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HomeMy WebLinkAboutLAGUNA NIGUEL, CITY OF 1 (2) -2007 7.a-07 . SA'PP (2.) o. (; 1""" Vlel\y) N-2007 -073 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE CITY OF LAGUNA NIGUEL FOR TRANSFER AND USE OF THE FY2004 UASI GRANT PURCHASED CRITICAL INCIDENT RESPONSE TRAILER This Agreement is made and entered into on the tJJlllL ,. dD() 1, by and between the . City of Laguna Niguel (hereinafter referred to as "Laguna Niguel") and the City of Santa Ana, a Municipal Corporation and Charter City, (hereinafter referred to as "Santa Ana"). RECITALS 1. Santa Ana has purchased a Trailer and Equipment (hereinafter, "Trailer" refers ONLY to all items listed in EXHIBIT "A", and includes "Equipment" referenced above, which is the trailer contents) designed for use during a regional or local response (hereinafter "regional" refers to the geographical boundaries of the County of Orange, and "local" refers to the geographical boundaries of Laguna Niguel) to a critical incident, terrorism related attack, natural disaster, or CBRNE/WMD related event, where local or regional resources have been depleted or are not sufficient for effective response or protection of first responders. The trailer may also be used (on a limited basis) for specific critical incident, terrorism related, and CBRNE/WMD related training, drills, or exercises. The trailer was purchased with FY 2004 Urban Area Security Initiative (UASI) Grant funds, with the primary purpose of being a regional asset used to enhance protection, response, and preparedness capabilities. 2. Santa Ana has promulgated certain rules and regulations (See EXHIBIT "B"), concerning the transfer, use, maintenance, reporting, destruction, replacement, and inspection of the Trailer; and 3. Laguna Niguel desires to enter into an Agreement with Santa Ana outlining the ownership transfer of the Trailer to Laguna Niguel, and allowing the possession, deployment and use of the Trailer for critical incident, CBRNE/WMD, terrorism related responses and limited training, by the Laguna Niguel Police Services. COVENANTS NOW THEREFORE, in consideration of the mutual covenants contained herein, the parties agree as follows: I. This Agreement shall commence on the date first entered above and will be in effect indefinitely. It is mutually understood that this Trailer's title, registration and ownership will be transferred to Laguna Niguel. As such, Laguna Niguel will be responsible for all fees related to title, registration, and ownership. Because the Trailer is purchased with UASI grant funds, it must have a regional benefit. Laguna Niguel is required to, and agrees that if any First Responding agency (Police, Fire, city Emergency Operations Center) from the Orange County Operational area has a justifiable need to use the Trailer, and requests to use the Trailer, Laguna Niguel shall allow that agency access to the Trailer. Furthermore, Laguna Niguel shall assign the appropriately trained personnel to accompany the Trailer during deployment to an outside agency, to assist with equipment, set up, and incident management with respect to use of the Trailer. Access to the Trailer by the outside agency shall be granted if, and only if, Laguna Niguel is not engaged in the active deployment of the Trailer for its intended purposes at the time of the request. Also, the requesting agency's justification must be the result of any critical incident related to a terrorism, Weapons of Mass Destruction or CBRNE (Chemical, Biological, Radiological, Nuclear, and Explosive) event. Justification may also include any large-scale incident (natural or man-made disaster) that is overwhelming to that agency's existing resources, and where other mutual aid resources are not sufficient. 2. Santa Ana agrees to allow those officers, employees and agents of the Laguna Niguel Police Services who are authorized by Laguna Niguel to use the Trailer as specified in this Agreement. 3. All authorized officers, employees and agents of Laguna Niguel who use the Trailer, shall strictly comply with the rules and regulations attached hereto as EXHIBIT "B" (including any amendments to EXHIBIT "B"), and any other order or directive of Santa Ana. 2 4. Laguna Niguel agrees and represents that all of its officers, employees, agents, or other personnel that may utilize the Trailer will do so only within the course and scope of their duties as an employee, officer, or agent of Laguna Niguel and they are in no way employees of Santa Ana. Laguna Niguel is responsible for the conduct of its employees and Laguna Niguel employees will abide by all rules and regulations for the use of the Trailer. Any claims involving personal injury or property damage that result from acts committed by Laguna Niguel employees in the course of using the Trailer may be brought under the Federal Tort Claims Act (FTCA), 28 U.S.C. 99 2671 et seQ. In the event personal injury or property damage occurs due to a Laguna Niguel employee's negligent or wrongful use of the Trailer, Laguna Niguel will take all appropriate steps to encourage the damaged party to file a claim under the FTCA so that any compensation due can be paid by the United States Government. 