, such as maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees, are allowable. Please see the
EXHIBIT F
39
FY 2021 HSGP NOFO Back to the Top
Preparedness Grants Manual for more information.
XI. CRITICAL EMERGENCY SUPPLIES
Critical emergency supplies are allowed under this program. Please see the Preparedness
Grants Manual for more information.
XII. SECURE IDENTIFICATION
Secure Identification costs are allowed under this program. Please see the Preparedness
Grants Manual for more information.
Allowable Cost Matrix
The following matrix provides allowable cost activities that fall under each of the cost categories
noted above. Recipients and subrecipients must follow all applicable requirements in 2 C.F.R.
Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards. HSGP funds may be used to cover the costs for evaluating the impact of these
grants on the state or urban area’s core capabilities and capability gaps. This list is not
exhaustive, therefore, if there are any questions regarding allowable costs, please contact the
appropriate HQ FEMA Preparedness Officer. For additional information on allowable costs, see
the Preparedness Grants Manual.
Allowable Program Activities SHSP UASI OPSG
Allowable Planning Costs
Developing hazard/threat-specific annexes Y Y N
Developing and implementing homeland security support programs and adopting ongoing
DHS/FEMA national initiatives Y Y N
Developing related terrorism and other catastrophic event prevention activities Y Y N
Developing and enhancing plans and protocols Y Y N
Developing or conducting assessments Y Y N
Hiring of full- or part-time staff or contract/consultants to assist with planning activities Y Y N
Materials required to conduct planning activities Y Y N
Travel/per diem related to planning activities Y Y Y
Overtime and backfill costs (in accordance with operational Cost Guidance) Y Y Y
Issuance of Western Hemisphere Travel Initiative-compliant Tribal identification cards Y N N
Activities to achieve planning inclusive of people with disabilities and others with access
and functional needs and limited English proficiency. Y Y N
Coordination with Citizen Corps Councils for public information/education and
development of volunteer programs Y Y N
Update governance structures and processes and plans for emergency communications Y Y N
Development, and review and revision of continuity of operations plans Y Y N
Development, and review and revision of the THIRA/SPR continuity of operations
plans Y Y N
Allowable Organizational Activities
Note: Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such
expenses are for the allowable activities within the scope of the grant.
Program management Y Y N
Development of whole community partnerships Y Y N
Structures and mechanisms for information sharing between the public and private
sector Y Y N
EXHIBIT F
40
FY 2021 HSGP NOFO Back to the Top
Allowable Program Activities SHSP UASI OPSG
Implementing models, programs, and workforce enhancement initiatives Y Y N
Tools, resources, and activities that facilitate shared situational awareness between the
public and private sectors Y Y N
Operational support Y Y N
Utilization of standardized resource management concepts Y Y N
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 Y Y N
Reimbursement for select operational expenses associated with increased security
measures at critical infrastructure sites incurred (up to 50 percent of the allocation) Y Y Y
Overtime for information, investigative, and intelligence sharing activities (up to 50
percent of the allocation) Y Y Y
Hiring of new staff positions/contractors/consultants for participation in
information/intelligence analysis and sharing groups or fusion center activities (up to 50
percent of the allocation).
Y Y Y
Cost of migrating online services to the “.gov” domain Y Y N
Allowable Equipment Categories
Personal Protective Equipment Y Y Y
Allowable Equipment Categories
Explosive Device Mitigation and Remediation Equipment Y Y N
CBRNE Operational Search and Rescue Equipment Y Y N
Information Technology Y Y Y
Cybersecurity Enhancement Equipment Y Y N
Interoperable Communications Equipment Y Y Y
Detection Y Y Y
Decontamination Y Y N
Medical countermeasures Y Y Y
Power (e.g., generators, batteries, power cells) Y Y Y
CBRNE Reference Materials Y Y N
CBRNE Incident Response Vehicles Y Y N
Terrorism Incident Prevention Equipment Y Y Y
Physical Security Enhancement Equipment Y Y Y
Inspection and Screening Systems Y Y Y
Animal Care and Foreign Animal Disease Y Y N
CBRNE Prevention and Response Watercraft Y Y N
CBRNE Prevention and Response Unmanned Aircraft Y Y N
CBRNE Aviation Equipment Y Y N
CBRNE Logistical Support Equipment Y Y N
Intervention Equipment (e.g., tactical entry, crime scene processing) Y Y Y
Critical emergency supplies Y Y N
Vehicle acquisition, lease, and rental N N Y
Other Authorized Equipment Y Y Y
Allowable Training Costs
Overtime and backfill for emergency preparedness and response personnel attending
DHS/FEMA-sponsored and approved training classes Y Y N
Overtime and backfill expenses for part-time and volunteer emergency response
personnel participating in DHS/FEMA training Y Y N
Training workshops and conferences Y Y Y
Activities to achieve training inclusive of people with disabilities and others with
access and functional needs and limited English proficiency Y Y N
Full- or part-time staff or contractors/consultants Y Y Y
Travel Y Y Y
EXHIBIT F
41
FY 2021 HSGP NOFO Back to the Top
Allowable Program Activities SHSP UASI OPSG
Supplies Y Y N
Instructor certification/re-certification Y Y N
Coordination with Citizen Corps Councils in conducting training exercises Y Y N
Interoperable communications training Y Y N
Activities to achieve planning inclusive of people with limited English proficiency Y Y N
Immigration enforcement training Y Y Y
Allowable Exercise Related Costs
Design, Develop, Conduct, and Evaluate an Exercise Y Y N
Full- or part-time staff or contractors/consultants Y Y N
Overtime and backfill costs, including expenses for part-time and volunteer emergency
response personnel participating in DHS/FEMA exercises Y Y N
Implementation of HSEEP Y Y N
Activities to achieve exercises inclusive of people with disabilities and others with
access and functional needs Y Y N
Travel Y Y N
Supplies Y Y N
Interoperable communications exercises Y Y N
Allowable Exercise Related Costs
Activities to achieve planning inclusive of people with limited English proficiency Y Y N
Allowable M&A Costs
Hiring of full- or part-time staff or contractors/consultants to assist with the
management of the respective grant program, application requirements, and compliance
with reporting and data collection requirements
Y Y Y
Development of operating plans for information collection and processing necessary to
respond to DHS/FEMA data calls Y Y Y
Overtime and backfill costs Y Y Y
Travel Y Y Y
Meeting related expenses Y Y Y
Authorized office equipment Y Y Y
Recurring expenses such as those associated with cell phones and faxes during the period
of performance of the grant program Y Y N
Leasing or renting of space for newly hired personnel during the period of performance
of the grant program Y Y N
LETPA Costs
Integration and interoperability of systems and data, such as CAD and RMS, to
facilitate the collection, Y Y N
Maturation, enhancement, and sustainment of designated state and major Urban Area
fusion centers Y Y N
Coordination between fusion centers and other operational analytic, and investigative
efforts Y Y N
Implementation, maintenance, and sustainment of the Nationwide Suspicious Activity
Reporting Initiative Y Y N
Implementation of the "If You See Something, Say Something®" campaign Y Y N
Increase physical security, through law enforcement personnel and other protective
measures, by implementing preventive and protective measures at critical Y Y N
Building and sustaining preventive radiological and nuclear detection capabilities Y Y N
E. Application Review Information
1. Application Evaluation Criteria
a. Programmatic Criteria
EXHIBIT F
42
FY 2021 HSGP NOFO Back to the Top
I. RISK METHODOLOGY
The risk methodology determines the relative risk of terrorism faced by a given area
considering the potential risk of terrorism to people, critical infrastructure, and economic
security. The analysis includes, but is not limited to, threats from violent domestic extremists,
international terrorist groups, and individuals inspired by terrorists abroad. See the
Preparedness Grants Manual for additional information on the risk methodology.
NOTE: The THIRA/SPR process is separate from the risk methodology and its results do not
affect grant allocations.
The Risk Methodology is used to inform allocations under HSGP. For more information on
the SHSP, UASI, and OPSG allocation processes, please see Section B.1 of this NOFO,
“Available Funding for the NOFO.”
II. APPLICATION EVALUATION CRITERIA
FEMA will evaluate the FY 2021 HSGP applications for completeness, adherence to
programmatic guidelines, and anticipated effectiveness of the proposed investments.
FEMA’s review will include verification that each IJ and project:
• Aligns with at least one core capability identified in the Goal;
• Demonstrates how investments support closing capability gaps or sustaining
capabilities identified in the THIRA/SPR process; and
• Supports a NIMS-typed resource and whether those assets are deployable/shareable to
support emergency or disaster operations per existing EMAC agreements.
