PARTICIPATING AGENCY SUBGRANT AGREEMENT - HOMELAND SECURITY
PARTICIPATING AGENCY SUBGRANT AGREEMENT
THE PARTIES HERETO ARE:
The City of Tampa, Florida
Hillsborough County, Florida
Hillsborough County Sheriff s Office
Pinellas County, Florida
Pinellas County Sheriff s Office
The City of St. Petersburg, Florida
The City of Clearwater, Florida
WHEREAS, the City of Tampa has been designated as the recipient of a federal grant in an
amount not exceeding $5,774,989 from the FY 2003 Urban Areas Security Initiative II,
administered by the U.S. Department of Homeland Security (D.S.D.H.S.) through the State of
Florida Department of Community Affairs (F.D.C.A.); and
WHEREAS, the grant is intended to improve the responsiveness and effectiveness of law
enforcement, emergency medical services, emergency management, fire service, h~ardous
materials teams, public works, public safety communications, healthcare and public health; and
WHEREAS, geographically, the grant is intended to augment services available to citizens of
the greater Tampa Bay metropolitan area to include all of Hillsborough and Pinellas Counties;
and
WHEREAS, the parties hereto will cooperate in a combined effort to achieve a measurable
decrease in the vulnerability of the Tampa Bay area to terrorist attack as well as heightened
ability to respond to such an attack; and
WHEREAS, the federal grant is a reimbursement grant subject to strict limitations and
conditions imposed upon the recipient by both U.S.D.H.S. and the F.D.C.A. as set forth in the
respective grant award and sub grant agreement documents; and
WHEREAS, the undersigned parties agree to strictly abide by the terms and conditions set forth
in the above referenced documents as well as the provisions of this Participating Agency
Subgrant Agreement.
NOW, THEREFORE, in consideration of the mutual covenants expressed herein the
undersigned parties agree as follows:
1. Each party hereto acknowledges and agrees to be bound by the applicable terms
and conditions of the Federally Funded Subgrant Agreement including all exhibits and
attachments thereto, just as if each of the undersigned were the specified "recipient" as
referenced in said agreement. Provided, however, reports and documentation required by
the Federally Funded Subgrant Agreement shall be provided to the City of Tampa rather
than to U.S.D.H.S. or F.D.C.A. All such reports and documentation shall be provided to
Tampa fifteen (15) days in advance of the due date of Tampa's corresponding report to
F.D.C.A.
2. Each party hereto will actively participate in the establishment and ongomg
activities of the Urban Area Working Group including, without limitation, the conduction
of an Urban Area Assessment and the development of an Urban Area Homeland Security
Strategy.
3. The parties hereto understand and agree that the aforementioned federal grant
funds are available primarily on a reimbursement basis for certain qualifying
expenditures which must be in complete conformance with the requirements of the grant
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and approved in advance by federal grant administrators, the state Department of
Community Affairs and the Urban Area Working Group. Expenditures not in complete
conformance with the foregoing terms will not be reimbursed. In the event a
participating agency other than the City of Tampa will be called upon to prepay specific
identified expenses, a separate agreement will be executed between that agency and the
City of Tampa articulating the details of that transaction. Attached hereto is the FY03
Budget Proposal for the expenditure of grant funds. This proposal is a general outline
subject to modification by the Urban Area Working Group with the concurrence of state
and federal grant administrators.
4. Under no circumstances will the City of Tampa be liable to any party hereto or to
any other person or entity for costs or expenses connected with this Agreement or the
aforementioned grant. Rather, the City of Tampa's sole financial obligation to the other
parties hereto will be to promptly disburse federal grant funds actually received by the
City to the appropriate party for reimbursement of specifically approved expenditures.
5. The parties hereto agree to execute additional documents, provide additional
information, and make additional certifications as may reasonably be required in
satisfaction of the parties' obligations under this Agreement and the Federally Funded
Sub grant Agreement.
6. The City of Tampa shall have enforcement rights and remedies to compel the
performance of the parties' obligations hereunder coextensive with the corresponding
rights and remedies retained by the state or federal governments (or agencies thereof)
against the "recipient" specified in the Federally Funded Subgrant Agreement.
~
P ARTICIP ATING AGENCY
SUBGRANT AGREEMENT
IN WITNESS WHEREOF, the parties hereto cause these presents to be signed on the
date specified.
HILLSBOROUGH COUNTY, FLORIDA:
Thomas Scott, Chairman
Board of County Commissioners
Date
ATTESTED:
APPROVED AS TO FORM:
County Attorney/Assistant County Attorney
(INDIVIDUAL SIGNATORY PAGE)
LI.
PARTICIPATING AGENCY
SUBGRANT AGREEMENT
IN WITNESS WHEREOF, the parties hereto cause these presents to be signed on the
date specified.
HILLSBOROUGH COUNTY
SHERIFF'S OFFICE:
Cal Henderson, Sheriff
Hillsborough County Sheriff s Office
Date
ATTESTED:
APPROVED AS TO FORM:
Ellen Leonard
Chief Legal Advisor
(INDIVIDUAL SIGNATORY PAGE)
'i
P ARTICIP ATING AGENCY
SUBGRANT AGREEMENT
IN WITNESS WHEREOF, the parties hereto cause these presents to be signed on the'
date specified.
PINELLAS COUNTY, FLORIDA:
Susan Latvala, Chairman
Board of County Commissioners
Date
ATTESTED:
APPROVED AS TO FORM:
County Attorney/Assistant County Attorney
(INDIVIDUAL SIGNATORY PAGE)
h
PARTICIPATING AGENCY
SUBGRANT AGREEMENT
IN WITNESS WHEREOF, the parties hereto cause these presents to be signed on the
date specified.
PINELLAS COUNTY
SHERIFF'S OFFICE:
Everett S. Rice, Sheriff
Pinellas County Sheriff s Office
Date
ATTESTED:
APPROVED AS TO FORM:
(INDIVIDUAL SIGNATORY PAGE)
'7
P ARTICIP ATING AGENCY
SUBGRANT AGREEMENT
IN WITNESS WHEREOF, the parties hereto cause these presents to be signed on the
date specified. .
CITY OF ST. PETERSBURG:
Rick Baker, Mayor
City of St. Petersburg
Date
ATTESTED:
City Clerk/Deputy City Clerk
APPROVED AS TO FORM:
City Attorney/Assistant City Attorney
(INDIVIDUAL SIGNATORY PAGE)
Q
PARTICIPATING AGENCY
SUB GRANT AGREEMENT
IN WITNESS WHEREOF, the parties hereto cause these presents to be signed on the
date specified.
CITY OF CLEARWATER:
~U~J1:
William B. Horne II, City Manager
City of Clearwater
Date 0-/ Jo'l /01
I I
ATTESTED:
c~~ !1- .Qo. _
U City Cl~k
APPROVED AS TO FORM:
(INDIVIDUAL SIGNATORY PAGE)
q
P ARTICIP ATING AGENCY
SUBGRANT AGREEMENT
IN WITNESS WHEREOF, the parties hereto cause these presents to be signed on the
date specified.
CITY OF TAMPA:
PAM IORIO, MAYOR
City of Tampa
Date
STEPHEN HOGUE
Chief of Police
ATTESTED:
City Clerk/Deputy City Clerk
APPROVED AS TO FORM:
KIRBY C. RAINSBERGER
Assistant City Attorney
(INDIVIDUAL SIGNATORY PAGE)
10
Homeland Security
Revised Financial Resolution #1
$ 837,000
Grant Period: July 1, 2003 to June 30, 2005
Resolution No. #2003-782 dated 6/2612003
Grant Acceptance Resolution $5,774,989 from Office of Domestic
Preparedness - US Department of Homeland Security
Resolution No. #2003-1118 dated 9/18/2003
Acceptance of $5,770,000 between the Florida
Department of Community Affairs and the City of Tampa
Federally Funded Subgrant Agreement Contract No. #04DS-l S-08-39-02-257
I. Consultant Services for Mana2ement Skills $ 607.000
Project coordination and management $153,000
Planning $300,000
Emergency Management Director (Clearwater) $154,000
1. Recommended Consultant: General Physics Corporation
2. Purchasing Process: State Contract No. #973-001-00-1
IV. Surveillance Platform (Equipment for surveillance van (s) $100,000
V. Team Equipment (Personal Protective Equipment, HazMat)
Tools, Minor Equipment $ 60,000
Capital Equipment $ 60,000
Travel and Per Diem $ 10,000
Grant Awarded
Amount Requested to be Appropriated 3/25/04
Remaining Appropriation
$5,774,989
$ 837,000
$4,937,989
Approved by
Jurisdiction
Date
CITY OF TAMPA
..J t 1-/-
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Pam Iorio, Mayor
Police Department
Stephen Hogue
Chief of Police
MEMORANDUM
RECEIVED
APRO 5 2004
CITY ATTORNEY
March 22, 2004
To:
All Parties to Participating Agency Subgrant Agreement
From:
Kirby C. Rainsberger, Assistant City Attorney
RE:
Execution of Agreement
Accompanying this memorandum are three copies of a Participating Agency Subgrant
Agreement and one copy ofthe document entitled "Federally Funded Subgrant Agreement" which
also incorporates the Urban Areas Security Initiative Grant Program II Application and Agreement.
Please arrange for the execution ofthe Participating Agency Sub grant Agreement and return two (2)
executed original signatory pages to me at your earliest convenience. Upon receipt of all signed
originals, I will compile and provide to each party a copy of the fully executed Agreement.
Thank you for your consideration and cooperation.
Sincerely,
eJc. (1.
K1 YC. . IN~
Assis . ty Attorney
KCR/jc
Enclosures
One Police Center. 411 N. Franklin Street. Tampa, Florida 33602.813/276-3200
Q'ampaGav
www.tampagov.net
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Contract Number: 0408-18:'08-39-02-",;::-7
CFDA Number: 16.007
FEDERALLY FUNDED 8UBGRANT AGREEMENT
THIS AGREEMENT is entered into by and between the State of Florida, Department of
Community Affairs, with headquarters in Tallahassee, Florida (hereinafter referred to as the
"Department"), and the City of Tampa, (hereinafter referred to as the "Recipient").
THIS AGREEMENT IS ENTERED INTO BASED ON THE FOllOWING FACTS:
A. WHEREAS, the Recipient represents that it is fully qualified and eligible to receive these grant
fundsto provide the services identified herein; and
B. WHEREAS, the Department has received these grant funds from the federal government, and
has the authority to subgrant these funds to the Recipient upon the terms and conditions hereinafter set
forth; and
C. WHEREAS, the Department has authority pursuant to Florida law to disburse the funds under
this Agreement.
NOW, THEREFORE, the Department and the Recipient do mutually agree as follows:
(1) SCOPE OF WORK.
The Recipient shall fully perform the obligations in accordance with the Budget and Scope
of Wor~, Attachment A of this Agreement.
(2) INCORPORATION OF LAWS. RULES. REGULATIONS AND POLICIES.
Both the Recipient and the Department shall be governed by applicable State and Federal
laws, rules and regulations, including but not limited to those identified in Attachment B.
(3) PERIOD OF AGREEMENT.
This Agreement shall begin July 1, 2003, and shall end June 30, 2005, unless terminated
earlier in accordance with the provisions of paragraph (9) of this Agreement.
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(4) MODIFICATION OF CONTRACT: REPAYMENTS
Either party may request modification of the provisions of this Agreement. Changes
which are mutually agreed upon shall be valid only when reduced to writing, duly signed by each of the
parties hereto, and attached to the original of this Agreement.
All refunds or repayments to be made to the Department under this Agreement are to be
made payable to the order of "Department of Community Affairs", and mailed directly to the Department at
the following address:
Department of Community Affairs
Cashier
Finance and Accounting
2555 Shumard Oak Boulevard
Tallahassee FL 32399-2100
In accordance with S 215.34(2), Fla. Stat., if a check or other draft is returned to the Department for
collection, the Department must add to the amount of the check or draft a service fee of Fifteen Dollars
($15.00) or Five Percent (5%) of the face amount of the check or draft, whichever is greater.
(5) RECORDKEEPING
(a) As applicable, Recipient's performance under this Agreement shall be subject to the
federal "Common Rule: Uniform Administrative Requirements for State and Local Governments" (53
Federal Register 8034) or OMS Circular No. A-110, "Grants and Agreements with Institutions of High
Education, Hospitals, and Other Nonprofit Organizations," and either OMB Circular No. A-8?, "Cost
Principles for State and Local Governments," OMB Circular No. A-21 , "Cost Principles for Educational
Institutions," or OMB Circular No. A-122, "Cost Principles for Nonprofit Organizations." If this Agreement
is made with a commercial (for-profit) organization on a cost-reimbursement basis, the Recipient shall be
subject to Federal Acquisition Regulations 31.2 and 931.2.
(b) The Recipient shall retain sufficient records demonstrating its compliance with the
terms of this Agreement for a period of five years from the date the audit report is issued, and shall allow
the Department or its designee, Comptroller, or Auditor General access to such records upon. request.
The Recipient shall ensure that audit working papers are made available to the Department or its
2
designee, Comptroller, or Auditor General upon request for a period of five years from the date the audit
report is issued, unless extended in writing by the Department, with the following exceptions:
1. If any litigation, claim or audit is started before the expiration of the five year
period and extends beyond the five year period, the records will be maintained until all litigation, claims or
audit findings involving the records have been resolved.
2. Records for the disposition of non-expendable personal property valued at
$5,000 or more at the time of acquisition shall be retained for five years after final disposition.
3. Records relating to real property acquisition shall be retained for five years
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(d) If all required reports and copies, prescribed above, are not sent to the Department or
are not completed in a manner acceptable to the Department, the Department may withhold further
payments until they are completed or may take such other action as set forth in paragraph (9). The
Department may terminate the Agreement with a Recipient if reports are not received within 30 days after
written notice by the Department. "Acceptable to the Department" means that the work product was
completed in accordance with generally accepted principles and is consistent with the Budget and Scope
of Work.
(e) Upon reasonable notice, the Recipient shall provide such'additional program updates
or information as may be required by the Department.
(7) MONITORING.
The Recipient shall constantly monitor its performance under this Agreement to ensure that time
schedules are being met, the Budget and Scope of Work is being accomplished within specified time
periods, and other performance goals are being achieved. Such review shall be made for each function or
activity set forth in Attachment A and A-2 to this Agreement. In addition, the Department will monitor the
performance and financial management by the Recipient throughout the contract term to ensure timely
completion of all tasks.
In addition to reviews of audits conducted in accordance with OMS Circular A-133, as
revised (see "AUDIT REQUIREMENTS' below), monitoring procedures may include, but not be limited to,
on,..site visits by Department staff,limited scope audits as defined by OMS Circular A-133, as revised,
and/or other procedures. By entering into this Agreement, the Recipient agrees to comply and cooperate
with any monitoring procedures/processes deemed appropriate by the Department. In the event that the
Department determines that a limited scope audit of the Recipient is appropriate, the Recipient agrees to
comply with any additional instructions provided by the Department to the Recipient regarding such audit.
The Recipient further agrees to comply and cooperate with any inspections, reviews, investigations or
audits deemed necessary by the Comptroller or Auditor General. In addition, the Department will monitor
the performance and financial management by the Contractor throughout the contract term to ensure
timely completion of all tasks.
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(8) LIABILITY.
(a) Unless Recipient is a State agency or subdivision, as defined in Section 768.28, Fla.
Stat., the Recipient shall be solely responsible to parties with whom it shall deal in carrying out the terms
of this agreement, and shall save the Department harmless against all claims of whatever nature by third
parties arising out of the performance of work under this agreement. For purposes of this agreement,
Recipient agrees that it is not an employee or agent of the Department, but is an independent contractor.
(b) Any Recipient who is a state agency or subdivision, as defined in Section 768.28, Fla.
Stat., agrees to be fully responsible to the extent provided by Section 768.28 Fla. Stat. for its negligent
acts or omissions or tortious acts which result in claims or suits against the Department, and agrees to be
liable for any damages proximately caused by said acts or omissions. Nothing herein is intended to serve
as a waiver of sovereign immunity by any Recipient to which sovereign immunity applies. Nothing herein
shall be construed as consent by a state agency or subdivision of the State of Florida to be sued by third
parties in any matter arising out of any contract.
(9) DEFAULT: REMEDIES: TERMINATION.
(a) If the necessary funds are not available to fund this agreement as a result of action by
Congress, the state Legislature, the Office of the ~omptroller or the Office of Management and Budgeting,
or if any of the following events occur ("Events of Default"), all obligations on the part .of the Department to
make any further payment of funds .hereunder shall, if the Department so elects, terminate arid the
Department may, at its option, exercise any of its remedies set forth herein, but the Department may make
any payments or parts of payments after the happening of any Events of Default without thereby waiving
the right to exercise such remedies, and without becoming liable to make any further payment:
1. If any warranty or representation made by the Recipient in this Agreement or
any previous Agreement with the Department shall at any time be false or misleading in any respect, or if
the Recipient shall fail to keep, observe or perform any of the terms or covenants contained in this
Agreement or any previous agreement with the Department and has not cured such in timely fashion, or is
unable or unwilling to meet its obligations thereunder; .