8. Either party may terminate this Agreement at anytime, without cause upon 30 days prior written notice. 9. Any notice, demand or other communication pursuant to this Agreement shall be in writing, and shall be deemed properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile in the manner provided in this Section, to the following persons: To Santa Ana: Chief Paul M. Walters 60 Civic Center Plaza Santa Ana, CA 92702 Fax (714) 245-8007 To Laguna Niguel: Chief of Police Services Lieutenant Linda Solorza 27831 La Paz Road Laguna Niguel, CA 92677 Fax (949) 362-9840 If sent by mail, any notice shall be effective three (3) days after it has been deposited in the United States mail with postage prepaid. 3 If sent by facsimile, notice shall be effective twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. The persons executing this Agreement on behalf of Laguna Niguel and Santa Ana warrant that (i) they are duly authorized to execute and deliver this Agreement, (ii) formally bound to the provisions of this Agreement, and (iii) the entering into this Agreement does not violate any provisions of any other agreement to which the party is bound. IN WITNESS WHEREOF, the parties have executed and entered into this Agreement by their authorized representatives. CITY OF SANTA ANA DATED: L-~P Y DAVID REAM, City Manager ATTEST: City Clerk APPROVED AS TO CONTENT: (~~ PAULM. WALTERS Chief of Police CITY OF LAGUNA NIGUEL ~h~6 TIMOTHY Y City Manager UOVED AS TO FORM: LI (j, (d.Lmen- Paula J. Coleman Assistant City Attorney ATTEST. A --Ro~ ~J~ j~ PATRICIA E. HEALY 1)' CLERK OF THE COUNCIL 4 EXHIBIT "A" Trailer Agreement for CITY OF LAGUNA NIGUEL ITEM DESCRIPTION OUANTITY PPE KITS Tychem, Level C Suits w/I Pair Rubber Gloves, I Pair Booties, I Pair Latex Gloves, & Chem Tape 50 SHELTER TVI Corp. First Responder Shelter, Large, 20'L x II 'W w/Repair Kit/Anchor Kit/Manual/ Training CD; Serial #40967-1-2 I SHELTER EZ-UP Eclipse II Shelter; 10' x 10' I GENERATOR Honda, EB5000X Gasoline Generator; Engine Serial #GC05-4007382 1 HAND TRUCK Milwaukee 600lb Convertible Dolly I MISTING FAN Cool Draft 10 Gallon Misting Fan w/Cooler I GAS CAN 5 Gallon Spare Gasoline Canister I CHAIRS Iceburg Folding Chair 2 TABLE Lifetime Indoor/Outdoor 6ft Folding Utility Table I BENCH Instabench 6-seater Portable Bench 2 LIGHTING 50ft Light String; 150W; 5 Light I GENERATOR CORD 30-Arnp Generator Cord; 4 prong; 25ft I EXTENSION CORD 100ft Outdoor Extension Cord 2 EXTENSION CORD 50ft Outdoor Extension Cord 2 CARGO CONTROL EQUIP: 16ft Ratchet Buckle E-Track Strap; 12ft Ratchet Buckle E- Track Strap; E-Track Fitting w/2inch O-Ring; E- Track Rope Tie-Off, 6inch; 6ft long, !inch HD Ratchet Strap S-Hook; 8 2 6 6 6 MISCELLANEOUS 33 Gallon Clear Tote w/Locking Lid 10 (I) Extra Box 50 Latex Gloves; (I) Extra Box Chem Tape xl200 strips; (25) Pair XL Latex Over-Booties CARGO TRAILER 16ft Haulmark Cargo Trailer; Model #TS7XI6DT2; VIN #16HPBI6246AOI8065; License #1134963 I 5 EXHIBIT "B" Trailer Agreement for CITY OF LAGUNA NIGUEL 1. REGULATIONS FOR TRANSFER AND USE OF FY 2004 UASI FUNDED CRITICAL INCIDENT RESPONSE TRAILER PURCHASED BY THE SANTA ANA POLICE DEPARTMENT HOMELAND SECURITY DIVISION. a. There will be a pre-determined Point Of Contact (POC) decided upon prior to receipt of any Item(s) (hereinafter "Item(s)" refers to the Trailer and equipment contents as a whole, as listed in EXHIBIT "A"). The POC will serve as the initial custodian and receiver of these Items; however, the POC may assign Items ONLY to another City of Laguna Niguel First Response Agency/Department employee, and ONLY if accompanied by written notice to the City of Santa Ana Police Department Homeland Security Division Logistics Coordinator. The POC will be solely responsible for keeping account of all Items at all times. b. Accurate and current records of all Items must be kept, including: description, serial number, source of Items, who holds title, acquisition date, cost of Items, percentage of Federal participation in the cost, location kept, use of and condition of Items, date of disposal (if applicable), and sale price (if applicable). c. Laguna Niguel Police Services will be subject to periodic monitoring visits from the Santa Ana Police Department Homeland Security Division staff in accordance to the grant guidelines and assurances of the FY04 Urban Area Security Initiative. All FY04 guidelines and assurances can be found and referred to in Exhibits "C" and "D" respectively. d. Physical inventory of the Items must be taken (and reconciled with records) at least once every two (2) years. A representative from the Santa Ana Police Department's Homeland Security Division Office must be allowed access to the Items (whether stored on Laguna Niguel Police Services property or elsewhere) for the sole purpose of conducting this inventory. Inventories may be conducted as often as twice per year. e. Quality Control guidelines must exist to ensure adequate safeguards to prevent loss, damage, or theft of Item(s). Any of the aforementioned circumstances shall be investigated by UASI Sub-Grantee (Santa Ana Police Department Homeland Security Division) and findings reported to the California Office of Homeland Security. 