In addition to the above, FEMA will evaluate whether proposed projects are: 1) both feasible
and effective at reducing the risks for which the project was designed; and 2) able to be fully
completed within the three-year period of performance. FEMA will use the information
provided in the application and after the submission of the first BSIR to determine the
feasibility and effectiveness of a grant project. To that end, IJs should include:
• An explanation of how the proposed project(s) will achieve objectives as identified in
the SPR, including expected long-term impact where applicable, and which core
capability gap(s) it helps to close and how;
• A summary of the status of planning and design efforts accomplished to date (e.g.,
included in a capital improvement plan); and
• A project schedule with clear milestones.
Recipients are expected to conform, as applicable, with accepted engineering practices,
established codes, standards, modeling techniques, and best practices, and participate in the
development of case studies demonstrating the effective use of grant funds, as requested.
FEMA will also review any submitted National Priority Area-aligned IJs and projects to
ensure they meet the minimum spend requirement. Further information on how the National
Priority Area IJs and projects will be reviewed for effectiveness is included in the Review
and Selection Process section below.
EXHIBIT F
43
FY 2021 HSGP NOFO Back to the Top
b. Financial Integrity Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as amended by the
Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313;
and 2 C.F.R. § 200.206 to review information available through any Office of Management
and Budget (OMB)-designated repositories of governmentwide eligibility qualification or
financial integrity information, including whether the applicant is suspended or debarred.
FEMA may also pose additional questions to the applicant to aid in conducting the pre-award
risk review. Therefore, application evaluation criteria may include the following risk-based
considerations of the applicant:
i. Financial stability.
ii. Quality of management systems and ability to meet management standards.
iii. History of performance in managing federal award.
iv. Reports and findings from audits.
v. Ability to effectively implement statutory, regulatory, or other requirements.
c. Supplemental Financial Integrity Criteria and Review
Prior to making a federal award where the anticipated total federal share will be greater than
the simplified acquisition threshold, currently $250,000:
i. FEMA is required to review and consider any information about the applicant,
including information on the applicant’s immediate and highest-level owner,
subsidiaries, and predecessors, if applicable, that is in the designated integrity
and performance system accessible through the System for Award
Management (SAM), which is currently the Federal Awardee Performance
and Integrity Information System (FAPIIS).
ii. An applicant, at its option, may review information in FAPIIS and comment
on any information about itself that a federal awarding agency previously
entered.
iii. FEMA will consider any comments by the applicant, in addition to the other
information in FAPIIS, in making a judgment about the applicant’s integrity,
business ethics, and record of performance under federal awards when
completing the review of risk posed by applicants as described in 2 C.F.R. §
200.206.
2. Review and Selection Process
a. SHSP and UASI
All proposed investments will undergo a federal review by DHS/FEMA to verify compliance
with all administrative and eligibility criteria identified in the NOFO. The federal review will
be conducted by FEMA HQ Preparedness Officers. FEMA HQ Preparedness Officers will
use a checklist to verify compliance with all administrative and eligibility criteria identified
in the NOFO. Recipients must be able to demonstrate how investments support closing
capability gaps or sustaining capabilities identified in the THIRA/SPR process. IJs will be
reviewed at both the investment and project level.
EXHIBIT F
44
FY 2021 HSGP NOFO Back to the Top
Emergency communications investments will be jointly reviewed by FEMA and the DHS
Office of Emergency Communications (OEC) to verify compliance with SAFECOM
guidance. FEMA and OEC will coordinate directly with the recipient on any compliance
concerns and will provide technical assistance as necessary to help ensure full compliance.
Additional Effectiveness Evaluation Criteria for the National Priority Areas
FEMA will evaluate the FY 2021 HSGP IJs and projects submitted in support of the National
Priority Areas for anticipated effectiveness. FEMA’s review will include verification that
each IJ or project meets the National Priority Area required spend percentages.
Cybersecurity investments will be reviewed by DHS/FEMA, CISA, and other DHS
components as appropriate, for compliance with purposes and requirements of the priority
investment area. Proposed investments will be reviewed for effectiveness using the criteria
set forth in this NOFO.
Soft Targets/Crowded Places investments will be reviewed by DHS/FEMA, CISA, and other
DHS components as appropriate, for compliance with purposes and requirements of the
priority investment area. Proposed investments will be reviewed for effectiveness using the
criteria set forth in this NOFO.
Information Sharing and Cooperation Investments will be reviewed by DHS/FEMA, DHS
Office of Intelligence and Analysis, and other DHS components as appropriate, for
compliance with purposes and requirements of the priority investment area. Proposed
investments will be reviewed for effectiveness using the criteria set forth in this NOFO.
For additional information on Fusion Center requirements, please see the Preparedness
Grants Manual.
Domestic violent extremism investments will be reviewed by DHS/FEMA, DHS Office of
Intelligence and Analysis, and other DHS components as appropriate, for compliance with
purposes and requirements of the priority investment area. Proposed investments will be
reviewed for effectiveness using the scoring criteria set forth in this NOFO.
Emerging threats investments will be reviewed by DHS/FEMA, DHS Countering Weapons
of Mass Destruction Office, and other DHS components as appropriate, for compliance with
purposes and requirements of the priority investment area. Proposed investments will be
reviewed for effectiveness using the criteria set forth in this NOFO.
FEMA will determine whether the proposed approach is clear, logical, and reasonable to
address the priority areas of interest and contribute to a culture of national preparedness. This
part considers factors such as the objectives and strategies proposed to address the priority
area, how the objectives and strategies overcome legal, political, or practical obstacles to
reduce overall risk, the process and criteria to select additional relevant projects, and the
approach to monitor awards to satisfy the funding percentage allocations.
EXHIBIT F
45
FY 2021 HSGP NOFO Back to the Top
For applicants that elect to submit IJs and project-level details for the National Priority Areas
at the time of application, effectiveness will be evaluated prior to award. If the projects are
found to not sufficiently align with the National Priority Area(s), applicants may have funds
placed on hold (up to 30 percent) until the projects are revised to satisfactorily address the
National Priority Areas.
For applicants that elect to submit IJs and project-level details for the National Priority Areas
as part of the December 2021 BSIR, they will have funds placed on hold in the amount of 30
percent (the sum of all National Priority Area). The hold will be released only after their
December 2021 BSIR submission has been reviewed, and projects related to the National
Priority Areas deemed in alignment by DHS/FEMA.
SAAs are still required to meet pass-through requirements even if funds are on
hold related to the National Priority Areas.
To that end, IJs should include:
• How the proposed investment addresses the National Priority Area;
• An explanation of how the proposed projects were selected and will achieve
objectives and strategies to build or sustain the core capability gaps identified in the
SPR, including expected long-term impact where applicable;
• A summary of laws, policies and practices that can be enhanced, eliminated, or
otherwise changed in order to achieve the goals of the project and foster a culture of
national preparedness; and
• A summary of the collaboration efforts to prevent, prepare for, protect against, and
respond to acts of terrorism as well as anticipated outcomes of the project.
For FY 2021 SHSP and UASI investments and projects related to the National Priority
Areas, effectiveness will be evaluated based on the following five factors:
• Investment Strategy (30%): Proposals will be evaluated based on the quality and
extent to which applicants describe an effective strategy that demonstrates that
proposed projects support the program objective of preventing, preparing for,
protecting against, and responding to acts of terrorism, to meet its target capabilities,
and otherwise reduce the overall risk to the high-risk urban area, the state, or the
Nation.
• Budget (10%): Proposals will be evaluated based on the extent to which applicants
describe a budget plan for each investment demonstrating how the applicant will
maximize cost effectiveness of grant expenditures.
• Impact/Outcomes (30%): Proposals will be evaluated on how this investment helps
the jurisdiction close capability gaps identified in its SPR and addresses the relevant
National Priority Area outlined in this NOFO. Further, proposals will be evaluated on
their identification and estimated improvement of core capability(ies), the associated
standardized target(s) that align with their proposed investment, and the ways in
which the applicant will measure and/or evaluate improvement.
EXHIBIT F
46
FY 2021 HSGP NOFO Back to the Top
• Collaboration (30%): Proposals will be evaluated based on the degree to which the
proposal adequately details how the recipient will use investments and other means to
overcome existing logistical, technological, legal, policy, and other impediments to
collaborating, networking, sharing information, cooperating, and fostering a culture
of national preparedness with federal, state, tribal, and local governments, as well as
other regional and nonprofit partners. Collaboration should improve efforts to
prevent, prepare for, protect against, and respond to acts of terrorism, to meet target
capabilities, support the national security mission of DHS and other federal agencies,
and to otherwise reduce the overall risk to the high-risk urban area, the state, or the
Nation. In evaluating applicants under this factor FEMA will consider the information
provided by the applicant and may also consider relevant information from other
sources.