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2. If any material adverse change shall occur in the financial condition of the
Recipient at any time during the term of this Agreement from the financial condition revealed in any
reports filed or to be filed with the Department, and the Recipient fails to cure said material adverse
change within thirty (30) days from the time the date written notice is sent by the Department.
3. If any reports required by this Agreement have not been submitted to the
Department or have been submitted with incorrect, incomplete or insufficient information;
4. If the Recipient has failed to perform and complete in timely fashion any of the
services required under the Budget and Scope of Work attached hereto as Attachments A and A-2.
5. If the Recipient fails to comply with the requirements of statutory objectives of
Federal laws or regulations.
(b) Upon the happening of an Event of Default, then the Department
may, at its option, upon thirty (30) calendar days prior written notice to the Recipient and upon the
Recipient's failure to timely cure, exercise anyone or more of the following remedies, either concurrently
or consecutively, and the pursuit of anyone of the following remedies shall not preclude the Department
from pursuing any other remedies contained herein or otherwise provided at law or in equity:
1. Terminate this Agreement, provided that the Recipient is given at least thirty
(30) days prior written notice of such termination. The notice shall be effective when placed in the United
States mail, first class mail, postage prepaid, by registered or certified mail-return receipt requested, to the
address set forth in paragraph (10) herein;
2. Commence an appropriate legal or equitable action to enforce performance of
this Agreement;
3. Withhold or suspend payment of all or any part of a request for payment;
4. Exercise any corrective or remedial actions, to include but not be limited to,
requesting additional information from the Recipient to determine the reasons for or the extent of non-
compliance or lack of performance, issuing a written warning to advise that more serious measures may
be taken if the situ.ation is not corrected, advising the Recipient to suspend, dis90ntinue or refrain from
6
incurring costs for any activities in question or requiring the Recipient to reimburse the Department for the
amount of costs incurred for any items determined to be ineligible;
5. Exercise any other rights or remedies which may be otherwise available under
law;
(c) The Department may terminate this Agreement for cause upon such written notice as
is reasonable under the circumstances. Cause shall include, but not be limited to, misuse of funds; fraud;
lack of compliance with applicable rules, laws and regulations; failure to perform in a timely manner; and
refusal by the Recipient to permit public access to any document, paper, letter, or other material subject to
disclosure under Chapter 119, Fla. Stat., as amended.
(d) Suspension or termination constitutes final agency action under Chapter 120, Fla.
Stat., as amended. Notification of suspension or termination shall include notice of administrative hearing
rights and time frames.
(e) In addition to any other remedies, the Recipient shall return to the Department any
funds which were used for ineligible purposes under the program laws, rules, and regulations governing
the use of the funds under the program.
(f) This Agreement may be terminated by the written mutual consent of the parties.
(g) Notwithstanding the above, the Recipient shall not be relieved of liability to the
Department by virtue of any breach of Agreement by the Recipient. The Department may, to the extent
authorized by law, withhold any payments to the Recipient for purpose of set-off until such time as the
exact amount of damages due the Department from the Recipient is determined.
(10) NOTICE AND CONTACT.
(a) All notices provided under or pursuant t? this Agreement shall be in writing, either by
hand delivery, or first class, certified mail, return receipt requested, to the representative identified below
at the address set forth below and said notification attached to the original of this Agreement.
(b) The name and address of the Department contract manager for this Agreement is:
Qianne Smith, Financial Specialist
Department of Community Affairs
Division of Emergency Management
2555 Shumard Oak Boulevard
7
Tallahassee, Florida 32399-2100
Telephone: (850) 413-9966
Fax: (850) 488-7842
Email: dianne.smith@dca.state.fI.us
(c) The name and address of the Representative of the Recipient responsible for the
administration of this Agreement is:
Ms. Jane E. Castor
Tampa Police Department
One Police Center
411 North Franklin Street
Tampa, FI. 33602
Telephone: 813-931-6599
Fax: 813-931-6570
Email: jane.castor@!cLtampa.fl.us
(d) In the event that different representatives or addresses are designated by either party
after execution of this Agreement, notice of the name, title and address of the new representative
will be rendered as provided in (10)(a) above.
(11) OTHER PROVISIONS.
(a) The validity of this Agreement is subject to the truth and accuracy of all the
information, representations, and materials submitted or provided by the Recipient in this Agreement, in
any subsequent submission or response to Department request, or in any submission or response to fulfill
the requirements of this Agreement, and such information, representations, and materials are
incorporated by reference. The lack of accuracy thereof or any material changes shall, at the option of the
Department and with thirty (30) days written notice to the Recipient, cause the termination of this
Agreement and the release of the Department from all its obligations to the Recipient.
(b) This Agreement shall be construed under the laws of the State of Florida, and venue
for any actions arising out of this Agreement shall lie in Leon County. If any provision hereof is in conflict
with any applicable statute or rule, or is otherwise unenforceable, then such provision shall be deemed null
and void to the extent of such conflict, and shall be deemed severable, but shall not invalidate any other
provision of this Agreement.
(c) No waiver by the Department of any right or remedy granted hereunder or failure to
insist on strict performance by the Recipient shall affect or extend or act as a waiver of any other right or
remedy of the Department hereunder, or affect the subsequent exercise of the same right or remedy by
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the Department for any further or subsequent default by the Recipient. Any power of approval or
disapproval granted to the Department under the terms of this Agreement shall survive the terms and life
of this Agreement as a whole.
(d) The Agreement may be executed in any number of counterparts, anyone of which
may be taken as an original.
(e) The Recipient agrees to comply with the Americans With Disabilities Act (Public Law
101-336,42 U.S.C. Section 12101 et sea.), if applicable, which prohibits discrimination by public and
private entities on the basis of disability in the areas of employment, public accommodations,
transportation, State and local government services, and in telecommunications.
(f) A person or affiliate who has been placed on the convicted vendor list following a
conviction for a publiC entity crime or on the discriminatory vendor list may not submit a bid on a contract
to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity
for the construction or repair of a public building or public work, may not submit bids on leases of real
property to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor,
or consultant under a contract with a public entity, and may not transact business with any public entity in
excess of Category Two for a period of 36 months from the date of being placed on the convicted vendor
or discriminatory vendor list.
(g) With respect to any Recipient which is not a local government or state agency, and
which receives funds under this Agreement from the federal government, by signing this Agreement, the
Recipient certifies, to the best of its knowledge and belief, that it and its ~rincipals:
1. are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by a federal department or agency;
2. have not, within a five-year period preceding this proposal 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 public transaction; violption of federal or state antitrust statutes or commission of embezzlement,
9
theft, forgery, bribery,falsification or destruction of records, making false statements, or receiving stolen
property;
3. are not presently indicted or otherwise criminally or civilly charged by a
governmental entity (federal, state or local) with commission of any offenses enumerated in paragraph
11 (g)2. of this certification; and
4. have not within a five-year period preceding this Agreement had one or more
public transactions (federal, state or local) terminated for cause or default.
Where the Recipient is unable to certify to any of the statements in this certification, such
Recipient shall attach an explanation to this Agreement.
(12) AUDIT REQUIREMENTS.
(a) The Recipient agrees to maintain financial procedures and support documents, in
accordance with generally accepted accounting principles, to account for the receipt and expenditure of
funds under this Agreement.
(b) These records shall be available at all reasonable times for inspection, review, or
audit by state personnel and other personnel duly authorized by the Department. "Reasonable" shall be
construed according to circumstances, but ordinarily shall mean normal business hours of 8:00 a.m. to
5:00 p.m., local time, Monday through Friday.
(c) The Recipient shall also provide the Department with the records, reports or financial
statements upon request for the purposes of auditing and monitoring the funds awarded under this
Agreement.
(d) If the Recipient is a State orlocal govemment or a non-profit organization as defined
in OMB Circular A-133, as revised, and in the event that the Recipient expends $300,000 or more in
Federal awards in its fiscal year, the Recipient must have a single or program-specific audit conducted in
accord_ance with the provisions of OMB Circular A-133, as revised. EXHIBIT 1 to this Agreement
indicates Federal resources awarded through the Department by this Agreement. In determining the
Federal awards expended in its fiscal year, the Recipi.ent shall consider all sources of Federal awards,
including Federal resources received from the Department. The determination of amounts of Federal
10
awards expended should be in accordance with the guidelines established by OMB Circular A-133, as
revised. An audit of the Recipient conducted by the Auditor General in accordance with the provisions of
OMB Circular A-133, as revised, will meet the requirements of this paragraph.
In connection with the audit requirements addressed in Paragraph 12 (d) above, the Recipient
shall fulfill the requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular
A-133, as revised.
If the Recipient expends less than $300,000 in Federal awards in its fiscal year, an audit
conducted in accordance with the provisions of OMB Circular A-133, as revised, is not required. In the
event that the Recipient expends less than $300,000 in Federal awards in its fiscal year and elects to have
an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, the cost of the
audit must be paid from non-Federal resources (Le., the cost of such audit must be paid from Recipient
resources obtained from other than Federal entities).
(e) Copies of reporting packages for audits conducted in accordance with OMB Circular
A-133, as revised, and required by subparagraph (d) above shall be submitted, when required by Section
.320 (d), OMS Circular A-133, as revised, by or on behalf of the Recipient directlv to each of the following:
The Department of Community Affairs at each of the following addresses:
Department of Community Affairs
Office of Audit Services
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
and
Department of Community Affairs
(program office)
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised (the number of copies
required by Sections .320(d)(1) and (2), OMB Circular A-133, as revised, should be submitted to the
Federal Audit Clearinghouse), at the following address:
Federal Audit Clearinghouse
Bureau of the Census
1201 East 1 Oth Street
Jeffersonville, IN 47132
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Other Federal agencies and pass-through entities in accordance with Sections .320 (e) and (f), OMB
Circular A-133, as revised.
(f) Pursuant to Section .320 (f), OMS Circular A-133, as revised, the recipient shall
submit a copy of the reporting package described in Section .320 (c), OMB Circular A-133, as revised, and
any management letter issued by the auditor, to the Department at each of the following addresses:
Department of Community Affairs
Office of Audit Services
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
and
Department of Community Affairs
Division of Emergency Manaement
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
(g) Any reports, management letter, or other information required to be submitted to the
Department pursuant to this Agreement shall be submitted timely in accordance with OMS Circular A-133,
Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit
organizations), Rules of the Auditor General, as applicable.
(h) Recipients, when submitting financial reporting packages to the Department for audits
done in accordance with OMS Circular A-133 or Chapters to.550 (local governmental entities) or 10.650
(nonprofit and for-profit organizations), Rules of the Auditor General, should indicate the date that the
reporting package was delivered to the Recipient in correspondence accompanying the reporting
package.
(i) The Recipient shall retain sufficient records demonstrating its compliance with the
terms of this agreement for a period of five years from the date the audit report is issued, and shall allow
the Department, or its designee, the Comptroller, or Auditor General access to such records upon request.
The recipient shall ensure that audit working papers are made available to the Department, or its
designee, the Comptroller, or Auditor General upon request for a period of five years from the date the
audit report is issued, unless extended in writing by the Department.
U) In the event the audit shows that the entire funds disbursed hereunder, or any portion
thereof, were not spent in accordance with the conditions of this Agreement, the Recipient shall be held
12
liable for reimbursement to the Department of all funds ,not spent in accordance with these applicable
regulations and Agreement provisions within thirty (30) days after the Department has notified the
Recipient of such non-compliance.
(k) The Recipient shall retain all financial records, supporting documents, statistical
records, and any other documents pertinent to this Agreement for a period of five years after the date of
submission of the final expenditures report. However, if litigation or an audit has been initiated prior to the
expiration of the five-year period, the records shall be retained until the litigation or audit findings have
been resolved.
(I) The Recipient shall have all audits completed by an independent certified public
accountant (IPA) who shall either be a certified public accountant or a public accountant licensed under
Chapter 473, Fla. Stat. The IPA shall state that the audit complied with the applicable provisions noted
above.
(13) SUBCONTRACTS.
(a) If the Recipient subcontracts any or all of the work required under this Agreement, a
copy of the executed subcontract must be forwarded to the Department within thirty (30) days after
execution of the subcontract. The Recipient agrees to inclUde in the subcontract that (i) the subcontractor
is bound by all applicable state and federal laws and regulations, and (ii) the subcontractor shall hold the
Department and Recipient harmless against all claims of whatever nature arising out of the
subcontractor's performance of work under this Agreement, to the extent allowed and required by law.
(14) TERMS AND CONDITIONS.
The Agreement contains all the terms and conditions agreed upon by the parties.
(15) ATTACHMENTS.
(a) All attachments to this Agreement are incorporated as if set out fully herein.
(b) In the event of any inconsistencies or conflict between the language of this
Agreement and the attachments hereto, the language of such attachments shall be controlling, but only to
the extent of such conflict or inconsistency.
(c) This Agreement has the following attachments:
13
Exhibit 1 - Funding Sources
Attachment A and A-2 - Budget and Scope of Work
Attachment B - Program Statutes and Regulations
Attachment C - Copyrights, Patents and Trademark
Attachment 0 - Assurances
Attachment E - Advance Justification
(16) FUNDING/CONSIDERATION
(a) This is a cost-reimbursement Agreement. The Recipient shall be reimbursed for
costs incurred in the satisfactory performance of work hereunder in an amount not to exceed $ 5,770,000
subject to the availability of funds.
(b) Any advance payment under this Agreement is subject to s. 216.181(16), Florida
Statutes. The amount which may be advanced may not exceed the expected cash needs of the Recipient
within the first three (3) months of the contract term. For a federally funded contract, any advance
payment is also subject to federal OMB CircularsA-87, A-11 0, A-122 and the Cash Management
Improvement Act of 1990. If an advance payment is requested, the budget data on which the request is
based and a justification statement shall be included in this Agreement as Attachment E. Attachment E
will specify the amount of advance payment needed and provide an explanation of the necessity for and
proposed use of these funds.
1. No advance payment is requested.
2.
An advance payment of $
is requested.
(c) After the initial advance, if any, payment shall be made on a reimbursement basis as
needed. The Recipient agrees to expend funds in accordance with the Budget and Scope of Work,
Attachment A and Attachment A-2 of this Agreement.
(17) STANDARD CONDITIONS.
The Recipient agrees to be bound by the following standard conditions:
(a) The State of Florida's performance and obligation to pay under this Agreement is
contingent upon an annual appropriation by the Legislature, and subject to any modification in accordance
with Chapter 216, Fla. Stat.. or the Florida Constitution.
14
15
(b) The Recipient certifies, by its signature to this Agreement, that to the best of his or
her knowledge and belief:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf
of the undersigned, to any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the 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.
2. 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
Memberof 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.
3. 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.
This certification is a material representative of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
(19) COPYRIGHT, PATENT AND TRADEMARK
If applicable to this Agreement, refer to Attachment C for terms and conditions relating to
copyrights, patents and trademarks.
16
(20) LEGAL AUTHORIZATION.
The Recipient certifies with respect to this Agreement that it possesses the legal authority
to receive the funds to be provided under this Agreement and that, if applicable, its governing body has
authorized, by resolution or otherwise, the execution and acceptance of this Agreement with all covenants
and assurances contained herein. The Recipient also certifies that the undersigned possesses the
authority to legally execute and bind Recipient to the terms of this Agreement.
(21) ASSURANCES.
The Recipient shall comply with any Statement of Assurances incorporated as
Attachment D.
(22) VENDOR PAYMENTS.
Pursuant to Section 215.422, Fla. Stat.. the Department shall issue payments to vendors
within 40 days after receipt of an acceptable invoice and receipt, inspection, and acceptance of goods
and/or services provided in accordance with the terms and conditions of the Agreement. Failure to issue
the warrant within 40 days shall result in the Department paying interest at a rate as established pursuant
to Section 55.03(1) Fla. Stat. The interest penalty shall be paid within 15 days after issuing the warrant.
Vendors experiencing problems obtaining timely payment(s) from a state agency may receive
assistance by contacting the Vendor Ombudsman at (850) 488-2924 or by calling the State Comptroller's
Hotline at 1-800-848-3792.