6 f. Laguna Niguel will be responsible for the costs of replacing any Item(s) that is lost, stolen, damaged or no longer operable due to normal wear. If Item(s) need replacement, it will be with Item(s) of like kind and capability. Santa Ana Police Department Homeland Security Division will be notified in order to account for the replaced resources within the Santa Ana Urban Area. g. If Item(s) are lost, damaged, or stolen, your agency must notify the Santa Ana Police Department's Homeland Security Division personnel as soon as practical so records can be accurately updated. Such notification must be in written form. h. Adequate maintenance procedures must be developed to keep the Item(s) in good, functional condition. As a part of maintenance procedures, Item( s) can be exercised in a training capacity as long the exercise does not overtake the Items' intended use. 1. Laguna Niguel will be responsible for any repairs and maintenance associated with the Item(s). J. When original or replacement Item(s) acquired under a grant or sub-grant is no longer needed for the original project or program, the Item(s) will be returned to the Santa Ana Police Department Homeland Security Division Logistics Coordinator with no further obligation. k. Should the individual your agency has designated to be the custodian (POC) of these Items change, notification to Santa Ana Police Department Homeland Security Division personnel must be made in writing as soon as possible. 1. Laguna Niguel agrees and recognizes that these Item(s) are a regional resource and will provide the personnel to deploy the Items for mutual aid requests. m. It is understood, and Laguna Niguel agrees, that the Item(s) SHALL be treated as a single unit. The Trailer and contents as it is delivered to Laguna Niguel shall remain in tact, and not segregated or dispersed in any way. The integrity of the Trailer and contents needs to remain whole or its intended purpose and use is compromised. n. Laguna Niguel, and the POC specifically, agrees to become familiar with, and abide by all the guidelines and assurances of the FY2004 UASI Grant Guide, as written in Exhibits "e" and "D". 7 EXHIBIT "C" Trailer Agreement for CITY OF LAGUNA NIGUEL IT 2004 URBAN AREAS SECURITY INITIATIVE (VAS!) GRANT GUIDE FOR LOCAL GOVERNMENTS . Office of Homeland Security Q .IL$. A"f':* -~.,:' Governor's Office of Emergency Services FY04 Urban Areas Security Initiative (UASI) Grant Guide for Local Governments February 24, 2004 Table of Contents Foreword: Director's Message to Grant Recipients................................................................... 3 Part One - Grant Overview ......................................................................................................... 4 Purpose of this Grant....... ............... ........................ ....................................... .................... ..... 4 Eligible Grant Recipients ................ ....................... ............................................ ............. ........ 4 Purpose of this Grant Guide...... ............ ................................... .... ...........................................4 Grant Program Differences between FY03 Part II and FY04................................................. 5 Performance Period. .................. .................... ................................... ....................................... 5 Matching Requirements ....... ........................................ ........................................... ............. ... 5 Allocations and Methodologies - Overview........................................................................... 6 Urban Area Allocations .................. ........................ .............................. ...... ................... ..... .... 7 Transit Agency Allocations............... .................................. ........................... .................. ...... 7 Grant Recipient Responsibilities....... ..... .............................. ................................................... 8 Applicable Laws, Regulations and Guidance Documents.................................................... 10 National Incident Management System and Incident Command System............................. 10 Due Dates for Grant Documents and Work Completion...................................................... II Contact Information.......... .................................... ........ ...................... .......................... ........ II Part Two - Program Specific Information ................................................................................ 12 Program Overview.................... .................. .................................... ......... ............................. 