• Past Performance (additional consideration): Proposals will be evaluated based on the
applicants demonstrated capability to execute the proposed investments. In evaluating
applicants under this factor FEMA will consider the information provided by the
applicant and may also consider relevant information from other sources.
b. OPSG
Applications will be reviewed by the SAA and USBP Sector Headquarters for completeness
and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and
impact of the Operations Orders. For more information on Operations Orders and other
requirements of OPSG, see the Preparedness Grants Manual.
DHS/FEMA will verify compliance with all administrative and eligibility criteria identified
in the NOFO and required submission of Operations Orders and Inventory of Operations
Orders by the established due dates. DHS/FEMA and USBP will use the results of both the
risk analysis and the federal review by DHS/FEMA to make recommendations for funding to
the Secretary of Homeland Security.
FY 2021 OPSG funds will be allocated competitively based on risk-based prioritization using
the OPSG Risk Assessment described above. Final funding allocations are determined by the
Secretary of Homeland Security, who may consider information and input from various law
enforcement offices or subject-matter experts within the Department. Factors considered
include, but are not limited to threat, vulnerability, miles of the border, and other border-
specific law enforcement intelligence, as well as the feasibility of FY 2021 Operations
Orders to designated localities within border states and territories.
F. Federal Award Administration Information
1. Notice of Award
Before accepting the award, the AOR and recipient should carefully read the award package.
The award package includes instructions on administering the grant award and the terms and
conditions associated with responsibilities under federal awards. Recipients must accept all
conditions in this NOFO and the Preparedness Grants Manual as well as any specific
terms and conditions in the Notice of Award to receive an award under this program.
See the Preparedness Grants Manual for information on Notice of Award.
EXHIBIT F
47
FY 2021 HSGP NOFO Back to the Top
2. Pass-Through Requirements
Awards made to the SAA for HSGP carry additional pass-through requirements. Pass-
through is defined as an obligation on the part of the SAA to make funds available to local
units of government, combinations of local units, tribal governments, or other specific groups
or organizations. Four requirements must be met to pass-through grant funds:
• The SAA must make a firm written commitment to passing through
grant funds to subrecipients;
• The SAA’s commitment must be unconditional (i.e., no contingencies for the
availability of SAA funds);
• There must be documentary evidence (i.e., award document, terms, and
conditions) of the commitment; and
• The award terms must be communicated to the subrecipient.
Timing and Amount
The SAA must pass-through at least 80 percent of the funds awarded under the SHSP and
UASI to local or tribal units of government within 45 calendar days of receipt of the funds.
“Receipt of the funds” occurs either when the SAA accepts the award or 15 calendar days
after the SAA receives notice of the award, whichever is earlier.
SAAs are sent notification of HSGP awards via the GPD’s ND Grants system. If an SAA
accepts its award within 15 calendar days of receiving notice of the award in the ND Grants
system, the 45-calendar days pass-through period will start on the date the SAA accepted the
award. Should an SAA not accept the HSGP award within 15 calendar days of receiving
notice of the award in the ND Grants system, the 45-calendar days pass-through period will
begin 15 calendar days after the award notification is sent to the SAA via the ND Grants
system.
It is important to note that the period of performance start date does not directly affect the
start of the 45-calendar days pass-through period. For example, an SAA may receive notice
of the HSGP award on September 20, 2021, while the period of performance dates for that
award are October 1, 2021, through September 30, 2024. In this example, the 45-day pass-
through period will begin on the date the SAA accepts the HSGP award or October 5, 2021
(15 calendar days after the SAA was notified of the award), whichever date occurs first. The
period of performance start date of October 1, 2021 would not affect the timing of meeting
the 45-calendar day pass-through requirement.
Other SHSP and UASI Pass-Through Requirements
The signatory authority of the SAA must certify in writing to DHS/FEMA that pass-through
requirements have been met. A letter of intent (or equivalent) to distribute funds is not
considered sufficient. The pass-through requirement does not apply to SHSP awards made to
the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands, or the
Commonwealth of the Northern Mariana Islands. The Commonwealth of Puerto Rico is
required to comply with the pass-through requirement, and its SAA must also obligate at
least 80 percent of the funds to local units of government within 45 calendar days of receipt
of the funds.
EXHIBIT F
48
FY 2021 HSGP NOFO Back to the Top
Under SHSP, the SAA may retain more than 20 percent of funding for expenditures made by
the state on behalf of the local unit(s) of government. This may occur only with the written
consent of the local unit of government, specifying the amount of funds to be retained and
the intended use of funds. States shall review their written consent agreements yearly and
ensure that they are still valid. If a written consent agreement is already in place from
previous fiscal years, DHS/FEMA will continue to recognize it for FY 2021, unless the
written consent review indicates the local government is no longer in agreement. If
modifications to the existing agreement are necessary, the SAA should contact their assigned
FEMA HQ Preparedness Officer.
Additional OPSG Requirements
The recipient is prohibited from obligating or expending funds provided through this award
until each unique and specific county-level or equivalent Operational Order/Fragmentary
Operations Order budget has been reviewed and approved through an official electronic mail
notice issued by DHS/FEMA removing this special programmatic condition.
3. Administrative and National Policy Requirements
In addition to the requirements of in this section and in this NOFO, FEMA may place
specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200.
In addition to the information regarding DHS Standard Terms and Conditions and Ensuring
the Protection of Civil Rights, see the Preparedness Grants Manual for additional information
on administrative and national policy requirements, including the following:
• EHP Compliance
• FirstNet
• NIMS Implementation
• SAFECOM
a. DHS Standard Terms and Conditions
All successful applicants for DHS grant and cooperative agreements are required to comply
with DHS Standard Terms and Conditions, which are available online at DHS Standard
Terms and Conditions.
The applicable DHS Standard Terms and Conditions will be those in effect at the time the
award was made. What terms and conditions will apply for the award will be clearly stated in
the award package at the time of award.
b. Ensuring the Protection of Civil Rights
As the Nation works towards achieving the National Preparedness Goal, it is important to
continue to protect the civil rights of individuals. Recipients and subrecipients must carry out
their programs and activities, including those related to the building, sustainment, and
delivery of core capabilities, in a manner that respects and ensures the protection of civil
rights for protected populations.
EXHIBIT F
49
FY 2021 HSGP NOFO Back to the Top
Federal civil rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title
VI of the Civil Rights Act of 1964, along with FEMA regulations, prohibit discrimination on
the basis of race, color, national origin, sex, religion, age, disability, limited English
proficiency, or economic status in connection with programs and activities receiving federal
financial assistance from FEMA.
The DHS Standard Terms and Conditions include a fuller list of the civil rights provisions
that apply to recipients. These terms and conditions can be found in the DHS Standard Terms
and Conditions. Additional information on civil rights provisions is available at
https://www.fema.gov/about/offices/equal-rights.
Monitoring and oversight requirements in connection with recipient compliance with federal
civil rights laws are also authorized pursuant to 44 C.F.R. Part 7.
c. EHP Compliance
As a federal agency, FEMA is required to consider the effects of its actions on the
environment and historic properties to ensure that all activities and programs funded by
FEMA, including grant-funded projects, comply with federal EHP laws, Executive Orders,
regulations, and policies, as applicable.
Recipients and subrecipients proposing projects that have the potential to impact the
environment, including, but not limited to, the construction of communication towers,
modification or renovation of existing buildings, structures, and facilities, or new
construction including replacement of facilities, must participate in the FEMA EHP
review process. The EHP review process involves the submission of a detailed project
description along with any supporting documentation requested by FEMA in order to
determine whether the proposed project has the potential to impact environmental resources
or historic properties.
In some cases, FEMA is also required to consult with other regulatory agencies and the
public in order to complete the review process. Federal law requires EHP review to be
completed before federal funds are released to carry out proposed projects. FEMA may not
be able to fund projects that are not incompliance with applicable EHP laws, Executive
Orders, regulations, and policies.
DHS and FEMA EHP policy is found in directives and instructions available on the
FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP
responsibilities and program requirements, including implementation of the National
Environmental Policy Act and other EHP regulations and Executive Orders.