(23) DEBARMENT. SUSPENSION. AND OTHER RESPONSIBILITY MATTERS (DIRECT
RECIPIENT)
As required by Executive Order 12549, Debarment and Suspension, and implemented at
28 CFR Part 67, for prospective participants in primary covered transactions, as defined at 28 CFR Part
67, Section 67.510
(a). The applicant certifies that it and its principals:
(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible,
sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency;
17
(2) Have not within a three-year period preceding this application been convicted of or had
obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract
a civil judgment rendered against them for commission of fraud or a criminal offense in connection with
under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement,
property;
theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
(3) Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in
paragraph (1 )(b) of this certification; and
transactions (Federal, State, or local) terminated for cause or default; and
(4) Have not within a three-year period preceding this application had one or more public
(b) 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.
their undersigned officials as duly authorized.
IN WITNESS WHEREOF, the parties hereto have caused this contract to be executed by
:~GIPIENT~OFT~
Name and title: Pam Iorio, Mayor
Date: SEP 2 4 2003
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EXHIBIT 1
. FEDERAL RESOURCES AWARDED TO THE RECIPIENT PURSUANT TO THIS AGREEMENT CONSIST
OF THE FOLLOWING:
NOTE: If the resources awarded to the recipient represent more than one Federal program,provide the
same information shown below for each Federal program and show total Federal resources awarded.
Federal Program (list Federal agency, Catalog of Federal Domestic Assistance title and number) _ $
(amount)
Federal Department of Homeland Security - Office of Domestic Preparedness
16.007 - Urban Areas Security Initiative Grant Program
$5,770,000
COMPLIANCE REQUIREMENTS APPLICABLE TO THE FEDERAL RESOURCES AWARDED PURSUANT
TO THIS AGREEMENT ARE AS FOLLOWS:
NOTE: If the resources awarded to the recipient represent more than one Federal program, list applicable
compliance requirements for each Federal program in the same manner as shown below.
Federal Program:
List applicable compliance requirements as follows:
1. Enhance Urban areas capabilities to prevent terrorist attacks involving chemical, biological,
radiological, nuclear or explosive (CBRNE) devices.
2. Recipient is subject to all administrative and financial requirements or will be in violation with the terms
of the agreement.
NOTE: Instead of listing the specific compliance requirements as shown above, the State awarding agency may
elect to use language that requires the recipient to comply with the requirements of applicable provisions of
specific laws, rules, regulations, etc. For example, for Federal Program 1, the language may state that the
recipient must comply with a specific law(s), rule(s), or regulation(s) that pertains to how the awarded resources
must be used or how eligibility determinations are to be made. The State awarding agency, if practical, may want
to attach a copy of the specific Jaw, rule, or regulation referred to.
STATE RESOURCES AWARDED TO THE RECIPIENT PURSUANT TO THIS AGREEMENT CONSIST OF
THE FOLLOWING: N/A
MATCHING RESOURCES FOR FEDERAL PROGRAMS: N/A
Federal Proqram Wst Federal aQencv. CataloQ of Federal Domestic Assistance title and number') _ $
(amount)
SUBJECT TO SECTION 215.97. FLORIDA STATUTES:
NOTE: If the resources awarded to the recioient reoresent more than one State oroiect orovide the same
information shown below for each State oroiect and show total state financial assistance awarded that is subiect
to Section 215.97. Florida Statutes.
State Project (list State awarding agency, Catalog of State Financial Assistance title and number) _ $
(amount)
COMPLIANCE REQUIREMENTS APPLICABLE TO STATE RESOURCES AWARDED PURSUANT TO
THIS AGREEMENT ARE AS FOLLOWS:NOTE: Ust applicable compliance requirements in the same
manner as illustrated above for Federal resources. For matching resources provided by the Department of
AABC@ for Federal programs, the requirements might be similar to the requirements for the applicable
Federal programs. Also, to the extent that different requirements pertain to different amoJ}nts of the non-
Federal resources, there milY be more than one grouping (i.e., 1, 2, 3, etc.) listed under this category.
NOTE: Section .400(d) of OMS Circular A-133, as revised, and Section 215.97(5)(a}, Florida Statutes. require that
the information about Federal Programs and State Projects included in Exhibit 1 be provided to the recipient
19
ATTACHMENT A
Budget and Scope of Work
I. BUDGET
BudQet Detail Worksheet for Purchases of Eauipment
Jurisdiction
Category*
Item
Quantity
Total Cost
Discipline
Allocation**
Total
* Equipment categories:
1. Personal Protective Equipment
2. Explosive Device Mitigation and Remediation Equipment
3. CBRNE Search & Rescue Equipment
4. Interoperable Communications Equipment
5. Detection Equipment
6. Decontamination Equipment
7. Physical Security Enhancement Equipment
8. Terrorism Incident Prevention Equipment
9. CBRNE Logistical Support Equipment
10. CBRNE Incident Response Vehicles
11. Medical Supplies and Pharmaceuticals
12. CBRNE Reference Materials
** Law Enforcement (LE), Emergency Medical Services (EMS), Emergency Management (EM), Fire
Service (FS), HazMat (HZ), Public Works (PW), Public Health (PH), Governmental Administrative (GA),
Public Safety Communications (PSC), Health Care (HC).
Budget Detail Worksheet for Exercise, Training, Planning and Administrative Services
Jurisdiction
Function
CateQorv
Item
Amount
Total
The Urban Area Assessment must be submitted to the Division of Emergency Management for review no
later than September 19, 2003. The Urban Area Homeland Security Strategy must be submitted to the
Division of Emergency Management for review no later than October 17.2003.
The Urban Area Assessment will be submitted to the Department of Homeland Security, (DHS), Office for
Domestic Preparedness (ODP) not later than September 30, 2003 and the Urban Area Homeland Security
Strategy will be submitted to ODP not later than October 31, 2003. Following approval by ODP of the
Urban Area Assessment and Homeland Security Strategy, the recipient is required to submit budget detail
worksheets for the remaining allocation of funds. These budget detail worksheets must be forwarded to
the Division no later than November 21,2003 and must be submitted to, and approved by ODP before the
remaining allocation of funds is available.
20
II. SCOPE OF WORK
The Recipient will be required to perform in accordance with Attachment A-2 "Urban Areas Security
Initiative (UASI) Grant Application and Program Guidance for the City of Tampa. Specifically, Recipient will
perform tasks as outlined in Sections II and VII and as explained in Appendices B, C, and 0, except
reporting dates. Reporting dates are fifteen (15) days before the dates listed in the UASI Program
Guidance. in order to give Department staff time to review the submittals before forwarding to ODP.
21
Bf:6teNne,nf: R- 2..,
Foreword
In July 2002 the President approved the National Strategy for Homeland Security,
establishing a road map for the national effort to prevent and respond to acts of
terrorism in the United States. The National Strategy recognizes the vital role of state
and local public safety agencies in providing for the security of our homeland. In
February 2003 the President signed into law the Consolidated Appropriations
Resolution, 2003, Public Law 108-7 which provides state and local governments with
the vital funding they require to participate in the national effort to combat terrorism. In
April 2003 the Emergency Wartime Supplemental Appropriations Act, 2003 provided
additional funds to expand and continue these efforts.
The U.S. Department of Homeland Security (DHS), Office for Domestic Preparedness
(ODP) FY 2003 Urban Areas Security Initiative (UASI) reflects the intent of Congress
and the Administration to enhance and quantify the preparedness of the nation to
combat terrorism. Whereas most states and municipalities have strengthened their
overall capability to respond to acts of terrorism involving chemical, biological,
radiological, nuclear or explosive (CBRNE) weapons, there continues to be room for
improvement in meeting our national priorities of preventing and responding to terrorist
attacks.
The Office for Domestic Preparedness is providing financial assistance to selected
urban areas through the FY 2003 Urban Areas Security Initiative. Seven selected urban
areas will be provided direct funding from the Consolidated Appropriations Resolution,
2003, and thirty selected urban areas will be pr~vided funding through their respective
States from the Emergency Wartime Supplemental Appropriations Act, 2003. The
UASI Grant Programs I and " are being provided to address the unique equipment,
training, planning, and exercise needs of large high threat urban areas, and program
activities must involve coordination by the identified core city, core county/counties, and
the respective State Administrative Agency. The funding will provide assistance to build
an enhanced and sustainable capacity to prevent, respond to, and recover from threats
or acts of terrorism for the selected urban areas.
The Department of Homeland Security looks forward to working with all of you in this
critical national effort to secure our homeland.
Tom Ridge
Secretary
Department of Homeland Security
..
Contents
I. Background ... ....... .......... .... .... ..... ................ ......... ......... ........ ...... ..... .... ........... ..... 2
II. The Fiscal Year 2003 Urban Areas Security Initiative Grant Program 11..... 3
III. Eligible Applicants and Funding Availability ................................................... 11
IV. Application Guidance ........................................................................................ 13
V. Application Requirements ....... .... ............. ...... ........... ........... ................. ........ .... 14
VI. Administrative Requirements..... ............... ............... ............ ..... ........................ 16
VII. Reporting Requirements ......... .................................. ...... ...................... ,.......... 17
Appendix A Funding Allocations
Appendix B Assessment and ?trategy Validation
Appendix C Allowable Planning, Equipment, Training, Exercise, and Administrative
Costs
Appendix 0 Grant Reporting Requirements
ii
UASI GRANT PROGRAM II APPLICATION
**Actual application must be made online through GMS
a Standard Form 424
. a Program Narrative
a Budget Narrative and Budget Detail Worksheets for Initial 25% of Funding
a Assurances
a Certifications Regarding Lobbying; Debarment, Suspension and Other
Responsibility Matters; and Drug-Free Workplace Requirements
a Non-supplanting Certification
a State Administrative Agency Point(s) of Contact
1
I. Background
Initial funding for the Fiscal Year (FY) 2003 Urban Areas Security Initiative (UASI)
Program was authorized by the Consolidated Appropriations Resolution, 2003 and was
made available by the U.S. Department of Homeland Security (DHS), through the Office
for Domestic Preparedness (ODP), directly to seven selected urban areas through the
FY 2003 UASI Grant Program I application.
This FY 2003 UASI Grant Program II application provides follow on funding for the UASI
Program and is authorized by the Emergency Wartime Supplemental Appropriations
Act, 2003. The FY 2003 UASI Grant Program II provides financial assistance to States
for subsequent distribution to selected urban areas. This financial assistance is
provided to address the unique equipment, training, planning, exercise and operational
needs of large urban areas, and to assist them in building an enhanced and sustainable
capacity to prevent, respond to, and recover from threats or acts of terrorism. States
MUST ensure that the urban areas selected for funding take a regional metropolitan
area approach to the development and implementation of the UASI Grant Program II
and involve core cities, core counties, contiguous jurisdictions, mutual aid partners, and
State agencies.
The UASI Program's intent is to create a sustainable national model program whereby
urban areas can share the lessons learned and best practices with other urban areas
around the nation. The Program includes an urban area assessment and strategy
development component, which will be used by OOP and the Urban Area Working
Group to both allocate funding and guide delivery of direct services in the form of
training, exercises, and technical assistance. The assessment will support the
development of an Urban Area Homeland Security Strategy, which will in turn provide a
road map for sustainable prevention and preparedness and guide allocation of grant
funds and direct services provided by ODP to the selected urban areas. The
assessment must be coordinated with and developed jointly by the core city, core
county/counties, the State, and any other jurisdictions designated by the core cities,
counties and the State. The definition of the urban area is limited to inclusion of
jurisdictions contiguous to the core city and county/counties, or with which the core city
or county/counties have established formal mutual aid agreements; a core county is
defined as the county within which the core city is geographically located. States may
request a waiver for this limitation for regions previously established by Executive
Order, law or compact. For the purposes of the UASI Grant Program II, the
Washington, D.C. urban area will consist of the National Capital Region as set forth in
Title 10 USC, Sec. 2674(f)(2).
Funds provided under the UASI Grant Program II will be granted directly to the States
with the requirement that the state subgrant no less than 80% of its total grant award to
the selected urban area(s). States may use up to 20% of the grant award to
complement state assets that will provide direct assistance to the urban area in order to
prevent, respond to and recover from any terrorist attack, excluding any administrative
costs. Appendix A provides a list of the states and associated urban areas identified for
funding under the UASI Grant Program II.
2
Provision of the UASI Grant Program II funds is dependent on the submission of an
assessment and strategy. ODP recognizes that the process of a large-scale urban area
assessment and development of an Urban Area Homeland Security Strategy is not
without cost. To this end, 25% of the total grant will be made available to the state,
subject to the 80% pass through requirement, and the urban area to cover expenses
associated with the assessment and strategy development, implementation of the UASI
Grant Program II, and to resource immediate needs.
The Office for Domestic Preparedness transferred from the U.S. Department of Justice,
Office of Justice Programs (OJP), to the U.S. Department of Homeland Security
effective March 1, 2003. The OJP Office of the Comptroller (OC) will continue to
provide fiscal support and oversight to the UASI Grant Program II for the effective
period of performance for the grant.
II. The Fiscal Year 2003 Urban Areas Security Initiative Grant Program II
A. Authorized Program Purpose
Funding for the FY 2003UASI Grant Program II is authorized by Public Law
108-11, the Emergency Wartime Supplemental Appropriations Act, 2003. The
FY 2003 UASI Grant Program tl augments efforts begun with the FY 2003 UASII
Program to address the unique needs of large urban areas.
OOP will provide support services to assist grantees in completing the
application. Please consult your respective Program Manager using OOP's toll-
free number (1-800-368-6498).
B. Program Requirements
The State agency with overall responsibility for developing the State Homeland
Security Strategy and administering ODP programs will be responsible for the
administration of the UASI Grant Program II. In administering the program, the
State Administrative Agency (SM) must comply with the following requirements:
1. Identification of Points of Contact. The SAA must designate a specific point(s)
of contact (POC) to work with ODP on the implementation of the UASI Grant
Program II. The SM POC(s) is then responsible for working through the
Mayor/Chief Executive Officer (CEO) of each urban area's core city and
associated core county/counties to identify a POC for those jurisdictions. If not
already provided to ODP, this information must be provided as part of the
Program Narrative in the UASIII grant application submission.
2. Definition of the Urban Area. In coordination with the urban area core city POC
and the core county/counties POC(s), the SAA POC must fully define the urban
area, as it will apply to the UASI Grant Program II. Specifically, the geographical
borders of what constitutes the urban area-including any possible contiguous
jurisdictions and mutual aid partners-must be drawn, and all participating
3
jurisdictions within the border identified. The State SAA should pay careful
attention to how the definition of the urban area correlates with the definition of
local jurisdictions under the State Homeland Security Assessment and Strategy
Development Process. In defining the urban area, the SAA POC is required to
coordinate and receive input from the core city and core county/counties. The
definition of the urban area is limited to inclusion of jurisdictions contiguous to the
core city and county/counties, or with which the core city or county/counties have
established formal mutual aid agreements; a core county is defined as the county
within which the core city is geographically located. States may request a waiver
for this limitation for regions previously established by Executive Order, law or
compact. For the purposes of the UASI Grant Program II, the Washington, D.C.
urban area will consist of the National Capital Region as set forth in Title 10 USC,
Sec. 2674(f)(2). If not already provided to OOP, this information must be
provided as part of the Program Narrative in the UASIII grant application
submission.
3. Establishment of the Urban Area Working Group. Following definition of the
urban area, the SAA POC must work through the Mayor/CEOs from all other
jurisdictions within the defined urban area to identify POCs from these
jurisdictions to serve on the Urban Area Working Group. The Urban Area
Working Group will be responsible for coordinating development and
implementation of all program elements, including the urban area assessment,
strategy development, and any direct services that are delivered by ODP. OOP
strongly encourages that, wherever possible, previously established local
working groups be leveraged for this purpose. If not already provided to
ODP, an overview of the Urban Area Working Group structure and a list of
members and their associated jurisdictions must be provided as part of the
Program Narrative in the UASIII grant application submission.
4. Conduct of an Urban Area Assessment. Urban areas receiving funding under
this program must conduct a comprehensive Urban Area Assessment, which in
turn will guide development of an Urban Area Homeland Security Strategy.
Urban Areas may use a recently updated or completed (within the past 12
months) assessment for the purposes of USAI II, provided that it meets the
requirements for a validated assessment; required elements for the Urban Area
Assessment are outlined in Appendix B of this application, which will be used to
validate all assessments submitted for review. If an urban area has not
completed an assessment, ODP will provide technical assistance to conduct and
complete an assessment. The following disciplines are critical players and must
be fully represented in the assessment and strategy development process: law
enforcement, emergency medical services, emergency management, the fire
service, hazardous materials, public works, governmental administrative, public
safety communications,. healthcare and public health.
ODP is currently working with the states to coordinate a thorough
ThreatslVulnerabilitieslNeedslCapabilities Assessment and development of
a State Homeland Security Strategy for Fiscal Year 2004 funds. The
jurisdictional tool developed for this process should also be used by the
4
UASI Grant Program /I participants.