12 Definition of Core City and Core County............................................................................. 12 Points of Contact..... ................. .................... ............................... .......................................... 12 Definition of Urban Area.......................... ........ ...................... ................................. ............. 13 Description of Transit Agency.......... ............................... ............................ ......................... 13 Urban Area Working Group ................................................................................................. 13 Urban Areas Approval Authority Body................................................................................ 13 Transit Agency Coordination with Urban Area Working Group .........................................14 New Urban Areas - Assessment and Strategy...................................................................... 14 Transit Agencies - Assessment and Plan .............................................................................. 15 Urban Areas Allocation of Funds ......................................................................................... 16 Transit Agencies Allocation of Funds ..................................................................................16 Eligible Costs and Activities - Overview.............................................................................. 17 Eligible Planning Activities.... ....... ......... .............. ............ ..................... . ....... 1 ~ Eligible Planning Costs........................................................... ............................... ............... 19 Eligible Equipment Activities and Costs .............................................................................. 20 Eligible Training Activities............ ................. ................................. ..................................... 21 Training Target Audience and Subjects................................................................................ 23 Approval and Reporting of Non-ODP Sponsored Training ................................................. 23 Eligible Exercise Activities........ ................... ........................................................................ 24 Eligible Exercise Costs .........................................................................................................25 Exercise After Action Reports ..............................................................................................26 Exercise Models, Simulations and Games............................................................................ 26 Eligible Management and Administration Activities ........................................................... 26 Eligible Management and Administration Costs .................................................................. 27 Unauthorized Activities and Costs........................ ....................................................... ......... 28 FY04 Urban Areas Security Initiative Page I Table of Contents, continued Part Three - Application Requirements and Process "."..""."."""."".....""""."."""".""."".,, 29 Application Components..." "".. "........... """".........".... """""..."..............."" ""...."... """" 29 Mailing Address.................,," "........... """"....."..... """"".........." """"""."......................... 29 Application Cover Sheet """"". ...."""""....."".....".""",,...... ".."""..""."............... "...........29 Project Narrative and Budget Worksheet """"......""""""""""....""""""""""""""""""". 30 Eligible Projects """"""......."... ""..............." "".."......."....... """........."..........." """...... "", 30 Governing Body Resolution ....."............"""""...............".."""....... ".....".""""........".."",, 31 Grant Assurances .......... "........"..."....."..............".. ......".............." ... ......................... "........ 31 Funding Distribution by lurisdiction..........".""""""..........""""".."......"""""""""....""". 31 Application Due Date ....""............".............."....."........"..........",,................."......."....".." 31 Application Assistance................ ".........."....... "....................... "............."....... "............... ". 31 Application ApprovaL.............. "................... "....................... ".................. ".....".......... "..... 32 Conditional Approvals ...""".. ........." ......".............." .......""......." ........."................ ............. 32 Part Four - Performance Period Activities........"""""""""......""""""""........"""""""""""" 33 Reimbursement of Eligible Costs ..."........................"...."......".."........"......... "....."".."...". 33 Duplication of Benefits ""......... "...."..."........ ....."............... ..".,,"................. "....."..".... ...... 33 Changes to Scope of Work or Budget"""",,"""....""""""""""..""""""""""""........"""". 33 Performance Reports. ................ "............".... ".........."""...... "...........""