The GPD EHP screening form is located at https://www.fema.gov/media-
library/assets/documents/90195. Additionally, all recipients under this funding opportunity
are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-
1, available at https://www.fema.gov/media-library/assets/documents/85376.
EXHIBIT F
50
FY 2021 HSGP NOFO Back to the Top
d. NIMS Implementation
In expending funds under this program, recipients that are state, local, tribal, or territorial
governments must ensure and maintain adoption and implementation of NIMS. The state,
local, tribal, or territorial government must show adoption of NIMS during any point of the
period of performance. The list of objectives used for progress and achievement reporting is
at https://www.fema.gov/emergency-managers/nims/implementation-training.
Emergency management and incident response activities require carefully managed resources
(personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Using
standardized resource management concepts such as typing, credentialing, and inventorying,
promote a strong national mutual aid capability needed to support delivery of core
capabilities. Additional information on resource management, NIMS resource typing
definitions, job titles, and position qualifications is on FEMA’s website at
https://www.fema.gov/emergency-managers/nims/components.
FEMA developed the National Incident Management System Guideline for the National
Qualification System to describe national credentialing standards and to provide written
guidance regarding the use of those standards. This guideline describes credentialing and
typing processes and identifies tools which Federal Emergency Response Officials and
emergency managers at all levels of government may use both routinely and to facilitate
multijurisdictional coordinated responses.
Although state, local, tribal, and private sector partners (including nongovernmental
organizations) are not required to credential their personnel in accordance with these
guidelines, FEMA strongly encourages them to do so to leverage the federal investment in
the Federal Information Processing Standards 201 infrastructure and to facilitate
interoperability for personnel deployed outside their home jurisdiction.
Additional information about NIMS in general is available at
https://www.fema.gov/emergency-managers/nims.
e. Emergency Communications Investments
If an entity uses HSGP funding to support emergency communications investments, the
following requirements shall apply to all such grant-funded communications investments in
support of the emergency communications priorities and recognized best practices:
• The signatory authority for the SAA must certify in writing to DHS/FEMA their
compliance with the SAFECOM Guidance. The certification letter should be
coordinated with the SWIC for each state and must be uploaded to ND Grants at the
time of the first Program Performance Report (PPR) submission.
• All states and territories must designate a full-time SWIC who has the authority and
resources to actively improve interoperability with emergency management and
response agencies across all levels of government, to include establishing statewide
plans, policies, and procedures, and coordinating decisions on communications
investments funded through federal grants. Note that the designated full-time SWIC
may also be the state’s or territory’s cybersecurity point of contact. SWIC status
EXHIBIT F
51
FY 2021 HSGP NOFO Back to the Top
information will be maintained by CISA and will be verified by FEMA GPD through
programmatic monitoring activities.
• By the period of performance end date, all states and territories must update the SCIP,
with a focus on communications resilience/continuity, to include assessment and
mitigation of all potential risks identified in the SCIP: natural disasters, accidental
damage (human failures), intentional damage (sabotage, terrorism), cybersecurity, etc.
Following the initial update, the SCIP should be updated on an annual basis. SCIP
status information will be maintained by CISA and will be verified by FEMA GPD
through programmatic monitoring activities.
All states and territories must test their emergency communications capabilities and
procedures (as outlined in their operational communications plans) in conjunction with
regularly planned exercises (separate/addition emergency communications exercises are not
required) and must submit an After Action Report/Improvement Plan (AAR/IP) to the
Homeland Security Exercise and Evaluation Program’s (HSEEP) electronic message inbox at
hseep@fema.gov within 90 days of exercise completion. Exercises should be used to both
demonstrate and validate skills learned in training and to identify gaps in capabilities.
Resilience and continuity of communications should be tested during training and exercises
to the greatest extent possible. Further, exercises should include participants from multiple
jurisdictions, disciplines, and levels of government and include emergency management,
emergency medical services, law enforcement, interoperability coordinators, public health
officials, hospital officials, officials from colleges and universities, and other disciplines and
private sector entities, as appropriate. Findings from exercises should be used to update
programs to address gaps in emergency communications as well as emerging technologies,
policies, and partners. Recipients are encouraged to increase awareness and availability of
emergency communications exercise opportunities across all levels of government.
States, territories, and other eligible grant recipients are advised that HSGP funding may be
used to support communications planning (including the cost of hiring a SWIC, participation
in governance bodies and requirements delineated above), training, exercises, and equipment
costs. Costs for transitioning to the FirstNet network may also be eligible. More information
regarding FirstNet can be found in the Preparedness Grants Manual.
4. Reporting
Recipients are required to submit various financial and programmatic reports as a condition
of award acceptance. Future awards and funds drawdown may be withheld if these reports
are delinquent.
See the Preparedness Grants Manual for information on reporting requirements, as well as
the above section, “Emergency Communications Investments,” specific reporting
requirements for emergency communications investments.
5. Monitoring and Oversight
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all
reasonable times, to make site visits or conduct desk reviews to review project
accomplishments and management control systems to review award progress and to provide
EXHIBIT F
52
FY 2021 HSGP NOFO Back to the Top
any required technical assistance. During site visits or desk reviews, FEMA will review
recipients’ files related to the award. As part of any monitoring and program evaluation
activities, recipients must permit FEMA, upon reasonable notice, to review grant-related
records and to interview the organization’s staff and contractors regarding the program.
Recipients must respond in a timely and accurate manner to FEMA requests for information
relating to the award.
See the Preparedness Grants Manual for information on monitoring and oversight.
G. DHS Awarding Agency Contact Information
1. Contact and Resource Information
a. Program Office Contact
FEMA has assigned state-specific Preparedness Officers for the HSGP. If you do not know
your Preparedness Officer, please contact CSID by phone at (800) 368-6498 or by email at
askcsid@fema.dhs.gov, Monday through Friday, 9:00 AM – 5:00 PM ET.
b. Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource developed
by FEMA for grants stakeholders. CSID provides general information on all FEMA grant
programs and maintains a comprehensive database containing key personnel contact
information at the federal, state, and local levels. When necessary, recipients will be directed
to a federal point of contact who can answer specific programmatic questions or concerns.
CSID can be reached by phone at (800) 368-6498 or by e-mail at askcsid@fema.dhs.gov,
Monday through Friday, 9 AM – 5 PM ET.
c. GPD Award Administration Division
GPD’s Award Administration Division (AAD) provides support regarding financial matters
and budgetary technical assistance. Additional guidance and information can be obtained by
contacting the AAD’s Help Desk via e-mail at ASK-GMD@fema.dhs.gov.
d. Equal Rights
The FEMA Office of Equal Rights (OER) is responsible for compliance with and
enforcement of federal civil rights obligations in connection with programs and services
conducted by FEMA and recipients of FEMA financial assistance. All inquiries and
communications about federal civil rights compliance for FEMA grants under this NOFO
should be sent to FEMA-CivilRightsOffice@fema.dhs.gov.
e. Environmental Planning and Historic Preservation
GPD’s EHP Team provides guidance and information about the EHP review process to
recipients and subrecipients. All inquiries and communications about GPD projects under
this NOFO or the EHP review process, including the submittal of EHP review materials,
should be sent to gpdehpinfo@fema.dhs.gov.
EXHIBIT F
53
FY 2021 HSGP NOFO Back to the Top
2. Systems Information
a. Grants.gov
For technical assistance with Grants.gov, call the customer support hotline 24 hours per day,
7 days per week (except federal holidays) at (800) 518-4726 or e-mail at
support@grants.gov.
b. Non-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk
at ndgrants@fema.gov or (800) 865-4076, Monday through Friday, 9:00 AM – 6:00 PM ET.
User resources are available at https://www.fema.gov/grants/guidance-tools/non-disaster-
grants-management-system
c. Payment and Reporting System (PARS)
FEMA uses the Payment and Reporting System (PARS) for financial reporting, invoicing,
and tracking payments. FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT)
method of payment to recipients. To enroll in the DD/EFT, recipients must complete a
Standard Form 1199A, Direct Deposit Form. If you have questions about the online system,
please call the Customer Service Center at (866) 927-5646 or email ask-
GMD@fema.dhs.gov.
d. Supplemental Information: Reporting Systems
In addition to ND Grants, the following information systems are used for the submission of
required reports:
• GRT: Information on the GRT can be found in the Preparedness Grants Manual.
• Unified Reporting Tool (URT): Information on the URT can be found in the
Preparedness Grants Manual.