Each SAA POC will be contacted by an OOP program manager to coordinate the
submission and/or scheduling of the urban area assessment. If there is an
existing assessment, the urban area can submit that assessment directly to the
SAA POC, who, upon review, will forward it to OOP. If the urban area would like
technical assistance in conducting the assessment the OOP program manager
will make those arrangements.
Note: Receipt of all remaining funds is contingent upon submission of a
validated Urban Area Assessment and a validated Urban Area Homeland
Security Strategy. ALL URBAN AREA ASSESSMENTS MUST BE
COMPLETED AND SUBMITTED TO ODP NO LA TER THAN SEPTEMBER 30,
2003.
5. Development of an Urban Area Homeland Security Strategy. Urban areas
receiving funding under this program must develop a comprehensive Urban Area
Homeland Security Strategy. Urban Areas may use a recently updated or
completed (within the past 12 months) strategy for the purposes of USAIII,
provided that it meets the requirements for a validated strategy; required
elements for the Urban Area Homeland Security Strategy are outlined in
Appendix B of this application, which will be used to validate all strategies
submitted for review. If an urban area has not developed a strategy, OOP will
provide technical assistance to assist with its development. The following
disciplines are critical players and must be fully represented in the assessment
and strategy development process: law enforcement, emergency medical
services, emergency management, the fire service, hazardous materials, public
works, governmental administrative, public safety communications, healthcare
and public health.
ODP is currently working with the states to coordinate a thorough
ThreatslVulnerabilitieslNeedslCapabilities Assessment and development of
a State Homeland Security Strategy for Fiscal Year 2004 funds. The
jurisdictional tool developed for this process should be used by the UASI
Grant Program /I participants.
Each SAA POC will be contacted by an OOP program manager to coordinate the
submission and/or scheduling of the Urban Area Homeland Security Strategy. If
there is an existing strategy, the urban area can submit that strategy directly to
the SAA POC, who, upon review, will forward it to OOP. If the urban area would
like technical assistance with developing the strategy the OOP program manager
will make those arrangements.
Note: Receipt of all remaining funds is contingent upon submission of a
validated Urban Area Assessment and a validated Urban Area Homeland
Security Strategy. ALL URBAN AREA HOMELAND SECURITY
STRA TEGIES MUST BE COMPLETED AND SUBMITTED TO ODP.NO
LA TER THAN OCTOBER 31, 2003.
5
6. Allocation of Funds. The SAA POC, in coordination with the Urban Area
Working Group, must develop a methodology for allocating initial funding (up to
25% of the total award amount) available through the UASI Grant Program II to
support the assessment and strategy development process and to resource
immediate needs. This information mustbe provided as part of the Budget
Narrative in the UASIII grant application submission; supporting Budget
Detail Worksheets identifying specific use of funds must also be provided
as part of the application submission; at a minimum, the core city and core
county/counties must provide written concurrence on the SAA's
methodology for the initial allocation offunds (up to 25%) provided through
the UASI Grant Program II. If written concurrence is not provided by the
July 7, 2003 application deadline these funds will not be released.
Allocation of all remaining of funds available through the UASI Grant Program II
must be made based on the validated Urban Area Homeland Security Strategy.
Budget Detail Worksheets providing a spending plan for the allocation of
all remaining funds under the grant must be submitted to OOP by the SAA
POC not later than November 30, 2003. The core city and core
county/counties must provide written concurrence on this spending plan
prior to submission to OOP. If written concurrence is not provided these
funds will not be released. ,
7. Compliance with the National Incident Management System. Pursuant to the
Homeland Security Act of 2002, the Secretary of Homeland Security is the
principal federal official for domestic incident management. Consequently, and
according to the Homeland Security Presidential Oirective/HSPO-5, the Secretary
shall develop and administer a National Incident Management System, (NIMS).
This system will provide a consistent nationwide approach for Federal, State, and
local governments to work effectively and efficiently together to prepare for,
respond to, and recover from domestic incidents, regardless of cause, size, or
complexity. To provide for interoperability and compatibility among Federal,
State, and local capabilities, the NIMS will include a core set of concepts,
principles, terminology, and technologies covering the incident command system;
multi-agency coordination systems; unified command; training; identification and
management of resources (including systems for classifying types of resources);
qualifications and certification; and the collection, tracking, and reporting of
incident information and incident resources.
As mandated b HSPO-5, beginning in FY 2005, adoption of the NIMS will be a
requirement for receipt of grant funds from OOP. As such, OOP encourages
urban areas receiving funding under the UASI Grant Program II to begin utilizing
NIMS concepts, principles, terminology, and technologies as they.are made
available by OHS. Additionally, if jurisdictions and agencies within the defined
urban area are not already using the incident command system (ICS) as taught
by OOP or the National Fire Academy, grantees and sub-grantees should
institutionalize the use of ICS across their entire response system by the end of
the two-year performance period.
6
FY 2003 UASI Grant Program II grantees will be able to initially receive up to 25% of
their allocation of funds. States are required to pass through at least 80% of this
amount within 45 days of release of funds by DHS to the identified urban area for the
conduct of an urban area assessment, development of a strategy, management and
administration of the program, and to resource immediate needs. Award of this
initial funding is contingent upon submission and approval of the State's online
application for funding under the FY 2003 Urban Areas Security Initiative II, including
associated program narrative and budget narrative and budget detail worksheets
supporting the expenditure of funds. The initial funds are available immediately
upon grant award.
Receipt of all remaining funds is contingent upon: 1) submission and approval of an
Urban Area Assessment, which includes threats, vulnerabilities, needs and
capabilities, and has involvement from all jurisdictions within the defined urban area,
mutual aid partners, and the SAA; 2) submission and approval of an Urban Area
Homeland Security Strategy articulating a strategic vision for building and sustaining
an enhanced level of prevention preparedness and response capacity, and which
has been coordinated with all jurisdictions within the defined urban area, mutual aid
partners; and the SAA ; 3) submission and approval of budget detail worksheets
providing a spending plan for all remaining funds; the core city and core
county/counties must provide written concurrence on the spending plan for all
remaining funds prior to submission of budget detail worksheets to ODP. If
written concurrence is not provided these funds will not be released.
Applications for funding under this program must be submitted by July 7,
2003, or within 30 days of June 6, 2003, the date the solicitation is being
posted in OJP's web-based Grants Management System (GMS).
C. Authorized Program Expenditures (Detailed in Appendix C)
1. Planning: Funds may be used to pay for activities associated with the
completion of the urban area assessment, development of the Urban Area
Homeland Security Strategy, and other planning activities, including: 1)
conducting training sessions to ensure accurate completion of the assessment;
2) implementing and managing sustainable programs for equipment acquisition,
training'and exercises; 3) enhancement or establishment of mutual aid
agreements; 4) enhancement or development of emergency operations plans
and operating procedures; 5) development or enhancement of recovery plans; 6)
development of communication and interoperability protocols and solutions; 7)
coordination of citizen and family preparedness plans and programs, including
donations programs and volunteer initiatives; 8) enhancement or development of
continuity of operations and contil'luity of govemmentplans; and 9) hiring of full
or part-time staff or contractors/consultants to assist with any of the above
activities.
2. Equipment Acquisition: Funds may be used to enhance the capabilities of
local prevention and emergency response agencies through the acquisition of:
7
1) personal protective equipment (PPE); 2) explosive device mitigation and
remediation equipment; 3) CBRNE search and rescue equipment; 4)
interoperable communications equipment; 5) detection equipment; 6)
decontamination equipment; 7) physical security enhancement equipment; 8)
terrorism incident prevention equipment; 9) CBRNE logistical support equipment;
10) CBRNE incident response vehicles; 11) medical supplies and limited types of
pharmaceuticals; and, 12) CBRNE reference materials. These funds may also
be used for sustainment of prevention and response equipment that would
be used in a jurisdiction's response to a terrorist threat or event. This
would include repair and replacement parts, equipment warranties and
maintenance contracts for equipment purchased under any ODP grant.
This equipment may be used by the urban areas to enhance capabilities in the
areas of law enforcement, emergency medical services, emergency
management, the fire service, hazardous materials, public works, governmental
administrative, public safety communications, healthcare and public health at the
local levels of government in accordance with the goals and objectives identified
in their jurisdictional assessment. Other allowable uses of funds include
measures associated with target hardening and critical infrastructure security.
Grant funds may also be used to share critical information such as 1) systems to
disseminate and safeguard threat information, and 2) alert notification systems.
Sustainment, maintenance, and training in the use of equipment procured using
these grant funds should be addressed in the Urban Area Homeland Security
Strategy.
3. Training: Funds may be used to enhance the capabilities of local prevention and
response agencies through the development of an urban area homeland security
training program or the delivery of existing OOP courses. Allowable expenses
include: 1) development and/or establishment of CBRNE prevention and
response training courses, which should be institutionalized within existing
training academies, universities or junior colleges. These courses must be
consistent with OOP prevention and response training guidelines and reviewed
and approved by OOP; 2) backfill costs to replace personnel who are attending
OOP-approved courses; 3) overtime costs for responders who attend OOP-
approved training courses; and 4) travel costs associated with planning or
attending OOP-approved training. Urban area partners should work together to
develop and implement a sustainable system for maintaining and perpetuating
training within all response disciplines as part of the overall Urban Area
Homeland Security Strategy.
The target audience for training courses funded through the FY 2003 UASI Grant
Program II must be emergency responders, emergency managers and
public/elected officials within the following disciplines: firefighters, law
enforcement, emergency management, emergency medical services, hazardous
materials, public works, public health, health care, public safety communications,
governmental administrative and private security guards. We encourage urban
areas to adopt current ODP training programs and aggressively provide
awareness training to area emergency responders.
8
4. Exercises: Funds to be used for exercises may be used to plan for, design,
develop, conduct, and evaluate exercises that train emergency responders and
assess the readiness of urban areas to prevent and respond to a terrorist attack.
Exercises must be threat- and performance-based, in accordance with OOP's
Homeland Security Exercise and Evaluation Program (HSEEP) manuals. These
manuals will provide explicit direction on the design, conduct, and evaluation of
terrorism exercises. Exercises conducted with OOP support (grant funds or
direct support) must be managed and executed in accordance with the HSEEP.
OOP will work with urban area partners to build a tailored exercise program. The
urban areas should consider using a portion of the grant funds to convene a
multi-disciplinary, multi-jurisdictional exercise-planning workshop. The urban
area partners should also work together to establish a sustained, multi-
jurisdictional cycle of exercise activities as part of the overall Urban Area
Homeland Security Strategy.
Allowable exercise-related costs include: 1) expenses related to convening an
exercise planning workshop; 2) hiring of full or part-time staff or
contractors/consultants to support exercise activities; 3) overtime for first
response/exercise management personnel involved in the planning and
conducting of exercises; 4) travel associated with planning and conducting
exercises; 5) supplies consumed during the course of planning and conducting
exercises; 6) costs related to the implementation of the HSEEP to include the
reporting of scheduled exercises, and the tracking and reporting of after action
reports and corrective actions from exercises; and, 7) other costs related to the
planning and conducting of exercise activities.
If an urban area anticipates participating in future national-level exercises or
activities, such as the Top Officials (TOPOFF) national exercise series, or has
planned National Security Special Events (NSSE) for which exercises and other
preparatory activities may be required, it should factor these costs into its Urban
Area Homeland Security Strategy and budget funds accordingly.
5. Management and Administration: Up to 3% of the grant award may be used by
local governments for administrative costs to pay for activities associated with the
implementation of the overall UASI Grant Program II, including: 1) hiring of full or
part-time staff or contractors/consultants to assist with the collection of the
assessment data; 2) travel expenses; 3) meeting-related expenses; 4)
conducting local program implementation meetings; 5) hiring of full or part-time
staff or contractors/ consultants to assist with the implementation and
administration of the jurisdictional assessment; and, 6) the acquisitiqn of
authorized office equipment. (Note: Authorized office equipment includes
personal computers, laptop computers, printers, LCD projectors and other
equipment or software which may be required to support implementation of the
jurisdiction assessment. For a complete list of allowable meeting-related
expenses, please review the OJP Office of the Comptroller (OC) Financial Guide
at: http://www.ojp.usdoi.Qov/FinGuide.) States MAY NOT use funds under this
9
Proqram for administrative costs, but may use FY 2003 State Homeland Security
Grant Proqram I (SHSGP I) funds and FY2003 SHSGP II funds to cover such
costs.
6. Operational Activities: Grantees and subgrantees may use up to 25% of the
gross amount of their award to reimburse for operational expenses, including
overtime costs for personnel and costs associated with increased security
measures at critical infrastructure sites, incurred during the ORANGE threat alert
level begjnning on February 7,2003 and ending on February 27,2003, beginning
again on March 17,2003 and ending on April 16, 2003, and beginning again on
May 20, 2003 and ending on May 30, 2003. Reimbursement is available only for
costs incurred during these time periods.
States and local governments should generally consider critical infrastructure to
include any system or asset that if attacked would result in catastrophic loss of
life and/or catastrophic economic loss. In addition, protection for the following
specific types of facilities should also be considered:
· Public water systems serving large population centers
· Primary data storage and processing facilities, major stock exchanges and
major banking centers ,
Chemical facilities located in close proximity to large population centers
Major power generation facilities that exceed 2000MW and if successfully
attacked would disrupt the regional electric grid
Hydroelectric facilities and dams that produce power in excess of
2000MW or could result in catastrophic loss of life if breached
· Nuclear Power plants
Electric substations 500KV or larger, and substations 345KV or larger that
are part of a critical system supporting populations in excess of one million
people
· Rail and highway bridges over major waterways that, if destroyed, would
cause catastrophic economic loss
Major highway tunnels under waterways that if attacked would cause
catastrophic loss of life or catastrophic economic impact
Major natural gas transmission pipelines
Natural Gas and liquid Natural Gas Storage (LNG) facilities
· Major petroleum handling facilities such as pipelines, ports, refineries and
10
terminals
· Major mass transit subway systems and the supporting ventilation
systems
D. Unauthorized Program Expenditures
Unauthorized program expenditures include: 1) expenditures for items such as general-
use software (word processing, spreadsheet, graphics, etc), general use computers and
related equipment, general-use vehicles, licensing fees, weapons systems and
ammunition; 2) activities unrelated to the completion and implementation of the UASI
Grant Program II; 3) other items not in accordance with the Authorized Equipment List
or previously listed as allowable costs; and 4) construction or renovation of facilities.
III. Eligible Applicants and Funding Availability
Funding for this program was determined by formula using a combination of current
threat estimates, critical assets within the urban area, and population density. The
formula is a weighted linear combination of each factor, the result of which is ranked
and used to calculate the proportional..allocation of resources.
FY 2003 UASI Grant Program II funding will be provided through the states to the
following urban areas:
FISCAL YEAR 2003URBAN AREAS SECURITY INITIATIVE II
PROGRAM FUNDING ALLOCATIONS
STATE/CORE
CITY/CORE COUNTY*
URBAN AREA PASS
GRANT AWARD TOTAL THROUGH REQUIREMENT
$135,266,607
. New York
. New York City
. Buffalo/ Erie County
National Capital
Region
I Illinois
· Chicago/ Cook
County
At least 80% of $125,000,000
At least 80% of $10,266,607
$ 42,409,851 N/A
$ 29,975,7331 1
At least 80% of $29,975,733
Texas
· Houston/ Harris
County, Fort Bend
County, Montgomery
County
$ 34,165,283
At least 80% of $23,766,700
11
. Dallas/ Dallas At least 80% of $10,398,583
County, Denton
County, Rockwell
County, Kaufman
County, Collin
Countv
California $ 62 202 490
. Los Angeles/ LA At least 80% of $18,874,838
County
. San Francisco/ San At least 80% of $18,587,312
Francisco County
. San Diego/ San At least 80% of $11 ,359,682
Dieao County ,
. Sacramento/ At least 80% of $6,912,795
Sacramento Countv
. Long Beach/ LA At least 80% of $6,467,863
Countv
Washinaton $ 18 186668
. Seattle/ King County At least 80% of $18,186,668
,
Massachusetts $ 16,727 125
. Boston! Suffolk At least 80% of $16,727,125
Countv
Colorado $ 15,568,474
. Denver/ Denver At least 80% of $15,568,474
Countv
Pennsylvania $ 21,038,924
. Philadelphia/ At least 80% of $14,215,223
Philadelphia County
PA,
. Pittsburgh/ At least 80% of $6,823,701
Alleahanv Countv
Missouri $ 19,548,603
. St. Louis! St. Louis At least 80% of $9,850,142
County
. Kansas City/ Clay, At least 80% of $9,698,461
Jackson, Platte, and
Cass County
Florida $18,959,558 .