............. ".............." 34 Interest Earnings .........".........." "............" "............".."...".. ".."."........." "................... ........ 34 Procurement Requirements....."..."..... ".... .."................ "............"...... "..........................."... 3 5 Monitoring Grant Performance..."... "........."..."....... "...."."...."... ".............................. ..".... 3 5 Record Retention Requirements ".."...."....."......".."............"...."....................""................35 Accessibility of Records ............... ".................. "...................... ".."......."....... "................. ". 35 Freedom ofInformation Act (FOIA) "".""""......"""."""""""""""."""""""....""..""""".36 Suspension or Termination """".."""""".........."".""""""......"".."""""......"""....".",,..... 37 Part Five - Grant Closeout """"""....""""""......""""..""""........""""""......"""""""""""",, 38 Notification of Grant Completion.... ...."....".....""........."..........."......"""..........." ....... ......" 38 Closeout Review and Notification "..."............"......."....""......"."".........................."......". 38 Financial Reconciliation of Grant Funds ......".........."..............".....".........................."....." 38 Audit Requirements """""""""""""",,,,, """""""'"""" """,,,,,,,,,,,,,,, "'''''''''''''''' "".38 Appendix A - Authonzed Equipment Lisl........................"""..................".............................. 39 Appendix B - Training Classes and Approval Process......""................""................"..""....... 57 Appendix C - Development ofInteroperable Communications Plans.................."""""""""" 60 Appendix D - Letter Regarding Submission of Equal Employment Opportunity Plan"""""" 63 Appendix E - Grant Forms.................""..."............."......"........."..".......".."......."......"..........66 Appendix F - State Homeland Security Strategy - DRAFT """""""""..""""""""""......""".80 Appendix G - Abbreviations and Acronyms """""".........."""""""...."""""".."""""..""""" 82 FY04 Urban Areas Security Initiative Page 2 Foreword: Director's Message to Grant Recipients Following on the heels of a successful 2003 in which the California Office of Homeland Security distributed more than $226 million in federal homeland security funds to our state's first responders, we are pleased to release the FY 04 Urban Area Security Initiative grant program. Last year's U ASI grant funded five urban cities in California for a total of $62 million. Recognizing that a highly populated state like California has a number of urban areas, the federal Department of Homeland Security doubled to ten the number of cities selected for this year's UASI program. Better still, the amount of total funding awarded to the ten select cities has more than doubled to $135.25 million. This increase in the cities selected and the funding provided allows the state to address the unique equipment, training, planning and exercise needs oflarge, high-threat urban areas. Similar to last year's UASI program, activities must involve coordination by the identified core city, core county, and the California Office of Homeland Security. Like last year, in an effort to ensure that each Urban Area has as much resources as possible to address the needs and priorities identified in the Urban Area assessment and strategy, the state is declining its option of retaining 20% of the funding. As was the case last year, it is expected that this 20% will be used for the benefit of the Urban Area as a whole. In addition to the funding provided to the ten Urban Areas, the FY 04 UASI program also includes more than $5 million in funding for six mass transit authorities identified by federal DHS. This funding is provided to enhance the security and improve the preparedness of these selccted mass transit authorities. OHS is releasing this Grant Guide for Local Governments to fully explain the grant application and performance process. In addition to this Guide, should you need further assistance we have dedicated staff at the Office of Emergency Services who will be availablc to provide guidance. You can reach OES' Grant Management Section at (916) 845-8110, or send an e-mail to Grant.Management@oes.ca.gov. I look forward to working with you on this and other grants. Through our combined elTorts, local first responders will be better prepared to prevent and respond to the threat of terrorism. RONALD L. IDEN Director California Office of Homeland Security FY04 Urban Areas Security Initiative Page 3 Part One - Grant Overview Purpose ofthis Grant Eligihle Grant Recipients Pnrpose of this Grant Gnide The federal Department of Homeland Security (DHS) has provided funding to California's Office of Homeland Security (OHS) through the Fiscal Year 2004 Urban Areas Security Initiative (FY04 UASI). This grant provides funds to: . address the unique planning, equipment, training and exercise needs of large urban areas; . assist urban areas in building an enhanced and sustainable capacity to prevent, respond to and recover