H. Additional Information
GPD has developed the Preparedness Grants Manual to guide applicants and recipients of
grant funding on how to manage their grants and other resources. Recipients seeking
guidance on policies and procedures for managing preparedness grants should reference the
Preparedness Grants Manual for further information. Examples of information contained in
the Preparedness Grants Manual include:
• Actions to Address Noncompliance
• Audits
• Case Studies and Use of Grant-Funded Resources During Real-World Incident
Operations
• Community Lifelines
• Conflicts of Interest in the Administration of Federal Awards and Subawards
• Disability Integration
• National Incident Management System
• Payment Information
• Period of Performance Extensions
• Procurement Integrity
EXHIBIT F
54
FY 2021 HSGP NOFO Back to the Top
• Record Retention
• Whole Community Preparedness
• Other Post-Award Requirements
1. Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons.
FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§
200.344-200.345 even if an award is terminated in whole or in part. To the extent that
subawards are permitted under this NOFO, pass-through entities should refer to 2 C.F.R. §
200.340 for additional information on termination regarding subawards.
a. Noncompliance
If a recipient fails to comply with the terms and conditions of a federal award, FEMA may
terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may
first attempt to direct the recipient to correct the noncompliance. This may take the form of a
Compliance Notification. If the noncompliance cannot be corrected or the recipient is non-
responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy
for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate
based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as
well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material
failure to comply with the award terms and conditions. See also the section on Actions to
Address Noncompliance in this NOFO or in the Preparedness Grants Manual.
b. With the Consent of the Recipient
FEMA may also terminate an award in whole or in part with the consent of the recipient, in
which case the parties must agree upon the termination conditions, including the effective
date, and in the case of partial termination, the portion to be terminated.
c. Notification by the Recipient
The recipient may terminate the award, in whole or in part, by sending written notification to
FEMA setting forth the reasons for such termination, the effective date, and in the case of
partial termination, the portion to be terminated. In the case of partial termination, FEMA
may determine that a partially terminated award will not accomplish the purpose of the
federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will
follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the
award.
2. Period of Performance Extensions
Extensions to the period of performance (POP) for this program are allowed. Extensions to
the POP identified in the award will only be considered through formal, written requests to
the recipient’s FEMA Preparedness Officer and must contain specific and compelling
justifications as to why an extension is required. Recipients are advised to coordinate with
the FEMA Preparedness Officer as needed when preparing an extension request. Please see
the Preparedness Grants Manual for more information.
EXHIBIT F
3.Taxpayer ID #:
2.Mailing Address (please let us know where you want your check delivered, including attention line if necessary):
No Yes
(attach State
Approval)
If Competitive,
indicate the # of
bids.
Non-Competitive
Bid Sole Source
8. TOTAL
I certify that (please use the checkbox):
3.
4.
5.AUTHORIZED CONTACT INFORMATION (If different from Section B):
PHONE #
E-MAIL:
Revised on December 2019
NOTE: This Form is intended for Internal SSD review purpose only.
AUTHORIZED PRINTED NAME AUTHORIZED TITLE
ASSIGNED INVOICE NO.:
2.All instructions for this form were followed and all the supporting documentation (per instructions) is
included with this claim.
AUTHORIZED SIGNATURE DATE
$-
SECTION D: SUB-RECIPIENT'S CERTIFICATION SECTION E: FOR SSD USE ONLY
1. I am the duly authorized officer of the claimant herein and this claim is in all respect true and correct. All
expenditures were made in accordance with applicable laws, rules, regulations and grant conditions and
assurances.
STAMP WITH RECEIVED DATE HERE:
7.CLAIM
AMOUNT
(indicate the
amount per each
line)
SECTION C: DETAIL PAYMENT REQUEST INFORMATION
1. SOLUTION AREA
(e.g. equipment, training,
planning, exercise, organization)
2.PROJECT #
(e.g. 011.22)
4. EHP required?
(Environmental & Historic
Preservation)5. VENDOR'S INVOICE #
(Maximum of 5 invoices)
6. PURCHASE METHOD
(including Training)
4.Contact's e-mail:
4.Contact's phone:
1. Sub-recipient's Name: (reimbursement check will be made payable to a payee entered
here)
4.Contact's Name:
Please submit Grant Payment Request Form along with legible supporting documents to:1.Grant Name & Year:Grants@auditor.lacounty.gov
In the event e-mail is not available, you can mail your Grant payment request to (please do not fax or send duplicates):
Department of Auditor-Controller
Shared Services Division / Attn: Grants Unit
LOS ANGELES COUNTY/DEPARTMENT OF AUDITOR-CONTROLLER
SHARED SERVICES DIVISION
GRANT PAYMENT REQUEST
SECTION A: SUBMITTING YOUR REQUEST
3470 Wilshire Blvd., Suite 812
Los Angeles, CA 90010
SECTION B: SUB-RECIPIENT'S INFORMATION
EXHIBIT G
Page 1 of 14
Purpose of these instructions:
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1.
2.
3.
4.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1.
2.
4.
a)
Ensuring that all documents attached to your Grant payment requests are legible.
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR-CONTROLLER / SHARED SERVICES DIVISION
INSTRUCTIONS TO COMPLETE THE GRANT PAYMENT REQUEST
To assist sub-recipients in completing the Grant Payment Request. We appreciate your participation in this program, for questions or
suggestions please use our e-mail below to contact us. Please do not send these instructions to us, they are to be used for your
guidance only.
SECTION A: GENERAL INSTRUCTIONS FOR SUBMISSION OF GRANT PAYMENT REQUEST
In numeral 1 of this section, please enter the name and year of the grant program that you are submitting for payment. In addition, please help us expedite
the process of your Homeland Security claims by:
Completing the Grant payment request correctly and according to these instructions.
Submitting your Grant payment request using our e-mail --> Grants@auditor.lacounty.gov (please do not fax documents).
Sending your Grant payment request only once (we do not require original documents and duplicates will slow down our process).
Using the checkboxes to ensure all the required supporting documents and files accompany your Grant payment request. Supporting documents are
flagged for your convenience with a checkbox within the corresponding areas.
Submitting Grant payment request timely. We do not guarantee the process of Grant payment requests that are submitted late or too close to the
final due date. Reimbursable expenditures need to be charged within the performance period of the grant and submitted to us as soon as they are
incurred.
SECTION B: SUB-RECIPIENT'S INFORMATION
Please enter the name of the agency requesting for payment. The name of the agency should be typed according to its signed agreement and as you
need it to appear in the payee line of the reimbursement check.
Please enter the complete address (street number and name, city, zip code) and attention line where you will need to receive the reimbursement
check. Please note that this is not necessary for L.A. County departments.
Please enter the tax ID of the governmental entity requesting payment. Please leave blank for L.A. County departments.
Please enter the information of the person that can assist us with detail claim questions.
SECTION C: DETAIL PAYMENT REQUEST INFORMATION:
In order to expedite your Grant payment request, in this area's grid, include a maximum of five (5) invoices or reimbursements charges (one charge or
one invoice per line). The invoices or charges need to share the same solution area, project #.
Enter the solution area corresponding to the claim. This information is found in the latest budget of the grant. Examples of solution areas are:
equipment, training, planning or exercise.
Enter the project # corresponding to the claim. This information is found in the latest budget of the grant. An example of Item # is 17.020.
Check with an X under either yes or no according to the claim's Environmental & Historical Preservation (EHP) requirements from the State. EHP
approval needs to be obtained from the State prior to the start of the project on certain equipment items (see AEL description) or training/exercise
projects. Please attach the following:
State EHP Approval: if required by the state for your claim.
Revised on 11/20/2017
EXHIBIT G
Page 2 of 14
5.
a)
b)
c)
d)
e)
f)
g)
6.
a)
b)
c)
7.
8.
SECTION D: SUB-RECIPIENT'S CERTIFICATION
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1.
2.
3.
4 &
5.
SECTION C: (Continued)
If the expenditures that you are claiming were purchased thru a vendor or contractor, please enter the invoice # in the grid area. Please note that
you are responsible for following acceptable purchasing policies and for documenting your procurement process. Additionally please include the
following documentation with your claim:
Copy of the invoice: Please attach an invoice that provides sufficient information to be used as a cross reference with the items described
in your grant line item and AEL #. When the invoice includes items that are not being claimed or that belong to different claims or grants,
please circle and designate on the invoice the items that you are requesting for reimbursement. Each item circled must have a project #, a
funding source, and a total. Purchase orders and price quotes will not be accepted in the place of the invoice.