. Miami! Miami-Dade At least 80% of $13,184,569
Countv
12
. Tampa/ Hillsborough At least 80% of $5,774,989
County
Ohio $13,859,426
. Cincinnati/ Hamilton At least 80% of $7,991 ,055
County
. Cleveland/ At least 80% of $5.868,371
CuyahoQa County
Michigan $ 12.272 550
. Detroit! Wayne At least 80% of $12,272,550
County
New Jersey $ 11,892,942
. Newark / Essex At least 80% of $11,892,942
County
Arizona $ 11,033,467
. Phoenix/ Maricopa At least 80% of $11,033,467
County
"
Marvland $ 10.900.944
. Baltimore/ Anne- At least 80% of $10,900,944
Arundel, Baltimore
County
Hawaii $ 6,870,891
. Honolulu/ Honolulu At least 80% of $6,870,891
County
Oregon $ 6,766,108
. Portland/ At least 80% of $6,766,108
Washington,
Multnomah, and
Clackamas County
Louisiana $ 6 282 661
. New Orleans/ At least 80% of $6,282,661
Orleans Parish
Tennessee $ 6,071,695
. Memphis/ Shelby At least 80% of $6,071 ,695
County
* As defined by NACo
13
IV. Application Guidance
Applications need to be prepared according to the directions contained in Section IV
and Section V of this booklet.
OOP only accepts applications electronically through the Grant Management
System (GMS) located on the Office of Justice Programs (OJP) web site.
Instructions regarding electronic submissions through GMS are provided on the
OJP web site atwww.oiD.usdoi.aovlfundoDDs.htm. Assistance with GMS may
also be obtained by contacting ODP at: 1-800-368-6498.
Questions regarding the application process, equipment procurement issues, issues
related to exercises, training, planning, administrative, operational activities, and
programmatic matters involving application submission requirements, application
content requirements, and other administrative inquiries relating to the FY 2003 UASI
Grant Program Ilcan be directed to the ODP Helpline at 1-800-368-6498.
Note: To assist grantees with equipment purchases, ODP has established a number of
support programs. These include: 1) the ODP Help Line; 2) the Equipment Purchase
Assistance Program; and, 3) the Domestic Preparedness Equipment Technical
Assistance Program (DPETAP). The ODP Help Line (1-800-368-6498) provides
grantees with answers to non-emergency equipment questions. Likewise, the
Equipment Purchase Assistance Program provides ODP grantees with access to GSA
prime vendors through memoranda of agreement with the Defense Logistics Agency
and the Marine Corps Systems Command. Finally, the DPET AP program provides on-
site training in the use and maintenance of specialized response equipment. Additional
information on each of these programs can be found on the ODP web site located at:
htto://www. oio. usdo;. aov/ ado
V. Application Requirements
A. On-Line Application: The on-line application must be completed and submitted
by the applicant using the OJP GMS system described above. This on-line
application replaces the following previously required paper forms:
Standard Form 424, Application for Federal Assistance
Program Narrative
Budget Narrative
Standard Form LLL, Disclosure of Lobbying Activities
OJP Form 4000/3, Assurances
OJP Form 4061/6, Certifications
Non-Supplanting Certification
In its application package, the State must include a Program Narrative and a
Budget Narrative addressing the following information:
14
Program Narrative
The Program Narrative must provide the following information:
· Name and contact information for the State POC(s) for the UASI Grant
Program II
· Definition of the Urban Area, to include specific jurisdictions represented on
the Urban Area Working Group
· Description of how the State plans to define jurisdictions for the State
Assessment Process being conducted under the State Homeland Security
Grant Program
· Discussion of how the State will address any potential conflicts between the
State assessment/strategy development process and the UASI urban area
assessment/strategy development process to ensure that the programs are
executed in a complementary fashion.
· Names and contact information for all members of the Urban Area Working
Group, as designated by the Mayor/CEOs for those jurisdictions
Budget Narrative
The Budget Narrative must include a description of the allocation methodology
for how the State intends to pass through the initial 25% of the grant funds
available to support the assessment and strategy development process and to
support immediate needs (at least 80% of funds must be passed through to local
jurisdictions within the defined urban area within 45 days of receipt of funds from
ODP)
Applicants will also be required to provide budget detail worksheets for
use of the remaining funds after submission and approval of an
assessment and urban area strategy; note: the core city and core
county/counties must provide written concurrence on the spending plan
for use of these funds; if written concurrence is not provided by the July 7,
2003 application deadline these funds will not be released. Applicants
must also provide a final budget prior to closeout of the grant. Appendix D
contains additional information on this requirement.
When completing the on-line application, applicants should identify their submissions as
new, non-construction applications. These grants are offered by the U.S. Department of
Homeland Security. The program title listed in the Catalog of Federal Domestic
Assistance (CFDA) is "Office for Domestic Preparedness Fiscal Year 2003 Urban Areas
Security Initiative." When referring to this title, please use the following CFDA number:
16.011. The project period will be for a period not to exceed 24 months. (Note:
ODP understands the difficulty of procuring equipment from limited supplies and will
continue to monitor the industry and make adjustments to project periods as
necessary.)
B. Freedom of Information Act (FOIA): ODP recognizes that much of the
15
information submitted in the course of applying for funding under this program, or
provided in the course of its grant management activities, may be considered law
enforcement sensitive or otherwise important to national security interests. This may
include threat, risk, and needs assessment information, and discussions of
demographics, transportation, public works, and industrial and public health
infrastructures. While this information is subject to requests made pursuant to the
Freedom of Information Act, 5. U.S.C. 9552 (FOIA), all determinations concerning the
release of information of this nature will be made on a case-by-case basis by the DHS
Departmental Disclosure Officer, and may well likely fall within orie or more of the
available exemptions under the Act.
Applicants are also encouraged to consult their own state and local laws and
regulations regarding the release of information, which should be considered
when reporting sensitive matters in the grant application, needs assessment and
strategic planning process. At the same time, applicants should be aware that
any information created exclusively for the purpose of applying for and
monitoring grants hereunder is the property of the U.S. Government, and shall
not otherwise be disclosed or released pursuant to state or local law or
regulation.
VI. Administrative Requirements
A. Single Point of Contact (SPOC) Review: Executive Order 12372 requires
applicants from state and local units of government or other organizations
providing services within a state to submit a copy of the application to the state
SP~C, if one exists, and to provide notice if this program has been selected for
review by the state. Applicants must contact their state SP~C to determine if the
program has been selected for state review. The date that the application was
sent to the SP~C or the reason such submission is not required should be
provided.
B. Financial Requirements
1. Non-Supplanting Certification: This certification, which is a required
component of the on-line application, affirms that federal funds will. be used to
supplement existing funds, and will not replace (supplant) funds that have been
appropriated for the same purpose. Potential supplanting will be addressed in
the application review as well as in the pre award review, post award mOl1itoring,
and the audit. Applicants or grantees may be required to supply documentation
certifying that a reduction in non-federal resources occurred for reasons other
than the receipt or expected receipt of federal funds.
2. Match Requirement: None
3. Assurances: The on-line application includes a list of assurances that the
applicant must comply with in order to receive federal funds under this program.
It is the responsibility of the recipient of the federal funds to fully understand and
16
comply with these requirements. Failure to comply may result in the withholding
of funds, termination of the award, or other sanctions. Applicants will be
agreeing to these assurances when submitting an application on-line through
GMS.
4. Certifications Regarding Lobbying; Debarment, Suspension, and Other
Responsibility Matters; and Drug-Free Workplace Requirement: This
certification, which is a required component of the on-line application, commits
the applicant to compliance with the certification requirements under 28 CFR part
69, New Restrictions on Lobbying, and 28 CFR part 67, Government-wide
Debarment and Suspension (Non-procurement) and Government-wide
Requirements for Drug-Free Workplace (Grants). The certification will be treated
as a material representation of the fact upon which reliance will be placed by the
U.S. Department of Homeland Security in awarding grants.
5. Suspension or Termination of Funding: DHS may suspend or terminate
funding, in whole or in part, or other measures may be imposed for any of the
following reasons:
Failing to comply with the requirements or statutory objectives of federal
law.
Failing to make satisfactory progress toward the goals or objectives set
forth in this application.
Failing to follow grant agreement requirements or special conditions.
Proposing or implementing substantial plan changes to the extent that, if
originally submitted, the application would not have been selected for
funding.
Failing to submit required reports.
Filing a false certification in this application or other report or document.
Before taking action, ODP will provide the grantee reasonable notice of intent to
impose measures and will make efforts to resolve the problem informally.
VII. Reporting Requirements
The following reports are required of all program participants:
Financial Status Reports (Standard Form 269A): Financial Status
Reports are due within 45 days of the end of each calendar quarter. A
report must be submitted for every quarter the award is active, including
partial calendar quarters, as well as for periods where no grant activity
occurs (see Appendix D). The OJP DC will provide a copy of this form in
17
the initial award package. Future awards and fund drawdowns will be
withheld if these reports are delinquent. The final financial report is due
120 days after the end date of the award period.
Program Progress Reports: Program Progress Reports are due within
30 days after the end of the reporting periods, which are June 30 and
December 31, for the life of the award. Guidance on specific topics to
be addressed is included in Appendix D. The OJP OC will provide a
copy of this form in the initial award package. Future awards and fund
drawdowns will be withheld if these reports are delinquent. The final
programmatic progress report is due 120 days after the end date of the
award period.
Financial and Compliance Audit Report: Recipients that expend
$300,000 or more of Federal funds during their fiscal year are required to
submit an organization-wide financial and compliance audit report. The
audit must be performed in accordance with the U.S. General Accounting
Office Government Auditing Standards and OMS Circular A-133. Audit
reports are currently due to the Federal Audit Clearinghouse no later than
9 months after the end of the recipient's fiscal year. In addition, the
Secretary of Homeland Security and the Comptroller General of the United
States shall have access to any books, documents, and records of
recipients of FY 2003 UASI Grant Program II assistance for audit and
examination purposes, provided that, in the opinion of the Secretary of
Homeland Security or the Comptroller General, these documents are
related to the receipt or use of such assistance. The grantee will also give
the sponsoring agency or the Comptroller General, through any authorized
representative, access to and the right to examine all records, books,
papers or documents related to the grant.
Required Performance Related Information: To insure compliance with
the Government Performance and Results Act, Public Law 103-62, this
solicitation notifies applicants that OOP's performance under this
solicitation is measured by: 1) the number of local jurisdictions that
enhanced their capacity to respond to a CSRNE incident with new
equipment and training; and, 2) the number of jurisdictions that tested
preparedness through participation in tabletop or full-scale exercises.
18
Appendix A
Funding Allocations
FISCAL YEAR 2003 URBAN AREAS SECURITY INITIATIVE II
PROGRAM FUNDING ALLOCATIONS
STATE/CORE URBAN AREA PASS
CITY/CORE COUNTY* GRANT AWARD TOTAL THROUGH REQUIREMENT
New York $135.266607
. New York City At least 80% of $125,000,000
. Buffalo/ Erie County At least 80% of $10,266,607
National Capital $ 42,409,851 N!A
Region
Illinois $ 29,975,733
. Chicago! Cook At least 80% of $29,975,733
County
Texas $ 34,165,283
. Houston! Harris At least 80% of $23,766,700
County, Fort Bend
County, Montgomery
County
Dallas! Dallas , At least 80% of $10,398,583
.
County, Denton
County, Rockwell
County, Kaufman
County, Collin
County
California $ 62,202,490
. Los Angeles! LA At least 80% of $18,874,838
County
. San Francisco! San At least 80% of $18,587,312
Francisco County
. San Diego/ San At least 80% of $11 ,359,682
Dieao County
. Sacramento/ At least 80% of $6,912,795
Sacramento County
. Long Beach/ LA At least 80% of $6,467,863
County
Washington $ 18 186 668
. Seattle! King County At least 80% of $18,186,668
Massachusetts $ 16,727,125
. Boston! Suffolk At least 80% of $16,727,125
County
A-I
Colorado $ 15568474
. Denver! Denver At least 80% of $15,568,474
County
Pennsylvania $ 21,038,924
. Philadelphia! At least 80% of $14,215,223
Philadelphia County
PA,
. Pittsburgh/ At least 80% of $6,823,701
Alleahanv County
Missouri $ 19,548,603
. 81. Louis! 81. Louis At least 80% of $9,850,142
Countv
. Kansas City! Clay, At least 80% of $9,698,461
Jackson, Platte, and
Cass Countv
Florida $18 959 558
. Miami! Miami-Dade At least 80% of $13,184,569
County ,
. Tampa/ Hillsborough At least 80% of $5,774,989
Countv
Ohio $13.859.426
. Cincinnati! Hamilton At least 80% of $7,991 ,055
County
. Cleveland! At least 80% of $5,868,371
Cuvahoqa County
Michigan $ 12,272.550
. DetroiU Wayne At least 80% of $12,272,550
Countv
New Jersev $ 11 892 942
. Newark! Essex At least 80% of $11,892,942
County
Arizona $ 11,033,467
. Phoenix! Maricopa At least 80% of $11,033,467
County
Maryland $ 10,900,944
. Baltimore! Anne- At least 80% of $10,900,944
Arundel, Baltimore
County
A-2
I Hawaii
$ 6,870,891 I
. Honolulu/ Honolulu At least 80% of $6,870,891
County
Oreaon $ 6766.108
. Portland/ At least 80% of $6,766, 108
Washington,
Multnomah, and
Clackamas County
Louisiana $ 6,282,661
. New Orleans/ At least 80% of $6,282,661
Orleans Parish
Tennessee $ 6 071 695
. Memphis/ Shelby At least 80% of $6,071 ,695
County
* As defined by NACo
A-3
Appendix 8
Assessment and Strategy Validation
OOP will use the following checklist to review existing urban area assessments for the
purposes of this program. The major areas of review are coordination, risk assessment,
capabilities assessment, needs assessment, and strategy. If any or all of these maior
areas are incomplete or missina, ODP will work with the Grantee and the urban area to
craft a valid urban area assessment and strateGY.
COORDINATION:
The urban area has completed major areas one through four, including all
contiguous jurisdictions, mutual aid partners, and the State through an Urban
Area Working Group. Please list the jurisdictions represented on the working
group:
MAJOR AREA 1: Risk Assessment
The urban area has completed a risk assessment containing ALL of the following
elements:
Threat Assessment - The purpose of a threat assessment is to determine
the relative likelihood of a known potential threat element attempting to attack
using a weapon of mass destruction.
Identify Potential Threat Elements (PTE) within the urban area -
Potential threat elements are any group or individual in which there are
allegations or information indicating a possibility of the unlawful use of
force or violence, specifically the utilization of WMO, against persons or
property to intimidate or coerce a government, the civilian population, or
any segment thereof, in furtherance of a specific motivation or goal,
possibly political or social in nature. Following are examples of threat
element factors:
The Presence of Threat Factors such as:
. PTE existence
· PTE violent history
· PTE intentions
· PTE WMO capabilities, and
· PTE targeting
. Motivation of each PTE
· Identification of the WMO capabilities of PTE
Vulnerability Assessment - Basic vulnerability assessments provide a current
B-1
vulnerability profile for all potential targets located within boundaries of the urban
area.
Identify Potential Targets to include: critical infrastructure facilities,
sites, systems, or special events that are present or take place within the
urban area. For each of these identified consider:
Level of Visibility
Criticality of Target Site to the urban area
Impact Outside of the urban area
Potential Threat Element Access to Target
Potential Target Threat of Hazard
Potential Target Site Population Capacity
Potential Collateral Mass Casualties
Rate Target
Identify Legal Hazardous Sites within the following five areas located
within the urban area.
Chemical
Biological
Radiological
Nuclear
Explosive
MAJOR AREA 2: Capabilities Assessment
The urban area has completed a capabilities assessment containing ALL of the
following elements:
An urban area capabilities assessment examines the current capabilities of the
urban area's emergency responders. An effective capabilities assessment will
identify the planning, organization, equipment, training, and exercises available
to safely and effectively respond to WMD incidents. The following tasks should
be considered in a capabilities assessment:
Establish CBRNE materials likely to be used during a WMD terrorism
incident in order to help determine current capabilities of each response
discipline to respond appropriately.
Establish a numerical focus of affected civiliansl responders who may
become incapacitated during a WMD terrorism incident.
B-2
Apply these factors to planning, organization, equipment, training, and
exercises in order to identify gaps.
MAJOR AREA 3: Needs Assessment
The urban area has completed a needs assessment containing ALL of the following
elements:
A needs assessment should use the data collected through the risk and
capabilities assessments to determine what additional capabilities are needed to
increase emergency responder capabilities to respond to a WMD terrorism
incident effectively. The following solution areas should be addressed as part of
an adequate needs assessment:
Planning: Assess planning the urban area has conducted and identify
additional requirements to ensure emergency responders have an updated
emergency response plan and terrorism incident annex to provide direction in the
event of a WMD incident.