from threats or acts of terrorism; and, . assist identified mass transit authorities in the protection of critical infrastructure and emergency preparedness activities. Thc following 10 urban areas (core cities) and six transit agencies are eligible to apply for this grant: Urhan Areas 1. Los Angeles 2. San Francisco 3. Santa Ana 4. Long Beach 5. San Diego 6. Anaheim 7. San Jose 8. Sacramento 9. Oakland 10. Fresno Transit Al!encies 1. Los Angeles Metrolink 2. San Francisco Bay Area Rapid Transit District (BART) 3. San Francisco Caltrain 4. San Josc Altamont Commuter Express (ACE) 5. Los Angeles County Metropolitan Transportation Authority 6. San Diego Coaster This Grant Guide will provide grant recipients, and any designated agencies, with guidance and forms to apply for, perform and closeout the FY04 UASI grant. This Guide specifies the performance period, allocations, eligible activities and other grant related information and requirements. Continued on next page FY04 Urban Areas Security Initiative Page 4 Part One - Grant Overview, Continued Grant Program Differences between FY03 Part II and FY04 Performance Period Matching Requirements The major program differences between the FY03 UASI Part II and FY04 UASI programs are as follows: . The FY04 allocation to the state is almost double that of the FY03 Part II allocation. . Five new urban areas and six transit agencies have been added to the FY04 program. . Eligible planning activities have been expanded. . Eligible equipment within existing categories has been expanded, and new categories have been added. . Non-Office for Domestic Preparedness (ODP) sponsored training courses may be eligible for reimbursement. . Funds must be tied to measurable projects in support of the state or urban area strategy, or the Transit Security Emergency Preparedness Plan. The pcrformance period for FY04 UASI is 24 months from the federal award date; however, that date was not known at the time this Guide was published. The performance period will be identified in the Notification o[Grant Application Approval letter. The state wiII allow grant recipients the maximum performance period allowed by ODP. Therefore, requests for time extension cannot be granted by the state unless the state receives an extension from ODP. There are no cost-share or match requirements for this grant. Continued on next page FY04 Urban Areas Security Initiative Page 5 Part One - Grant Overview, Continued Allocations and Methodologies - Overview California has been allocated $141,672,927 for FY04 UASI, and is required to sub grant at least 80% of the funds, or $113,338,342, to urban areas and transit agencies. Like the FY 03 UASI Part II grant, however, in an effort to ensure that each urban area has as much resources as possible to address the needs and priorities identified in the urban area assessment and strategy, the state is declining its option of retaining 20% of the UASI and mass transit funding. As was the case last year, at least with regard to the UASI grants, it is expected that the state's 20% portion will be distributed so as to benefit the urban area as a whole. When submitting this application, all grant recipients are requested to provide a breakdown of the funding distribution by jurisdiction. The federal Department of Homeland Security determined the allocations for each of California's urban areas by using a formula based upon a combination of current threat estimates, critical assets within the urban area and population density. The formula was a weighted linear combination of each factor, the result of which was ranked and used to calculate the proportional allocation of resources. Mass transit systems eligible for participation in the FY04 UASI program were identified using a formula based upon ridership and total route miles. Only heavy rail and commuter rail systems were included. At the discretion of each grant recipient, funds may be distributed between eligible categories (planning, equipment, training, exercises, management and administration); however, no more than 3% of the total allocation to each grant recipient may be used for management and administration costs. The state is prohibited from retaining any of the $113,338,342 unless requested, in writing, from the urban area or transit agency. If requested, the state may retain some or all of the urban area or transit agency allocation for purchases made by the state on behalf of the urban area or transit agency. In this situation, the state and urban area or transit agency must enter into a Memorandum of Understanding (MOU) specifying the amount of funds to be retained by the state. Continued on next page Page 6 FY04 Urban Areas Security Initiative Part One - Grant Overview, Continued Urban Area Allocations Urban areas allocations are: Urban Area Allocation 1 Los Angeles. $28,101,720 2 San Francisco. $26,325,036 3 Santa Ana $14,969,683 4 Long Beach. $12,064,488 5 San Diego. $10,418,116 6 Anaheim $10,284,651 7 San Jose $9,923,545 8 Sacramento · $7,977,579 9 Oakland $7,808,348 10 Fresno $7,034,646 Total $134,907,812 · These urban areas were also included in tl!e FY 03 VASI Part II grant. Transit Agency Transit agencies allocations are: Allocations Transit Aeency Allocation 1 Los Angeles Metrolink $1,971,111 2 San Francisco Bay Area Rapid Transit District $1,612,884 3 San Francisco Caltrain $795,280 4 San Jose Allamont Commuter Exoress (ACE) $795,280 5 Los Angeles County Metropolitan Transportation $795,280 Authurity 6 San Diego Coaster $795,280 Total $6,795,115 Continued on next page FY04 Urban Areas Security Initiative Page 7 Part One - Grant Overview, Continued Grant Following are grant recipient responsibilities: Recipient Responsibilities I. Submit a grant application package to the state by April 24, 2004. 