Copy of the purchase order
Print out of the corresponding AEL # (Authorized Equipment List number). The AEL listing can be found at:
https://www.rkb.us/fema_grants.cfm
Proof of payment of the invoice: The proof of payment for L.A. County Departments is the printout from e-CAPS showing that the check
cleared the bank. The proof of payment for other than L.A. County Department is the corresponding copy of the bank's cleared check .
Calculations for use tax paid: When use tax is paid, clearly show the calculations of the use tax in the invoice included in your claim.
Proof of payment of the use tax: Please provide official documents which authenticate the remittance of the use tax to the state, the
amount and the reference to the invoice being claimed.
Federal Debarment Listing: Please provide a screen print out of the queried Federal Debarment Listing at
http://www.sam.gov/portal/public/SAM. (you will need a username and a password; if you don't please create an account) . The listing
needs to be queried prior to the selection of the vendor.
If you are claiming services, supplies, training related costs, or any other type of items purchased thru a vendor or contractor or government agency,
please indicate with an X the method that you used to acquire the items (do not leave blank or mark more than one). Please note that competitive
bid, non-competitive bid or sole source are the only valid purchasing methods.
Competitive Bid: for projects that received more than one bid. Please indicate number of bids received (must be more than one).
Non-Competitive Bid: for single bid purchases of $250,000 or more (effective June 21, 2018) to a single vendor or a single project, please
attach the approval from the State. The approval needs to be requested from the State prior to the start of the project.
Sole Source: for non-bid purchases of $250,000 or more effective (June 21, 2018) to a single vendor or a single project, please attach the
approval from the State. The approval needs to be requested from the State prior to the start of the project.
Enter the amount of your claim after you verify that your budget is sufficient to cover your request. When the amount of the budget is not sufficient,
please let your Program Coordinator know of the possible need for budget modification.
Enter the "Total Amount" by adding the subtotal claims included in each line.
Please read and check the box provided if you are an authorized signor.
Please read and check the box provided if you are an authorized signor.
Please sign the Grant payment request if you are an authorized signor of your agency.
When the authorized person is the same as the contact person in Section B you do not need to enter the authorized contact information. If the
authorized person and the contact person in Section B are different, please enter all the fields in this area as requested.
Revised on 11/20/2017
EXHIBIT G
Page 3 of 14
a)
For Training Claims:
a)
b)
c)
If you are including personnel cost with your training claim, please add the following:
d)
e)
f)
g)
h)
i)
ADDITIONAL ITEMS THAT YOU NEED TO ATTACH TO YOUR GRANT PAYMENT REQUEST:
For Equipment Claims:
Equipment Inventory Listing (Print out & Excel File): Please include both the printout of the listing and the corresponding excel file with
your claim. The excel file is used to submit your claim with the state and the printout as backup document for audits. If there is no serial #
for your equipment please assign a valid ID tag, or write "Consumable" (if it applies) or write N/A. please do NOT leave the corresponding
space blank. *1Please refer to the Instructions to Equip Inty Tab for completion procedures of Equipment Inventory.
Additionally, please enter the appropriate CBRNE Mission (Chemical, Biological, Radiological, Nuclear, or Explosive) in the column titled
"Equipment Description & Quantity". This only applies to vehicles with AEL # 12VE-00-MISS (Vehicle Specialized Mission:CBRNE).
You need to inform us of any changes on the items above *1. This applies to each piece of equipment added in the Inventory
Listing, including when the items are disposed and/or no longer useful. We will update the master inventory listing (per grant
requirement) according to the information you give us. Please make sure that you include all the attachments that are necessary
to provide us with the requested information.
State Sole Source Approval: If you are claiming training related costs thru a Non-Competitive Bid or Sole Source training provider,
regardless the purchased amount, please attach the State's approval (effective December 03, 2018). The approval needs to be requested
from the State prior to the start of the project.
State-Sponsored Training Reporting Form (with the tracking request #): Please add this form along with the Training Request Form
Training Officer (POC), which you completed at the website, to the claim's backup documentation. All the backup documentation submitted
for the training claim needs to agree with the training period and the detail description on the Training Reporting Form and the line item of
the Grant. Training request #'s must be obtained from the State prior to the start of the project.
Receipts and paid invoices: please include the complete copy of the receipts and paid invoices with your claim for itemized costs such as
air plane tickets, hotel stays, instructor's fees, workshop cost, facilities fees, consulting services, etc. Additionally, you will need to include
the documents requested in numeral 5 under Section C.
Personnel List (Print out & Excel File): Please include both the printout of the listing and the corresponding excel file with your claim. The
excel file is used to submit your claim with the state and the printout as backup document for audits.
Documents that certify completion of the training: please attach supporting documents that show the class name, dates of training, # of
hours of the training class, printed name and signature of individual taking the class and approval signature from supervisor or trainer
(attach the information for backfilled positions also). Examples of documents that certify completion of training are:
Attendance sheets (signed by employee and instructor)
Sign in sheets (same as above) Signed training certificates
Summary Listing of Charges: Please use the Training Summary Sheet form provided in this claim packet that clearly shows the
breakdown of the training charges per employee and that match the total claimed. This form includes the following: employee name,
assignment, job title, date, salary, hours claimed, regular rate, overtime rate, employee benefits rate, claim amount per employee, clear
calculations of amount claimed per employee and total (equal to the amount claimed).
Please ensure that the Training Summary Sheet is verified/approved by an authorized signatory, with printed name and title, and
dated.
Backup for the Benefits Rate: If you are adding benefits to your claim, please make sure that you include the official calculation for the
rate used.
Timecards: Include a printout of the corresponding timecards. Manual timecards need to indicate the # of hours charged per day to the
grant, supervisor's signature, employee name and signature. Automatic system generated timecards need to be approved and include the
name of the employee and hours charged per day to the grant.
Explanation of timekeeping codes: When the supporting documentation (timesheet, payroll register, etc.) includes timekeeping codes
please provide a printout with the explanation of the usage as detailed as possible.
Revised on 11/20/2017
EXHIBIT G
Page 4 of 14
j)
k)
For Planning Claims:
a)
b)
c)
d)
a)
b)
c)
Deliverable (or final product): Please include with your claim the final product of the planning activity (deliverable) that was identified in the
grant award.
Payroll register: The payroll register needs to clearly support and explain the amount claimed per employee. It also needs to show the
salary, hourly rate, employee benefits and overtime rate.
Roster of backfilled positions: When you are claiming overtime for a backfilled position, please attach the backfilled roster to your claim.
The roster needs to include the name of the backfilling employees, a short description of duties performed, the corresponding employee
whose duties were covered and the dates accordingly. Please make sure that the roster is signed and that you include documentation
corresponding to the employee covered by the backfilling position.
Signed Certificate of Completion: The certificate of completion can be an e-mail confirming that the planning activity was completed.
Invoices: If your planning claim includes charges invoiced by vendors, please see requirements and documents you need to attach to your
claim form under Section C (numeral 5 and numeral 6).
Supporting Documentation for Personnel Cost: When your planning claim includes personnel cost, please see d) to i) under Training
Claim (supporting documents needed) and add to the documentation.
For Exercise Claims:
Proof of State Approval of After Action Report (AAR): In order for your AAR to be approved you have to submit it to the State using the
ODP Portal (see link below), within 90 days after completion of the exercise. You need to notify the State when the AAR is uploaded so they
can proceed with the approval process.
https://hseep.dhs.gov/DHS_SSO/
Invoices: If your exercise claim includes charges invoiced by vendors please see requirements and documents you need to attach to your
claim form under Section C (numeral 5 and numeral 6).
Supporting Documentation for Personnel Cost: When your exercise claim includes personnel cost, please see d) to i) under Training
Claim (supporting documents needed) and add to the documentation.
For Organization Claims: Please see above b) and c) under Exercise Claims
Revised on 11/20/2017
EXHIBIT G
Page 5 of 14
GRANT NAME:
SUB-RECIPIENT: __________________________________________P. ___ of ___
DATE OF REPORT: ______________________________________
Grant Project AEL Description of Property Serial # or SAFECOM Source of Department Vendor Invoice % of FED Location Use & Condition
Year Number No.Other ID #Consult
(Yes/No/NA)
Property
(SHSP or
EMPG Grant
Program)
(Title Holder)Name Number Date Cost Participation (N=New,
D=Deployed,
O=Out of
Service, L=Lost,
Date Sale Price
N:Grants/Subrecipient Monitoring/Forms/Propery & Equipment Inventory Listing
Revised 12/2019
GRANT PROPERTY AND EQUIPMENT INVENTORY LISTING
Acquisition Disposition
EXHIBIT G
Page 6 of 14
OBJECTIVE:To provide an equipment inventory listing that links the State
Homeland Security Workbook, to the Equipment Ledger and to the
Equipment Listing to simplify the tracking and accountability; and to
Field Date Element
(1)
(2)
(3)
(4)Grant Year
(5)Project #
(7)AEL No.