Organization: Assess organizational efforts the urban area has addressed
through the construction of emergency response teams and written mutual aid
agreements among the urban area partners to provide coverage to those areas
lacking WMD response capabilities, and identify additional steps which may be
necessary.
Equipment: Assess the equipment resources necessary to respond to WMD
terrorism incidents that may occur in the urban area determined through planning
factors, WMD response levels by discipline, and specific tasks desired by each
discipline.
Training: Assess additional WMD training needed by each discipline using
training guidelines provided for increased capabilities.
Exercise: Assess additional exercises the urban area needs to properly
exercise their local plans.
MAJOR AREA 4: Strategy Goals, Objectives and Implementation Steps
The urban area has developed goals, objectives and implementation steps
containing A~L of the following elements:
The information and data gathered from the urban area identifies current
capabilities and projected needs. Using this information, a comprehensive
assessment should result in the development of broad-based goals that address
areas of response enhancement as well as objectives for each goal. Plans,
organizations, equipment, training, and exercises are areas for consideration in
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reducing shortfalls in response capabilities.
A. Goal: A target that the urban area wants to achieve regarding an
improved level of capability.
- Help urban area to achieve its vision
- Focuses on the long term
- Broad in scope
B. Objective: Specific statements of desired achievement that supports the
goal.
- Support the attainment of long range goals
- Focus on short term
- It is specific, measurable, achievable, results-oriented, and time-limited
c. Implementation step: A road map to the accomplishment of the objective.
D. Metric(s): A tool for measuring progress in achieving goals and
objectives.
B-4
Appendix C
Allowable Planning, Equipment, Training, Exercise, and
Administrative Costs
I. Allowable Planning Costs
Funds to be used for planning may be used to pay for activities associated with the
completion of the urban area assessment, development of the Urban Area Homeland
Security Strategy, and other planning activities, including: 1) conducting training
sessions to ensure accurate completion of the assessment; 2) implementing and
managing sustainable programs for equipment acquisition, training and exercises; 3)
enhancement or establishment of mutual aid agreements; 4) enhancement or
development of emergency operations plans and operating procedures; 5) development
or enhancement of recovery plans; 6) development of communication and
interoperability protocols and solutions; 7) coordination of citizen and family
preparedness plans and programs, including donations programs and volunteer
initiatives; 8) enhancement or development of continuity of operations and continuity of
government plans; and 9) hiring of full or part-time staff or contractors/consultants to
assist with any of the above activities.
II. Allowable Equipment Costs
Funds from the UASI Grant Program II may be used by the urban area to enhance
capabilities in the areas of law enforcement, emergency medical services, emergency
management, the fire service, hazardous materials, public works, governmental
administrative, public safety communications, healthcare and public health at the state
and local levels of government in accordance with the goals and objectives identified in
the urban area assessment or capability enhancement plan. Other allowable uses of
funds include measures associated with target hardening and critical infrastructure
security. Grant funds may also be used to share critical information such as 1) systems
to disseminate and safeguard threat information, and 2) alert notification systems.
Funds may also be used for sustainment of first responder equipment that would be
used in an urban area's response to a terrorist threat or event. This would include
repair and replacement parts, equipment warranties and maintenance contracts for
equipment purchased under this ODP grant.
Authorized equipment purchases may be made in the following categories:
1. Personal Protective Equipment (PPE)
2. Explosive Device Mitigation and Remediation Equipment
3. CBRNE Search & Rescue Equipment
4. Interoperable Communications Equipment
5. Detection Equipment
6. Decontamination Equipment
7. Physical Security Enhancement Equipment
8. Terrorism Inciden.t Prevention Equipment
9. CBRNE Logistical Support Equipment
10. CBRNE Incident Response Vehicles
11. Medical Supplies and Limited Types of Pharmaceuticals
12. CBRNE Reference Materials
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1. Personal Protective Equipment - Equipment worn to protect the individual from
hazardous materials and contamination. Levels of protection vary and are divided into
three categories based on the degree of protection afforded. The following constitutes
equipment intended for use in a chemical/biological threat environment:
level A. Fully encapsulated, liquid and vapor protective ensemble selected when
the highest level of skin, respiratory and eye protection is required. The following
constitutes Level A equipment for consideration:
Fully Encapsulated Liquid and Vapor Protection Ensemble, reusable or
disposable (tested and certified against CB threats)
Fully Encapsulated Training Suits
Closed-Circuit Rebreather (minimum 2-hour supply, preferred), or open-circuit
Self-Contained Breathing Apparatus (SCBA) or, when appropriate, Air-Line
System with 15-minute minimum escape SCBA
Spare Cylinders/Bottles for rebreathers or SCBA and service/repair kits
Chemical Resistant Gloves, including thermal, as appropriate to hazard
Personal Cooling System; Vest or Full Suit with support equipment needed for
maintaining body core temperature within acceptable limits
Hardhat/helmet
Chemical/Biological Protective .Undergarment
Inner Gloves
Approved Chemical Resistant Tape
Chemical Resistant Boots, Steel or Fiberglass Toe and Shank
Chemical Resistant Outer Booties
level B. Liquid splash resistant ensemble used with highest level of respiratory
protection. The following constitute Level B equipment and should be considered for
use:
Liquid Splash Resistant Chemical Clothing, encapsulated or non-encapsulated
Liquid Splash Resistant Hood
Closed-Circuit Rebreather (minimum 2-hour supply, preferred), open-circuit
SCBA, or when appropriate, Air-Line System with 15-minute minimum escape
SCBA
Spare Cylinders/Bottles for rebreathers or SCBA and service/repair kits
Chemical Resistant Gloves, including thermal, as appropriate to hazard
Personal Cooling System; Vest or Full Suit with support equipment needed for
maintaining body core temperature within acceptable limits
HardtBt/helmet
Chemical/Biological Protective Undergarment
Inner Gloves
Approved Chemical Resistant Tape
Chemical Resistant Boots, Steel or Fiberglass Toe and Shank
Chemical Resistant Outer Booties
level C. Liquid splash resistant ensemble, with same level of skin protection of
C-2
Level B, used when the concentration(s) and type(s) of airborne substances(s) are
known and the criteria for using air-purifying respirators are met. The following
constitute level C equipment and should be considered for use:
Liquid Chemical Splash Resistant Clothing (permeable or non-permeable)
Liquid Chemical Splash Resistant Hood (permeable or non-permeable)
Tight-fitting, Full Facepiece, Negative Pressure Air Purifying Respirator with the
appropriate cartridge(s) or canister(s) and P100 filter(s) for protection against
toxic industrial chemicals, particulates, and military specific agents.
Tight-fitting, Full Facepiece, Powered Air Purifying Respirator (PAPR) with
chemically resistant hood with appropriate cartridge(s) or canister(s) and
high-efficiency filter(s) for protection against toxic industrial chemicals,
particulates, and military specific agents.
Equipment or system batteries will include those that are rechargeable (e.g.
NiCad) or non-rechargeable with extended shelf life (e.g. Lithium)
Chemical Resistant Gloves, including thermal, as appropriate to hazard
Personal Cooling System; Vest or Full Suit with support equipment
Hardhat
Inner Chemical/Biological Resistant Garment
Inner Gloves
Chemical Resistant Tape
Chemical Resistant Boots, Steel or Fiberglass Toe and Shank
Chemical Resistant Outer Booties
Level D. Selected when no respiratory protection and minimal skin protection is
required, and the atmosphere contains no known hazard and work functions
preclude splashes, immersion, or the potential for unexpected inhalation of, or.
contact with, hazardous levels of any chemicals.
Escape mask for self-rescue
Note: During CBRNE response operations, the incident commander determines the
appropriate level of personal protective equipment. As a guide, Levels A B, and Care
applicable for chemical/ biological! radiological contaminated environments. Personnel
entering protective postures must undergo medical monitoring prior to and after entry.
All SCBAs should meet standards established by the National Institute for
Occupational Safety and Health (NIOSH) for occupational use by emergency
responders when exposed to Chemical, Biological, Radiological and Nuclear
(CBRN) agents in accordance with Special Tests under NIOSH 42 CFR 84.63(c),
procedure number RCT-CBRN-STP-0002, dated December 14, 2001.
Grant recipients should purchase: 1) protective ensembles for c,hemical and biological
terrorism incidents that are certified as compliant with Class 1, Class 2, or Class 3
requirements of National Fire Protection Association (NFPA) 1994, Protective
Ensembles for Chemical/Biological Terrorism Incidents; 2) protective ensembles for
hazardous materials emergencies that are certified as compliant with NFPA 1991,
Standard on Vapor Protective Ensembles for Hazardous Materials Emergencies,
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including the chemical and biological terrorism protection; 3) protective ensembles for
search and rescue or search and recovery operations where there is no exposure to
chemical or biological warfare or terrorism agents and where exposure to flame and
heat is unlikely or nonexistent that are certified as compliant with NFPA 1951, Standard
on Protective Ensemble for USAR Operations; and, 4) protective clothing from blood
and body fluid pathogens for persons providing treatment to victims after
decontamination that are certified as compliant with NFPA 1999, Standard on Protective
Clothing for Emergency Medical Operations. For more information regarding these
standards, please refer to the following web sites:
The National Fire Protection Association - htto:/Iwww.nfoa.ora
National Institute for Occupational Safety and Health - htto://www.cdc.qov/niosh
2. Explosive Device Mitigation and Remediation - Equipment providing for the
mitigation and remediation of explosive devices in a CBRNE environment:
Bomb Search Protective Ensemble for Chemical/Biological Response
Chemical/Biological Undergarment for Bomb Search Protective Ensemble
Cooling Garments to manage heat stress
Ballistic Threat Body Armor (not for riot suppression)
Ballistic Threat Helmet (not for riot suppression)
Blast and Ballistic Threat Eye Protection (not for riot suppression)
Blast and Overpressure Threat,Ear Protection (not for riot suppression)
Fire Resistant Gloves
Dearmer/Disrupter
Real Time X-Ray Unit; Portable X-Ray Unit
CBRNE Compatible Total Containment Vessel (TCV)
CBRNE Upgrades for Existing TCV
Robot; Robot Upgrades
Fiber Optic Kit (inspection or viewing)
Tents, standard or air inflatable for chem/bio protection
Inspection mirrors
Ion Track Explosive Detector
3. CBRNE Search and Rescue Equipment - Equipment providing a technical search
and rescue capability for a CBRNE environment:
Hydraulic tools; hydraulic power unit
Listening devices; hearing protection
Search cameras ( including thermal and infrared imaging)
Breaking devices (including spreaders, saws and hammers)
Lifting devices (including air bag systems, hydraulic rams, jacks, ropes and block
and tackle)
Blocking and bracing materjals
Evacuation chairs (for evacuation of disabled personnel)
Ventilation fans
4. Interoperable Communications Equipment - Equipment and systems providing
connectivity and electrical interoperability between local and interagency organizations
C-4
to coordinate CBRNE response operations:
Land Mobile, Two-Way In-Suit Communications (secure, hands-free, fully duplex,
optional), including air-to-ground capability (as required)
Antenna systems
Personnel Alert Safety System (PASS) - (location and physiological monitoring
systems optional)
Personnel Accountability Systems
Individual/portable radios, software radios, portable repeaters, radio interconnect
systems, satellite phones, batteries, chargers and battery conditioning systems
Computer systems designated for use in an integrated system to assist with
detection and communication efforts (must be linked with integrated software
packages designed specifically for chemical and/or biological agent detection
and communication purposes)
Portable Meteorological Station (monitors temperature, wind speed, wind
direction and barometric pressure at a minimum)
Computer aided dispatch system
Commercially available crisis management software
Mobile Display Terminals
Note: In an effort to improve public safety interoperability, all new or upgraded radio
systems and new radio equipment should be compatible with a suite of standards called
ANSI/T1A/EIA-102 Phase I (Project 25). These standards have been developed to allow
for backward compatibility with existing digital and analog systems and provide for
interoperability in future systems. The FCC has chosen the Project 25 suite of standards
for voice and low-moderate speed data interoperability in the new nationwide 700 MHZ
frequency band and the Integrated Wireless Network (lWN) of the U.S. Justice and
Treasury Departments has chosen the Project 25 suite of standards for their new radio
equipment. In an effort to realize improved interoperability, all radios purchased
under this grant should be APeO 25 compliant.
5. Detection Equipment. Equipment to sample, detect, identify, quantify, and monitor
for chemical, biological, radiological/nuclear and explosive agents throughout
designated areas or at specific points:
Chemical
M-8 Detection Paper for chemical agent identification
M-9 Detection Paper (roll) for chemical agent (military grade) detection
M-256 Detection Kit for Chemical Agent (weapons grade-blister: CXlHD/L;
blood: AC/CK; and nerve: GBNX) detection
M-256 Training Kit
M-18 Series Chemical Agent Detector Kit for surface/vapor chemical agent
analysis
Hazard Categorizing (HAZCA T) Kits
Photo-Ionization Detector (PID)
Flame Ionization Detector (FID)
Surface Acoustic Wave Detector
C-5
Gas Chromatograph/Mass Spectrometer (GC/MS)
Ion Mobility Spectrometry
Stand-Off Chemical Detector
M-272 Chemical Agent Water Test Kit
Colormetric Tube/Chip Kit specific for TICs and CBRNE applications
Multi-gas Meter with minimum of 02 and LEL
Leak Detectors (soap solution, ammonium hydroxide, etc)
pH Paper/pH Meter
Waste Water Classifier Kit
Oxidizing Paper
Protective cases for sensitive detection equipment storage & transport
Biological
Point Detection Systems/Kits (Immunoassay or other technology)
Radiological/Nuclear
Radiation detection equipment (electronic or other technology that detects alpha,
beta, gamma, and high intensity gamma)
Personal Dosimeter
Scintillation Fluid (radiological) pre-packaged
Radiation monitors
Explosive
Canines (initial acquisition, initial operational capability only)
6. Decontamination Equipment. Equipment and material used to clean, remediate,
remove or mitigate chemical and biological contamination:
Chemical
Decontamination system for individual and mass application with environmental
controls, water heating system, showers, lighting, and transportation (trailer)
Decon Litters/roller systems
Extraction Litters, rollable
Runoff Containment Bladder(s), decontamination shower waste collection with
intrinsically-safe evacuation pumps, hoses, connectors, scrub brushes, nozzles
Spill Containment Devices
Overpak Drums
Non-Transparent Cadaver Bags (CDC standard)
Hand Carts .
Waste water classification kits/strips
Biological
HEPA (High Efficiency Particulate Air) Vacuum for dry decontamination
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7. Physical Security Enhancement Equipment. Equipment to enhance the physical
security of critical infrastructure.
Surveillance, Warning, Access/Intrusion Control
Ground
Motion Detector Systems: Acoustic; Infrared; Seismic; Magnetometers
Barriers: Fences; Jersey Walls
Impact Resistant Doors and Gates
Portal Systems; locking devices for access control
Alarm Systems
Video Assessment/Cameras: Standard, Low Light, IR, Automated Detection
Personnel Identification: Visual; Electronic; Acoustic; Laser; Scanners;
Cyphers/Codes
X-Ray Units
Magnetometers
Vehicle Identification: Visual; Electronic; Acoustic; Laser; Radar
Waterfront
Radar Systems
Video Assessment System/Cameras: Standard, Low Light, IR, Automated
Detection
Diver/Swimmer Detection Systems; Sonar
Impact Resistant Doors and Gates
Portal Systems
Hull Scanning Equipment
Plus all those for Ground
Sensors - Agent/Explosives Detection
Chemical: Active/Passive; Mobile/Fixed; Handheld
Biological: Active/Passive; Mobile/Fixed; Handheld
Radiological
Nuclear
Ground/Wall Penetrating Radar
Inspection/Detection Systems
Vehicle & Cargo Inspection System - Gamma-ray
Mobile Search & Inspection System - X-ray
Non-Invasive Radiological/Chem/BiofExplosives System - Pulsed Neutron
Activation
Explosion Protection
Blast/Shock/Impact Resistant Systems
C-7
Protective Clothing
Column and Surface Wraps; Breakage/Shatter Resistant Glass; Window Wraps
Robotic Disarm/Disable Systems
8. Terrorism Incident Prevention Equipment (Terrorism Early Warning,
Prevention, and Deterrence Equipment and Technologies) - Local public safety
agencies will increasingly rely on the integration of emerging technologies and
equipment to improve urban area capabilities to deter and prevent terrorist incidents.
This includes, but is not limited to, equipment and associated components that enhance
an urban area's ability to disseminate advanced warning information to prevent a
terrorist incident or disrupt a terrorist's ability to carry out the event, including
information sharing, threat recognition, and public/private sector collaboration.