(8)Description
(9)Serial # or Other ID #
(10)Safecom consult
(11)Source of Property
(12)Title Holder
(13)Vendor Name
(14)Invoice Number
(15)Acquisition Date
(16)Acquisition Cost
(17)% of Fed Part
(18)Location
(19)Use & Condition
(20)Disposition data
(21)Sale Price
of the form.
Note {1}:
taken and the results reconciled with the equipment records (at least
{2}Indicate: N = New, D = Deployed, O = Out of Service, L = Lost & S = Stolen
Project Number (from Grant Workbook Project Sheets)
Equipment Inventory ListingProcedures for Completion
eliminate duplication and confusion.
Procedure
Grant Name SHSP or EMPG
Sub-Recipient Name of your agency
Date of Report Date report completed {1}
Grant Year of funds used to purchase equipment
Fed participation in the cost of equipment
Authorized Equip Listing No (from Grant Workbook)
Description of the equipment
Serial # or Other identification # used
Fill out either by Yes, No, or N/A
Funding source, i.e, SHSP, EMPG, etc.
Name of agency (City/Department)
Name of the vendor
Invoice number
Date equipment acquired
Cost of the individual equipment item
once every two years).
Distribution
Copy maintained in sub-recipient file
Copy forwarded to Shared Services Division
Location of equipment
Use & condition {2}
Date of disposition
Sale price, If applicable, or N/A for not applicable
The Equipment Inventory Listing must be completed in its entirety to meet the objective
This date should be the date the physical inventory of equipment was
EXHIBIT G
Page 7 of 14
Grant Name
Jurisdiction Name:
Training Provider:
OHS Approved Course Title:
Non-SLGCP Course Title & OHS Tracking No.
(requires pre-approval thru OEM)
Date of Course:
Class/ Exercise Duration/Hours:
EMP NO.EMPLOYEE NAME ASSIGNMENT TITLE
TRAINING
REQUEST #
TRAINING
START DATE
TRAINING END
DATE
SALARY OT REG RATE OT RATE OT PAY
Are you
claiming
for
Employee
Benefits?
Employee
Benefits Rate CLAIM
(for Training only)HOURS TOTAL
1 -$ -$ -$
2
3
4
5
6
7
8
9
10
GRAND TOTAL -$
Approved by:
Authorized Signature
Print Name and Title Date
Training Summary
Sheet
EXHIBIT G
Page 8 of 14
- -
GRAND TOTAL $
Approved by:
Authorized Signature
Print Name and Title Date
Final Product
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
PLANNING ROSTER
Project Planning Activity Solution Area
Sub-Category Discipline Funding Source Total Cost Total Claimed Cash Request
Number
FMFW v1.09- 06/09
EXHIBIT G
Page 9 of 14
- -
GRAND TOTAL $
Approved by:
Authorized Signature
Print Name and Title Date
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
EXERCISE ROSTER
Project Exercise Title Funding Source Solution Area
Sub-Category Discipline Cash Request
Number Total Cost Total Claimed Conducted By Date of
Exercise Exercise Type Exercise Role Date AAR entered into HSEEP
FMFW v1.09- 06/09
EXHIBIT G
Page 10 of 14
8.Notes on Personnel Cost:
In general, costs associated with:
Work performed under contract for a specific deliverable DOES NOT count against the
personnel cap, however,
Work performed under contract for an undefined period, such as for personnel costs
supporting operational activities, including general planning, training or exercise
activities DO count against the personnel cap; and
Work performed by all non-contractor personnel, including for full- or part-time staff and
operational overtime DO count against the personnel cap.
The following examples would not count towards the personnel cap:
Vendor installation of a radio tower;
Vendor training on new equipment purchased;
Contractor hired to create an Emergency Operations Plan;
Contractor hired to provide deliveries of ICS 400; and
Contractor hired to assist with planning, training, evaluating, and reporting the
effectiveness of a specific exercise.
The following examples would count towards the personnel cap:
Contractor hired to be the State’s WMD training instructor with no specific deliverables
under contract;
Contractor hired to facilitate unidentified number of exercises throughout the
performance period;
Contractor hired to be the part-time auditor of Homeland Security Grants throughout the year; and
Contractor hired to be an intelligence analyst.
EXHIBIT G
Page 11 of 14
Employee Name Project / Deliverable Funding
Source Discipline Solution Area Solution Area Sub
Category
Dates of Payroll
Period
Total Salary &
Benefits charged
for this Reporting
Period
Total Project
Hours
REIMB
Request #
Total Cost Charged
to Grant
- - N/A -
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project
FMFW v1.15a - 2015
EXHIBIT G
Page 12 of 14
FMFW v1.15a - 2015
EXHIBIT G
Page 13 of 14
FMFW v1.15a - 2015
EXHIBIT G
Page 14 of 14
Subrecipient Monitoring Instrument
Subrecipient Monitoring Instrument
PROJECT TITLE
Los Angeles County State Homeland Security Program
Monitoring Reports
A.FINANCIAL REPORTING REQUIREMENTS
Objective
To determine that the Subrecipient implemented corrective action to address findings noted in its
Single Audit that is related to the Homeland Security Grant.
Verification Yes No Comment
1.Was a Single Audit completed for Grant Year 2014-15
and 2015-16?
2.If yes, did the Subrecipient forward a copy to the
Homeland Security Grant Administrator (HSGA) by
March 30th of the year following the audit?
3.Did the Single Audit(s) identify findings related to the
Homeland Security Grant? If yes, please continue.
If no, please mark N/A and continue to Section B.
4.Did the Subrecipient develop a corrective action plan
that addresses the finding(s)?
5.Did the Subrecipient send a copy of a corrective action
plan to the HSGA?
6.Did the Subrecipient implement the corrective action
plan?
EXHIBIT H
Page 1 of 11
SAMPLE COPY
B.TRAINING
Objective
To determine that the Training expenditures were appropriately documented and that the activities
aligned with the project’ s goals and objectives. If the Training activities involved employees,
determine if the Subrecipient appropriately documented the Training expenditures using employee
timecards, sign-in sheets, and certificates of training. If the Training activities involved using
consultants or contractors, determine if the Subrecipient followed the appropriate procurement
procedures to hire the consultants or contractors. Use Worksheets 1 and 3 (See Attachment E –
Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1.Did the Subrecipient receive funding for Training
expenditures? If yes, then continue. If no, continue
to next section.
2.Did the Subrecipient receive prior approval from
the State either via email or other documentation
and did it include the training course name and
number?
3.If the Training expenditures relate to the use of
employees, did the Subrecipient appropriately
document the Training expenditures using employee
timecards, sign-in sheets and certificates of training?
4.If Training expenditures relate to the use of
consultants/contractors, did the Subrecipient follow
proper procurement procedures to hire the consultants
or contractors?
5.Did the Subrecipient accurately report the Training
expenditures in their accounting records?
6.For Projects with overtime expenditures for Training:
a.Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b.Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
EXHIBIT H
Page 2 of 11
B.TRAINING (Continued)
Verification Yes No Comments
7.For Projects with backfill expenditures for Training:
a.Does the Subrecipient have documentation that
the backfill expenditures were approved by the
State?
b.Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
c.Did the Subrecipient accurately report the
expenditures in their accounting records?
8.Were employee timecards utilized in Training activities
signed and dated by the employee and direct supervisor?
9.Were the Training expenditures consistent with the State
approved grant award and/or post award modification(s)?
10.Ensure the Subrecipient corrected areas of noncompliance
that remain outstanding and were reported as findings in
prior Grant Year monitoring reports submitted by HSGA:
a.If the Project prior Grant Year monitoring report
finding was resolved, explain resolution, and indicate
such in the current report as resolved.
b.If the Project prior Grant Year report finding is not
resolved, indicate why it has not been resolved and
what the Subrecipient is doing to resolve the prior
year finding and indicate such in the current report.
EXHIBIT H
Page 3 of 11
C. PLANNING
Objective
To determine that the Planning expenditures were appropriately documented and that the
activities aligned with the project’s goals and objectives. If the Planning activities involved
employees, determine if the Subrecipient appropriately documented the Planning expenditures
using employee timecards and sign-in sheets. If the Planning activities involved using
consultants or contractors, determine if the Subrecipient followed the appropriate procurement
policies. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Planning
expenditures? If yes, continue. If no, continue to
next section.