Data collection/information gathering software
Data synthesis software
Geographic Information System information technology and software
Law enforcement surveillance equipment
9. CBRNE Logistical Support Equipment - Logistical support gear used to store and
transport the equipment to the CBRNE incident site and handle it once onsite. This
category also includes small support equipment including intrinsically safe (non-
sparking) hand tools required to support a variety of tasks and to maintain equipment
purchased under the grant as well as general support equipment intended to support
the CBRNE incident response:
Equipment trailers
Weather-tight containers for equipment storage
Software for equipment tracking and inventory
Handheld computers for Emergency Response applications
Small Hand tools
Binoculars, head lamps, range finders and spotting scopes (not for weapons use)
Small Generators to operate light sets, water pumps for decontamination sets
Light sets for nighttime operations/security
Electrical Current detectors
Equipment harnesses, belts, and vests
Isolation containers for suspected chemical/biological samples
Bull homs
Water pumps for decontamination systems
Bar code scanner/reader for equipment inventory control
Badging system equipment and supplies
Cascade system for refilling SCBA oxygen bottles
SCBA fit test equipment and software to conduct flow testing
Tes~ing Equipment for fully encapsulated suits .
Cooling/HeatingNentilation Fans (personnel and decontamination tent use)
HAZMA T Gear Bag/Box
10. CBRNE Incident Response Vehicles - This category includes special-purpose
vehicles for the transport of CBRNE response equipment and personnel to the incident
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site. Licensing and registration fees are the responsibility of the jurisdiction and are not
allowable under this grant. In addition, general purpose vehicles (squad cars, executive
transportation, etc.), fire apparatus, and tactical/armored assault vehicles are not
allowable. Allowable vehicles include:
Mobile command post vehicles
Hazardous materials (HazMat) response vehicles
Bomb response vehicles
Prime movers for equipment trailers
2-wheel personal transport vehicles for transporting fully suited bomb
technicians, Level NB suited technicians to the Hot Zone
Multi-wheeled all terrain vehicles for transporting personnel and equipment to
and from the Hot Zone
11. Medical Supplies and Pharmaceuticals - Medical supplies and pharmaceuticals
required for response to a CBRNE incident. Grantees are responsible for replenishing
items after shelf-life expiration date(s).
Medical Supplies
Automatic Biphasic External Defibrillators and carry bags
Equipment and supplies for establishing and maintaining a patient airway at the
advanced life support level (to include OP and NG airways; ET tubes, styletes,
blades, and handles; portable suction devices and catheters; and stethoscopes
for monitoring breath sounds)
Blood Pressure Cuffs
IV Administration Sets (Macro and Micro) and Pressure Infusing Bags
IV Catheters (14,16,18,20, and 22 gauge)
IV Catheters (Butterfly 22,24 and 26 gauge)
Manual Biphasic Defibrillators (defibrillator, pacemaker, 12 lead) and carry bags
Eye Lense for Lavage or Continuous Medication
Morgan Eye Shields
Nasogastric Tubes
Oxygen administration equipment and supplies (including bag valve masks;
rebreather and non- rebreather masks, and nasal cannulas; oxygen cylinders,
regulators, tubing, and manifold distribution systems; and pulse oximetry,
Capnography & C02 detection devices)
Portable Ventilator
Pulmonary Fit Tester
Syringes (3cc and 10cc)
26 ga W' needles (for syringes)
21 ga. 1 %" needles (for syringes)
Triage Tags and Tarps
Sterile and Non-Sterile dressings, all forms and sizes
Gauze, all sizes
C-9
Pharmaceuticals
2Pam Chloride
Adenosine
Albuterol Sulfate .083%
Albuterol MOl
Atropine 0.1 & 0.4 mg/ml
Atropine Auto Injectors
Benadryl
CAN A Auto Injectors
Calcium Chloride
Calcium Gluconate 10%
Ciprofloxin PO
Cyanide kits
Dextrose
Dopamine
Doxycycline PO
Epinephrine
Glucagon
Lasix
Lidocaine
Loperamide
Magnesium Sulfate
Methylprednisolone
Narcan
Nubain
Nitroglycerin
Normal Saline (500 and 1000 ml bags)
Potassium Iodide
Silver Sulfadiazine
Sodium Bicarbonate
Sterile Wate r
Tetracaine
Thiamine
Valium
12. CBRNE Reference Materials - Reference materials designed to assist emergency
first responders in preparing for and responding to a CBRNE incident. This includes but
is not limited to the following:
NFPA Guide to hazardous materials
NIOSH Hazardous Materials Pocket Guide
North American Emergency Response Guide
Jane's Chem-Bio Handbook
First Responder Job Aids
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III. Allowable Training Costs
Funds from UASI Grant Program II grants may be used to enhance the capabilities of
local emergency responders through the enhancement or development of an urban
area homeland security training program, or delivery of existing OOP courses.
Allowable training-related costs include: 1) development and/or establishment of
CBRNE training courses, which should be institutionalized within existing training
academies, universities or junior colleges. These courses must be consistent with OOP
responder training guidelines and reviewed and approved by OOP; 2) backfill costs to
replace responders who are attending OOP-approved courses; 3) overtime costs for
responders who attend OOP-approved training courses, and 4) travel costs associated
with planning or attending OOP-approved training.
The target audience for training supported through UASI Grant Program II grants must
be emergency responders, emergency managers and public/elected officials within the
following disciplines: firefighters, law enforcement, emergency management,
emergency medical services, hazardous materials, public works, public health, health
care, public safety communications, governmental administrative and private security
guards. Grantees using these funds to develop their own courses should address the
critical training areas and gaps identified in the urban area assessment or capability
enhancement plan and must adhere to the OOP Emergency Responder Guidelines,
which may be found at: http://www.ojp.usdoi.Qov/odp/whatsnew/whatsnew.htm.
IV. Allowable Exercise Costs
Funds from UASI Grant Program II grants may be used to plan for, design, develop,
conduct, and evaluate exercises that train emergency responders and assess the
readiness of urban areas to prevent and respond to a terrorist attack. Exercises must
be threat and performance-based, in accordance with OOP's Homeland Security
Exercise and Evaluation Program (HSEEP) manuals. These manuals will provide
explicit direction on the design, conduct and evaluation of terrorism exercises.
Exercises conducted with OOP support (grant funds or direct support) must be
managed and executed in accordance with the HSEEP.
Allowable exercise-related costs include:
1. Exercise Planning Workshop - Grant funds may be used to plan and conduct an
Exercise Planning Workshop to include costs related to planning, meeting space and
other meeting costs, facilitation costs, materials and supplies, travel, and exercise plan
development.
2. Full or Part-Time Staff or Contractors/Consultants - Full or part-time staff may be
hired to support exercise-related activities. Payment of salaries and fringe benefits
must be in accordance with the policies of the unit(s) of local government and have the
approval of the awarding agency. The services of contractors/consultants may also be
procured by the urban area in the design, development, conduct and evaluation of
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CBRNE exercises. The applicant's formal written procurement policy or the Federal
Acquisition Regulations (FAR) must be followed.
3. Overtime - Payment of overtime expenses will be for work performed by award
(SAA) or sub-award employees in excess of the established work week (usually 40
hours). Further, overtime payments are allowed only to the extent the payment for such
services is in accordance with the policies of the unit(s) of local government and has the
approval of the awarding agency. In no case is dual compensation allowable. That is,
an employee of a unit of government may not receive compensation from their unit or
agency of government AND from an award for a single period of time (e.g., 1 :00 pm to
5:00 pm), even though such work may benefit both activities. Fringe benefits on
overtime hours are limited to FICA, Workman's Compensation and Unemployment
Compensation
4. Travel- Travel costs (Le., airfare, mileage, per diem, hotel, etc.) are allowable as
expenses by employees who are on travel status for official business related to the
planning and conduct of the exercise project(s). These costs must be in accordance
with either the federal or an organizationally-approved travel policy.
5. Supplies - Supplies are items that are expended or consumed during the course of
the planning and conduct of the exercise project(s) (e.g., copying paper, gloves, tape,
and non-sterile masks).
6. Implementation of the HSEEP - Costs related to setting up and maintaining a
system to track the completion and submission of After Action Reports (AAR) and the
implementation of Corrective Action Plans (CAP) from exercises, which may include
costs associated with meeting with local jurisdictions to define procedures. (Note: OOP
is developing a national information system for the scheduling of exercises and the
tracking of AAR/CAPs to reduce the burden on the localities and to facilitate national
assessments of preparedness.)
7. Other Items - These costs include the rental of space/locations for exercise planning
and conduct, exercise signs, badges, etc.
v. Management and Administrative Costs
Local governments may use up to 3% of the grant award to pay for activities associated
with the implementation of the overall UASI Grant Program II, including: 1) hiring offull
or part-time staff or contractors/consultants to assist with the collection of the
assessment data; 2) travel expenses; 3) meeting-related expenses; 4) conducting local
program implementation meetings; 5) hiring of full or part-time staff or contractors/
consultants to assist with the implementatiqn and administration of the assessment;
and, 6) the acquisition of authorized office equipment. (Note: Authorized office
equipment includes personal computers, laptop computers, printers, LCD projectors and
other equipment or software which may be required to support implementation of the
assessment. For a complete list of allowable meeting-related expenses, please review
the OJP Office of the Comptroller (OC) Financial Guide at:
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http://www.ojp.usdoi.Qov/FinGuide.) States MAY NOT use funds under this Program for
administrative costs, but may use FY 2003 State Homeland Security Grant Program I
and II funds to cover such costs.
VI. Operational Activities
Grantees and subgrantees may use up to 25% of the gross amount of their award to
reimburse for operational expenses, including overtime costs for personnel and costs
associated with increased security measures at critical infrastructure sites, incurred
during the ORANGE threat alert level beginning on February 7, 2003 and ending on
February 27,2003, beginning again on March 17,2003 and ending on April 16, 2003,
and beginning again on May 20,2003 and ending on May 30,2003. Reimbursement is
available only for costs incurred during these time periods.
States and local governments should generally consider critical infrastructure to include
any system or asset that if attacked would result in catastrophic loss of life and/or
catastrophic economic loss. In addition, protection for the following specific types of
facilities should also be considered:
Public water systems serving large population centers
· Primary data storage and processing facilities, major stock exchanges and major
banking centers
· Chemical facilities located in close proximity to large population centers
· Major power generation facilities that exceed 2000MW and if successfully
attacked would disrupt the regional electric grid.
Hydroelectric facilities and dams that produce power in excess of 2000MW or
could result in catastrophic loss of life if breached
· Nuclear Power plants
· Electric substations 500KV or larger, and substations 345KV or larger that are
part of a critical system supporting populations in excess of one million people
· Rail and highway bridges over major waterways that, if destroyed, would cause
catastrophic economic loss
Major highway tunnels under waterways that if attacked would cause
catastrophic loss of life or catastrophic economic impact
Major natural gas transmission pipelines
· Natural Gas and liquid Natural Gas Storage (LNG) facilities
· Major petroleum handling facilities such as pipelines, ports, refineries and
C-13
terminals
· Major mass transit subway systems and the supporting ventilation systems
Grants funds may also be used to share critical information such as 1) systems to
disseminate and safeguard threat information, and 2) alert notification systems.
C-14
Appendix 0
Grant Reporting Requirements
Grant Reporting Requirements
I. Financial Status Reports (SF-269A)
A. Reporting Time Line - Financial Status Reports are due within 45 days after the end
of each calendar quarter. A report must be submitted for every quarter that the award is
active, including partial calendar quarters, as well as for periods where no grant activity
occurs (see below).
First
Quarter
Second
Quarter
Third
Quarter
Fourth
Quarter
II. Cate~orical Assistance Pro~ress Reports (OJP Form 4587/1)
A. Reporting Time Line - Categorical Assistance Progress Reports are due within 30
days after the end of the reporting periods, which are June 30 and December 31, for the
life of the award.
First
Quarter
Second
Quarter
Third
Quarter
Fourth
Quarter
7/1 - 12/31
1/31
D-l
B. Budget Detail Worksheets - Grantees MUST provide detailed budget information
for the initial allocation of funds (up to 25%) provided through the UASI Grant Program"
as an attachment to their application. Funds retained by the State should be
reported separately. Additionally, Budget Detail Worksheets for use of the remaining
funds under the grant award must be submitted and approved by ODP prior to
obligation, expenditure, or draw-down of those funds. Remaining funding to be retained
by the State should be reported separately from funding that will be passed to the urban
area. Sample Budget Detail Worksheets detailing the information that MUST be
furnished for each allocation are provided below. Electronic template Budget Detail
Worksheets are available upon request through ODP's toll free number at 1-800-368-
6498. Note: The core city core county/counties must provide written
concurrence on the SAA's initial allocation of funds (up to 25%) provided through
the UASI Grant Program II. The core city and core county/counties must also
provide written concurrence on the spending plan (Budget Detail Worksheets) for
the use of all remaining funds, following submission of a validated Urban Area
Assessment and Urban Area Homeland Security Strategy.
Sample Budqet Detail Worksheet for Direct Purchases of Equipment
City/County/ PPE SCBA - 30 10 $500 HZ - $250
State Name min. LE - $250
City/County/ Detection Chemical 2 $14,000 HZ- $7,000
State Name Agent FS - $7000
Monitor
City/County/ Communications Radio 3 $150,000 FS - $50,000
State Name Interconnect LE - $50,000
S stem EMA - $50,000
Total $164,500
** Law Enforcement (LE), Emergency Medical Services (EMS), Emergency
Management (EMA), Fire Service (FS), HazMat (HZ), Public Works (PW), Public
Health (PH), Governmental Administrative (GA), Public Safety Communications (PSC),
Health Care (HC).
Sample Budqet Detail Worksheet for Direct Purchases of Exercise, Traininq, Planninq,
and Administrative Services
City/County/State Training Overtime Support attendance $750
Name at Incident
Response to
Terrorist Bombings
Cou rse
City/County/State Exercises Contractor Design CBRNE $130,000
Name Exercise Program
D-2
City/County/State Planning Personnel Grant Manager $50,000
Name
City/County/State Admin Travel Conference $200
Name Expense
Total $180,950
Sample Budqet Detail Worksheet for Sub-Awards
~~~l" ,\ ~~;"i~';'~~~
" ~ b.,...""""......hJ." >~~f$-.,.,. , ":~:s -~-;,q",,..I...::,,'~ \ " ~ "<<-- f +->-~ )Q-:;1aIA::~'[,'1r,J-!. ~';"';1r4::' "", ; >>~l!;{ ~
.'>/- . ,"i~~ , > "2.<~ " , , _ , <~ >, , A ~ "-<>
:-':~"'>"""~'Er-1"?i~'O( lli~~""'~f-' .J,;t~l,M""<~l.H;I<', 'l~;<<~')"h''f'nlJ' ,1~+ '~~~r:;~......~iJ'l!'l.;_\'\, .1\;;', p' <it^<t'"I"lj 'OUv>' Yli}.;,>. ".'>.,~
~;tt!k'<L''''::~'+<)<'~,~:';~~'''t..*W>''t1.1,:;,rrr~~~!1'J;t <~ ,,"i1>1;1r<t~~ ~r:} ~: "'"\';''''''\ .,j}~l~-;q"lil" ,< )"'\1.l{tf;~n~ ~~~,,,^,;">,l.~
<"~'"~=~" l<<"Ar.'J,:.,,,~~~\).,W II ","l"">t..,~_m>,,,";~:<ri'>.w ~-: ~~ ...."\, """'''~''''''''rt",,/_ ""'~, .,~ ~>'J.,l.~j.,.,....\~ ~"'(~'?"<\ . ~., >"l ~11Xr.' -...~'" ,I"', '" . \ '
"~~;t~iJo1",,'?<~>'/:f{~.:t{.::,"H;.;.f:r'E~ ~'JhJ":cj,.>>,\ ~~,z~,~.li ~,;: ~ , ""':'1 ~tl:~., t::i1W~~'~"'/ ~,i~~ '''::.'>P::':''~/ J"', '.) f'. 1~illl;-}07'~':~~P~:~ ~,,:n...:,,"il
,. t,JI~}(,~'<:><i.>"'",,"N~f:! ~ .~'.,l' 1:' y~ ~''''~~''~ ,,"'., ~l') <'i""~,'1 ~~'.~ ~...-JJ < "~'Ar"":~t.,..",.~:,,,,, ,< ,J l~' ,I ~l.i \~l~ ~,~":~,~ Z ~~
~ r '",~ f."'~ '1<'< '1t' '" ',.l......" '-">< "'.. l ,~~",'~ Y""'.~,,,'~~~. ~,/ ,.- ~C\ ;-, . ~> N ~~ * . <.... J.:"'''^~'''''' ""~>.O
..i~itl:..v\:. ~~~.......il _~H_N,,"__<'~''''''''''''~ .... ~ h"~ 4 ,~... ~"_",;;,.y..._.,..__.~~,"",,,_.L.~.tt.1J ~~__k.;....".,,,,,,.1)~,,",,,,,,,,,,,,....~...~ 1~<<~:!'J>:S:~ ~.~...........~ ~.......ji)j
City/County $200,000.00 $150,000.00
Name
City/County $800,000.00 $150,000.00
Name
City/County $300,000.00 $300,000.00 $250,000.00
Name
Total $1,000,000.00 $450,000.00 $450,000.00 $250,000.00
c. Additional Information -Grantees must also use Block 12 of each Categorical
Assistance Progress Report to describe progress to date in implementing the grant and
its impact on homeland security in the state. Each report must provide an update on the
following activities that occurred during the designated reporting period:
1) Describe progress made to date in implementing this grant for each of the areas
(planning, equipment, training, exercises, administration, and operational activities).