2. Did the Subrecipient appropriately document the
Planning expenditures providing copies of the
support documentation that indicated the efforts
made to produce the final product and a copy of
the product produced?
3. If Planning expenditures relate to the use of employees,
did the Subrecipient use employee timecards and
sign-in sheets?
4. If Planning expenditures relate to the use of
consultants/contractors, did the Subrecipient
follow proper procurement procedures to hire
the consultants or contractors?
5. Did the Subrecipient accurately report the
Planning expenditures in their accounting records?
6. For Projects with overtime expenditures for
Planning:
a. Did the Subrecipient maintain employee
timecards to appropriately document the
overtime expenditures?
EXHIBIT H
Page 4 of 11
C. PLANNING (Continued)
Verification Yes No Comments
b. Did the Subrecipient accurately report the
overtime expenditures in their accounting
records?
7. For Projects with backfill expenditures for Planning:
a. Does the Subrecipient have documentation
that the backfill expenditures were approved
by the State?
b. Did the Subrecipient appropriately document
the backfill expenditures using employee
timecards and sign-in sheets?
c. Did the Subrecipient accurately report the
backfill expenditures in their accounting
records?
8. Were the employee timecards utilized in Planning
activities signed and dated by the employee and
direct supervisor?
9. Were the Planning expenditures consistent with the
State approved grant award and/or post award
modification(s)?
10. Ensure the Subrecipient corrected area of
noncompliance that remain outstanding and were
reported as findings in prior Grant Year monitoring
reports submitted to HSGA:
a. If the project prior Grant Year monitoring report
finding was resolved, explain resolution, and
indicate such in the current report as resolved.
b. If the project prior Grant Year monitoring report
finding is not resolved, indicate why it has not been
resolved and what the Subrecipient is doing to
resolve the prior year finding and indicate such in
the current report.
EXHIBIT H
Page 5 of 11
D. EQUIPMENT
Objective
To determine that the project Equipment expenditures are supported by invoices and that a
listing of the Equipment/property is maintained by the Subrecipient. To determine that the
purchases are aligned with the project’s goals and objectives. Use Worksheets 2 and 3 (See
Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Equipment
expenditures? If yes, continue. If no, continue to
next section.
2. Did the Subrecipient maintain invoices to support
the Equipment expenditures?
3. Did the Subrecipient follow proper procurement
procedures to purchase the Equipment and were
the items listed in the federal “Authorized
Equipment List” and/or “Standardized Equipment List”?
4. Did the Subrecipient accurately report the
Equipment expenditures in their accounting records?
5. Did the Subrecipient maintain an Equipment
inventory that listed the following:
a) Description of Equipment,
b) Serial number or other identification number,
c) AEL number,
d) Fund/source/grant year,
e) Title holder,
f) 100 percent of federal participation. If no, then identify percentage,
g) Acquisition date,
h) Acquisition cost,
i) Quantity,
j) Equipment location,
k) Use and condition of Equipment,
l) Disposal date and sale price of the Equipment
6. Did the Subrecipient conduct an inventory of
Equipment purchased with Cal/OES grant funds at
least once every two years?
EXHIBIT H
Page 6 of 11
D. EQUIPMENT (Continued)
Verification Yes No Comments
7. Was the Equipment physically inspected to ensure:
a. The Equipment existed and agreed to inventory
listing?
b. The Equipment worked and adequately trained
staff are available to operate the Equipment?
8. Did the Subrecipient maintain Equipment in a secure
location?
9. For property other than Equipment, i.e. supplies, did
the Subrecipient have controls and accountability to
safeguard and ensure that the items are used and
solely for authorized purposes?
10. For Equipment disposal, if any:
a. Was the disposition consistent with federal
regulations?
b. What is the status of the proceeds received from the
disposal?
11. Did the Subrecipient have a policy for damaged,
destroyed, lost or stolen Equipment including but
not limited to informing the Cal/OES, steps to replace the
Equipment and an investigative process?
12. Were the Equipment expenditures consistent with
State approval grant award and/or post award
modification(s)?
13. Ensure the Subrecipient corrected areas of noncompliance
that remain outstanding and were reported as findings in prior
Grant Year monitoring reports maintained by HSGA:
a. If the project prior Grant Year monitoring report finding
was resolved, explain resolution, and indicate such in
the current report as resolved.
b. If the project prior Grant Year monitoring report finding
is not resolved, indicate why it has not been resolved
and what the Subrecipient is doing to resolve the prior year
finding and indicate such in the current report.
EXHIBIT H
Page 7 of 11
E. EXERCISE
Objective
To determine that the Exercise expenditures were appropriately documented and the
activities align with project’s goals and objectives. If the Exercise activities involved employees,
determine if the Subrecipient appropriately documented the Exercise expenditures using
timecards and sign-in sheets. If the Exercise activities involved using consultants or consultants,
determine if the Subrecipient followed the appropriate procurement procedure. Use
Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Exercise
expenditures? If yes, continue. If no, continue to
next section.
2. Did the Subrecipient receive prior approval from the
State either via email or other documentation and did it
include the Exercise course name and number?
3. If the Exercise expenditures relate to the use of employees,
did the Subrecipient appropriately document the Exercise
expenditures using employee timecards, sign-in sheets, and
certificates for Exercise?
4. If the Exercise expenditures relate to the use of consultants/
contractors, did the Subrecipient follow proper procurement
procedures to hire the consultants or contractors?
5. Did the Subrecipient accurately report the Exercise
expenditures in their accounting records?
6. For Projects with overtime expenditures for Exercise:
a. Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
c. Did the Subrecipient accurately report the backfill
expenditures in their accounting records?
7. For Projects with backfill expenditures for Exercise:
a. Does the Subrecipient have documentation that
the backfill expenditures were approved by the State?
b. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
EXHIBIT H
Page 8 of 11
E. EXERCISE (Continued)
Verification Yes No Comments
8. Were the employee timecards utilized in the Exercise activities
signed and dated by the employee and direct supervisor?
9. Were the Exercise expenditures consistent with the State
approved grant award and/or post award modifications?
10. Ensure the Subrecipient corrected areas of noncompliance
that remain outstanding and were reported as findings in
prior Grant Year monitoring reports:
a. If the Project prior Grant Year monitoring report finding
was resolved, explain resolution and indicate such in
the current report as resolved.
b. If the Project prior Grant Year monitoring report finding is
not resolved, indicate why it has not been resolved and what
the Subrecipient is doing to resolve the prior year finding and
indicate such in the current report.
EXHIBIT H
Page 9 of 11
F. ORGANIZATION
Objective
To determine that the Organization expenditures were appropriately documented and that the
activities align with the project’s goals and objectives. If the Organization activities involved
employees, determine if the Subrecipient appropriately documented the Organization expenditures
using employee timecards and sign-in sheets. If the Organization activities involved using consultants
or contractors, determine if the Subrecipient followed the appropriate procurement policies. Use
Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).
Verification Yes No Comments
1. Did the Subrecipient receive funding for Organization
expenditures? If so, continue. If no, continue to next section.
2. If the Organization expenditures relate to the use of
employees, did the Subrecipient document the expenditures
using employee timecards, sign-in sheets, or with other
support documentation that substantiated the expense?
3. If the Organization expenditures relate to the use of
consultants or contractors, did the Subrecipient follow
proper procurement procedures to hire the consultants
or contractors?
4. Did the Subrecipient accurately report the Organization
expenditures in their accounting records?
5. For Projects with overtime expenditures for Organization:
a. Did the Subrecipient maintain employee timecards to
appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records.?
EXHIBIT H
Page 10 of 11
F.ORGANIZATION (Continued)
Verification Yes No Comments
6.For Projects with backfill expenditures for Organization:
b.Does the Subrecipient have documentation that the
backfill expenditures were approved by the State?
c.Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
other payroll documentation?
7.Were employee timecards utilized in Organization activities
signed and dated by the employee and direct supervisor?
8.Were the Organization expenditures consistent with the State
approved grant award and/or post award modification(s)?
9.Ensure that the Subrecipient corrected areas of noncompliance
that remain outstanding and were reported as findings in prior
Grant Year monitoring reports maintained by HSGA:
a.If the Project prior Grant Year monitoring report finding
was resolved, explain resolution and indicate such in the
current report as resolved.
b.If the Project prior Grant Year monitoring report finding
is not resolved, indicate why it has not been resolved and
what the Subrecipient is doing to resolve the prior year
finding and indicate such in the current report.
EXHIBIT H
Page 11 of 11