Planninq:
Report hiring of additional staff and activities they have pursued. Additionally,
indicate steps taken to facilitate the urban area assessment, development of the
Urban Area Homeland Security Strategy, and other planning activities
undertaken.
Eauipment
If sub-granting funds, report:
The total number of sub-grants intended for award;
The number of sub-grants awarded to date, with the total amount of
awards made thus far;
The names of agencies and/or jurisdictions that have received sub-grant
awards during the reporting period and the amounts received; and
The total amount of funds expended through approved sub-grants to date.
Attach any new equipment budgets that have been submitted by
sub-grantees during the reporting period. Each sub-grant budget should
include the Equipment Budget Category, Item, Quantity, Estimated Total
Cost and Discipline(s) receiving the equipment (see Appendix C).
D-3
If purchasing and distributing equipment, report:
The agencies and/or local jurisdictions that have received equipment
during the reporting period and the funding amount allocated for each;
The total amount of funding that has been obligated by the grantee thus
far;
The total amount of funding that has been expended by the grantee thus
far; and,
The percentage of overall equipment (in dollar value) that has been
received and distributed.
Regardless of the method of funding/equipment distribution, indicate whether
personnel within recipient agencies and/or jurisdictions are sufficiently trained to
use grant-funded equipment, and if technical assistance or other training is
needed. Any procurement, distribution, or other equipment related problems
should also be noted in the progress report.
Traininq:
Provide information on how training funds have been used. Some relevant
questions to ask include:
Are funds being used to develop a comprehensive Homeland Security
training program for the urban area, including all contiguous jurisdictions,
and mutual aid partners?
What steps have been identified and taken?
Has training staff been hired? What activities are they undertaking?
Have funds been provided to state academies, universities, or other
institutions to enhance Homeland Security preparedness? How will this
impact the number of responders and other officials trained?
If funds have been provided to academies, universities, or other
institutions, how many individuals have been trained?
Are funds being provided to local jurisdictions and city agencies to pay for
training courses/overtime?
Provide complete reporting information on the total number of responders within
each discipline that received training as a result of this program, either through
training conducted within the urban area using UASI GP II funds, or through
delivery of programs of instruction developed under the program. Do not include
numbers for responders that received training directly from ODP or its service
providers, training data for these individuals will be captured through other
processes.
Exercises
If using exercise funds to hire State or local level staff/contractors, indicate
general activities that have occurred during the reporting period. Describe how
the additional staff has contributed to enhancement of exercise programs within
the urban area. Relevant questions to address may include:
D-4
What elements of a comprehensive exercise program have been
developed?
What type of coordination has occurred among the urban area partners?
What exercises have State or urban area exercise staff/contractors helped
identify, develop, conduct, and/or evaluate? What jurisdictions within the
urban area were involved?
If exercises have occurred, how are the post-evaluations being used to
identify and address preparedness needs?
Have actions been taken on any exercise evaluation findings?
Attach any outstanding after action reports.
If exercise funds were provided to local jurisdictions and/or mutual/aid partners to
develop, conduct, assess, and/or participate in exercises, indicate how those
funds were generally used. Relevant questions to address may include:
What jurisdictions/agencies were involved in the exercises?
What activities did the funds support (i.e. overtime for participants,
contractors, etc.)?
If exercises have occurred, how are the post-evaluations being used to
identify and address preparedness needs?
Have actions been taken on any exercise evaluation findings?
Administration:
Report hiring of additional staff and activities they have pursued. Describe
meetings and assessment training sessions that have occurred with urban area
officials, including those of contiguous jurisdictions and _mutual aid partners.
Note any difficulties and indicate if technical assistance is needed.
Ooerational Costs:
Report on the expenditure of funds to reimburse for operational costs incurred
during the Orange Alerts beginning on February 7,2003 and ending on February
27,2003, beginning again on March 17, 2003 and ending on April 16, 2003, and
beginning again on May 20, 2003 and ending on May 30, 2003. Describe how
funds were used and the activities that they are reimbursing. Indicate specifically
reimbursement costs for overtime.
2) Additionally, use the Progress Report to:
Describe progress made to date on achieving the overall goals and
objectives of the urban area and its' partners as identified in the Urban
Area Homeland Security Strategy.
Briefly explain how ODP resources (other than those already addressed
above) are contributing to attaining the overall goals and objectives
identified in the urban area assessment.
Identify other significant activities/ initiatives the State and local
D-5
jurisdictions within the urban area are pursuing to enhance overall
preparedness and responder capabilities, particularly those initiatives not
previously addressed in the jurisdictional assessment, or not being
supported by ODP.resources.
Identify problems encountered regarding the implementation of any
component of the urban area assessment or capability enhancement plan,
and any steps taken to resolve these problemsl issues.
If applicable, briefly describe any unique initiatives/ promising practices
undertaken that may be applicable to other cities or jurisdictions.
If applicable, provide any feedback on the ODP grant process and ODP
assistance with program implementation, including implementation of the
urban area assessment. Identify any other issues or concerns not
addressed above.
III. Monthlv Obliaation and Expenditure Report
On the 15th of every month each state must report on the previous month's obligation
and expenditure status of the funding provided through this grant. States must submit
this report through e-mail to their ODP Program Manager. The report must account for
funds retained at the state level (20%) SEPARATELY from thosesubgranted to local
agencies (80%). Please note a and b from numbers 1 thorough 5 below should sum to
the exact amount of the total grant award. An electronic template is available upon
request through ODP's toll free number at 1-800-368-6498. Please see Appendix C for
allowable costs.
1. Funds Budgeted For Planning
a. Total dollar amount of funds obligated for planning purposes
· Total dollar amount of funds expended on planning
b. Total dollar amount of funds not yet obligated for planning purposes
2. Funds Budgeted For Equipment
a. Total dollar amount of funds obligated for equipment acquisition
· Total dollar amount of funds expended on equipment acquisition
b. Total dollar amount of funds not yet obligated for equipment acquisition
3. Funds Used for Training
a. Total dollar amount of funds obligated for training
. Total dollar amount of funds expended on training
b. Total dollar amount of funds not yet obligated for training
4. Funds Used for Management and Administration (up to 3% by local agencies ONLY)
a. Total dollar amount of funds obligated for management and administration
purposes
· Total dollar amount of funds expended on management and administration
D-6
b. Total dollar amount of funds not yet obligated for management and
administration
5. Funds Used for Operational Activities
a. Total dollar amount of funds obligated for operational activities
· Total dollar amount of funds expended on operational activities
b. Total dollar amount of funds not yet obligated for operational activities
D-7
ATTACHMENT B
Program Statutes and Regulations
1) 53 Federal Register 8034
2) Federal Acquisition Regulations 31.2 and 031.2
3) Section 1352, Title 31, US Code
22
Attachment C
Copyright, Patent and Trademark
(a) If the Recipient brings to the performance of this Agreement a pre-existing
patent or copyright, the Recipient shall retain all rights and entitlements to that pre-existing patent
or copyright unless the Agreement provides otherwise.
(b) If any discovery or invention arises or is developed in the course of or as a
result of work or services performed under this Agreement, or in any way connected herewith, the
Recipient shall refer the discovery or invention to the Department for a determination whether
patent protection will be sought in the name of the State of Florida. Any and all patent rights
accruing under or in connection with the performance of this Agreement are hereby reserved to
the State of Florida. In the event that any books, manuals, films, or other copyrightable material
are produced, the Recipient shall notify the Department. Any and all copyrights accruing under or
in connection with the performance under this Agreement are hereby transferred by the Recipient
to the State of Florida.
(c) Within thirty (30) days of execution of this Agreement, the Recipient shall
disclose all intellectual properties relevant to the performance of this Agreement which he or she
knows or should know could give rise to a patent or copyright. The Recipient shall retain all rights
and entitlements to any pre-existing intellectual property which is so disclosed. Failure to
disclose will indicate that no such property exists. The Department shall then, under Paragraph
(b), have the right to all patents and copyrights which occur during performance of the Agreement.
23
Attachment 0
Statement of Assurances
The Recipient hereby assures and certifies compliance with all Federal statutes, regulations, policies,
guidelines and requirements, including OMS Circulars No. A-21 , A-110, A-122, A-128, A-87; E.O. 12372
and Uniform Administrative Requirements for Grants and Cooperative Agreements 28 CFR, Part 66,
Common rule, that govern the application, acceptance and use of Federal funds for this federally-assisted
project. Also the Applicant assures and certifies that:
2. It will comply with requirements of the provisions of the Uniform Relocation Assistance and Real
Property Acquisitions Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of
persons displaced as a result of Federal and federally-assisted programs.
3. It will comply with provisions of Federal law which limit certain political activities of employees of a
State or local unit of government whose principal employment is in connection with an activity financed in
whole or in part by Federal grants. (5 USC 1501, et seq.)
4. It will comply with the minimum wage and maximum hours provisions of the Federal Fair Labor
Standards Act
5. It will establish safeguards to prohibit employees from using their positions for a purpose that is or gives
the appearance of being motivated by a desire for private gain for themselves or others, particularly those
with whom they have family, business, or otheJ ties.
6. It will give the sponsoring agency or the Comptroller General, through any authorized representative,
access to and the right to examine all records, books, papers, or documents related to the grant.
7. It will comply with all requirements imposed by the Federal sponsoring agency concerning special
requirements of law, program requirements, and other administrative requirements.
8. It will insure that the facilities under its ownership, lease or supervision which shall be utilized in the
accomplishment of the project are not listed on 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.
9. It will comply with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973, Public Law 93-234, 87 Stat. 975, approved December 31, 1976, Section 102(a)
requires, on and after March 2, 1975, the purchase of flood insurance in communities where such
insurance is available as a condition for the receipt of any Federal financial assistance for construction or
acquisition purposes for use in any area that has been identified by the Secretary of the Department of
Housing and Urban Development as an area having special flood hazards. The phrase "Federal financial
assistance" includes any form of loan, grant, guaranty, insurance payment, rebate, subsidy, disaster
assistance loan or grant, or any other form of direct or indirect Federal assistance.
10. It will assist the Federal grantor agency in its compliance with Section 106 of the National Historic
Preservation Act of 1966 as amended (16 USC 470), Executive Order 11593, and the Archeological and
Historical Preservation Act of 1966 (16 USC 569a-1 et seq.j by (a) consulting with the State Historic
Preservation Officer on the conduct of Investigations, as necessary, to
identify properties listed in or eligible for inclusion in the National Register of Historic Places that are
subject to adverse effects (see 36 CFR Part 800.8) by the activity, and notifying the Federal grantor
agency of the existence of any such properties and by (b) complying with all requirements
established by the Federal grantor agency to avoid or mitigate adverse effects upon such properties.
24
11. It will comply, and assure the compliance of all its subgrantees and contractors, with the applicable
provisions of Title I of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 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, M71 00.1; and all other applicable Federal laws, orders, circulars, or
regulations.
12. It will comply with the provisions of 28 CFR applicable to grants and cooperative agreements including
Part 18, Administrative Review Procedure; 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 Reviewof Department of Justice Programs and Activities;
Part 42, Nondiscrimination/Equal Employment Opportunity Policies and Procedures; Part 61, Procedures
for Implementing the National Environmental Policy Act; Part 63, Floodplain Management and Wetland
Protection Procedures; and Federal laws or regulations applicable to Federal Assistance Programs.
13. It will comply, and all its contractors will comply, with the non-discrimination requirements of the
Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789(d), or Victims of Crime
Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation
Act of 1973, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX
of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non-
Discrimination Regulations, 28 CFR Part 42, Subparts C,D,E, and G; and Department of Justice
regulations on disability discrimination, 28 CFR Part 35 and Part 39.
14. In the event a Federal or State court or Federal or State administrative agency makes a finding of
discrimination after a due process hearing on the Grounds of race, color, religion, national origin, sex, or
disability against a-recipient of funds, the recipient will forward a copy of the finding to the Office for Civil
Rights, Office of Justice Programs.
15. It will provide an Equal Employment Opportunity Program if required to maintain one, where the
application is for $500,000 or more.
16. It will comply with the provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19,
1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of
the Coastal Barrier Resources System.
17. DRUG-FREE WORKPLACE (GRANTEES OTHER THAN INDIVIDUALS) As required by the Drug-
Free Workplace Act of 1988, and implemented at 28 CFR Part 67, Subpart F, for grantees, as defined at
28 CFR Part 67 Sections 67.615 and 67.620
25
ATTACHMENT E
ADVANCE JUSTIFICATION
26
/'
/'
,. Tampa Bay Urban Area Security Initiative
FY 03 Budget Proposal
Item No. Item Description Example Recipient Discipline Cost Goal Strategy Objective
.
Standardized intelligence mining COPLINK 1.1.1
software for captming and disseminating
intel information throughout ihe urban
1 Knowledge Management Technology Area 5 Jiuisdictions LEO Anolication $545,000 Prevention Plannin2 .
Software application for integrating air, A VALEX 1.5.1
Moving Map System - Aviation laud, and video GIS graphical systems All Discipline
2 ApDlication . 3 Jurisdictions ADIllication $600,000 Prevention EauiDment
Equipment for n:moving debris. 2.5.1
breaching, shoring, removing and lifting
stiuctura1 componen1s from trapped Fire Response
3' Heavy Urban Search & Rescue Vehicle victims. Tamna Fire Rescue Application $500,000 Prcnaredness IB!luinment
Contract persol1DCl to provide 2.1.1
municipality assistance in the
development and executiOD of municipal
Emergency Management emergency operations pIan (EOP) All Discipline
4 Planner/Contractor City of Clearwater Application. $180,000 Preparedness Plaoninat
Command vehicle for managing incident 4.5.2
5 Incident Response Command Vehicle at site Pinellas County All County Response $400,000 Response Eauiument
Mobile surveillance equipment NOT City of Sl 1.1.1
6 Surveillance Platform includinat vehicle and/or trailer. Petersburg LEO Application $100,000 Prevention Plaoninl!
Information management systems used by 4.5.4
decision makers for effective couunand.,
control, resource prioritizing and
allocation during incidents All Discipline
7 Incident Management Software All Jurisdictions Application $650,000 Response .IEQuill11lent .
System for warning/notifying response 1.1.4
personnel and/or the public of a threat or All Discipline
8 Early WarningINotification System an actual event. All Jurisdictions Application $250,000 Prevention Planninl!
~
~
~
ConlIactor support for the development 2.3.1,2.3.2.
and execution of an area wide training 2.33,2.3.4,
Urban Area Training & Training Program program. Training for executive/first All Discipline 2.35,2.3.6
9 Development lresoonder/public. All Jurisdictions IApplication $605,000 Preoaredness Trainimr
Conlractor support for developing and EOP, SOP, Slrategic 2.2.2
executing!U"ea wide EOP, SOP, and
response protocols. Develop urban area
resoW'Se catalog to be used in
Urban Area Planning & Plans determining future needs and response All Discipline
10 Development capabilities. All Jurisdictions APPlication $300,000 Planning
ConlIactor support for the development, 2.1.4
management, and execution of planning,
training and exercise program All Discipline
11 Urban Area Project Coordination All Jwisdictions Aoolication $153,000 Preparedness P1anning .
. Contractor support for the development Drills, Tabletops, 2.4.1
of an area wide joint and coordinated Functional. Full Scale All Discipline
12 Urban Area Exercise Program exercise orogram. All Jurisdictions Application $502,000 Preoaredness Exercise
Compilation of additional team From plan 25.1.25.2
equipment to support urban area.. Needs development
will be identified through the planning
process and plans development. All Discipline
13 .* Team Equipment All Jwisdictions Application $989.000 Preparedness Equipment
** Please note tJwt team equip will be ,
identified from the development of
unijUd UA pltzns and the
organiiPtional structure and equipmimt
to support to these specific response .
. systems