2. New urban areas must: a. establish an Urban Area Working Group (UA WG); b. conduct an urban area assessment (previously collected assessment data from the 2003 State Homeland Security Assessment and Strategy program may be used); and, c. develop and submit an Urban Area Homeland Security Strategy. 3. Transit agencies must: a. conduct a Transit System Threat and Vulnerability Assessment (if not already completed); and, b. develop a Transit Security and Emergency Preparedness Plan (if a current one does not exist). 4. Comply with all assurances and certifications contained in the Grant Assurances. 5. Ifrequired, submit an Equal Employment Opportunity Plan (EEOP) to the Department of Justice's Office of Civil Rights (OCR) in accordance with the OCR letter dated July 29, 2002 (Appendix D), with a copy of the cover letter to OES. Grant recipients are also responsible for ensuring that any jurisdictions receiving funds from them must also comply with EEOP requirements. 6. Conduct threat- and performance-based exercises in accordance with ODP's Homeland Security Exercise and Evaluation Program (HSEEP) manuals. Once an exercise paid for with grant funds has been scheduled, grant recipients must notify the California Military Department (CMD) of the date, time and location of the exercise. Such notice can he made by calling Major Louis Millikan at (916) 826-63~~ or via e-mail to louis.millikan(mca.ngb.armv.mil. On behalfofOHS, the CMD will maintain a web-based master schedule of all exercises occurring throughout the state to increase communication and coordination of all exercises. 7. Prepare After Action Reports (AARs) and Corrective Action Plans (CAPs) for each exercise conducted with ODP support (grant funds or direct support). These reports must be submitted to CMD within 45 days following completion of an exercise. Continued on next page FY04 Urban Areas Security Initiative Page 8 Part One - Grant Overview, Continued Grant Recipient Responsibilities, con tinned 8. Prepare performance reports for the duration of the performance period, or until all work is completed, whichever comes first. Further reporting details are included in Part Four - Performance Period Activities - Performance Reports. 9. Establish and maintain property, programmatic and financial records in accordance with the grant record requirements, and: a. Maintain financial management systems that support grant activities in accordance with Title 28, Code of Federal Regulations (CFR), Part 66.20, and DO] Financial Guide, Part II, Chapter 3. b, Maintain an equipment tracking system that includes the components identified in 28 CFR Parts 66.32 and 66.33, and DOJ Financial Guide Part III, Chapter 6. c. Retain records in accordance with retention requirement contained in Part Four - Performance Period Activities - Record Retention Requirements. 10. Notify the state, in writing, within 30 days of completing all approved scopes of work and disbursing all funds. 11. If changes are required after the initial grant award, submit revision rcquests to the state prior to incurring the associated expenditures. Further details are included in Part Four - Performance Period Activities - Changes to Scope of Work or Budget. 12. Remit unexpended funds to the state after all work has been completed and payments have been disbursed. 13. Comply with the audit requirements contained in Office of Management and Budget COMB) Circular A-133, and 28 CFR Part 66,26. Continued on next page FY04 Urban Areas Security Initiative Page 9 Part One - Grant Overview, Continued Applicable Laws, Regulations and Guidance Documents National Incident Management System and Incident Command System Urban areas and transit agencies must ensure that local and internal departments are aware of the following laws, regulations and guidance documents that apply to this grant: . U.S.A Patriot Act, Public Laws 108-7 and 108-11 . Office of Management and Budget (OMB) Circulars A-87, A-102, A-133 htto:/ /www.whitehousc.gov/omb/circulars/index.html . Title 28, Code of Federal Regulations htto:/ /www.acccss.gOo.gov/naralefr/efr-tablc-search.html#pagel . DOJ OJP Office of the Comptroller, Financial Guide www.ojo.usdoi.gov/oc . ODP WMD Training Course Catalogue http://www.ojp.usdoi.gov/odp . DOJ Office for Civil Rights www.oip.usdoi.gov/ocr . Federal Freedom ofInformation Act (5 U.S.c. Sect. 552) http://www . usdoi. gov/04foial . California Public Records Act . P.L. 107-296, the Homeland Security Act of2002 . California's Grant Guide for Local Government WWW.ocs.ca.gov Grant recipients should begin utilizing the National Incidcnt Management System (NIMS) concepts, principles, terminology, and tcchnologies, as thcy are made available by DHS. Beginning in FY 2005, adoption ofNIMS will be a fedcral requirement for receipt of future Homeland Security grant funds. Additionally, jurisdictions and agencies should institutionalize the use of the Incident Command System (rCS) as taught by ODP, or the National Fire Academy, across their entire response system by the end of the two-year performance pcriod. Continued on next page FY04 Urban Areas Security Initiative Page 10 Part One - Grant Overview, Continued Due Dates for The grant due dates are: Grant Documents and Work Completion Due Date Activitv January 31, New urban areas must submit an Urban Area Homeland 2004 Security Strategy to ODP. April 24, 2004 Submit the completed application to the state. 60 days from Submit Equal Employment Opportunity Plan, if required, to date on the the Department of Justice, Office of Civil Rights, with a Application copy of the cover letter to the state. Avvrovalletter July IS' For the duration of the performance period or until all grant activities are completed and the grant is formally closed, a performance report is due to the state by Julv 15 for the period covering Januarv I through June 30 (or any partial portion of this period), January IS' For the duration of the performance period or until all grant activities are completed and the grant is formally closed, a performance report is due to the state by Januarv IS for the period covering July I through December 3] (or any partial I portion of this oeriod)' End of All grant activities must be completed and all funds performance disbursed. period as noted in Application Avvrovalletter , A performance report template, with instructions, will be distributed to each grant recipient prior to the deadline for any required performance report. Contact Information For technical assistance throughout the application and grant performance process, call OES' Grant Management Section at (916) 845-8110, or send an e-mail to Grant.Management(a)oes.ea,gov . FY04 Urban Areas Security Initiative Page I] Part Two - Program Specific Information Program Overview Definition of Core City and Core Connty Points of Contact The FY04 UASI program provides financial assistance to address the unique planning, equipment, training, and exercise 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. This program also provides funding to specific mass transit authorities to address security needs at these high risk critical infrastructure facilities and to promote comprehensive regional planning and coordination. Urban areas must: . allocate all funding in support of goals and objectives identified in their Urban Area Homeland Security Strategy or the State Homeland Security Strategy; and, . take a regional metropolitan area approach to the development and implementation of this program by involving core cities, core counties, contiguous jurisdictions and mutual aid partners. Additionally, urban areas are encouraged to employ regional approaches to planning and preparedness and to adopt regional response structures whenever appropriate to meet the needs identified in the assessments and the urban area strategy. It is OOP's intent to steer urban area security and preparedness efforts toward a project-oriented process to address common, measurable objectives. Mass transit authorities must allocate all funding in support of their Transit Security and Emergency Preparedness Plan developed through this program. Allowable activities for both the urban areas and the mass transit authorities can complement the FY04 Homeland Security Grant Program (HSGP). More information on FY04 HSGP can be found on the OES webpage. The core city is defined as the 10 cities to which urban area funds are allocated. The core county is defined as the county within which the core city is geographically located. Points of Contact (PaC) must be identified for each transit agency, and each urban area's core city and associated core county. Continued on next page FY04 Urban Areas Security Initiative Page 12 Part Two - Program Specific Information, Continued Definition of Urban Area Description of Transit Agency Urban Area Working Group Urban Areas Approval Authority Body The state, in coordination with the urban area core city POC and the core county POC(s), must fully define the urban area as it will apply to the FY04 UASI program, 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 jurisdictions within the border identified, The definition of the urban area is limited to jurisdictions contiguous to the core city and county, or with which the core city or county have established formal mutual aid agreements. Each transit agency must describe its operating system, including the location, infrastructure, miles of tracks, numbers of vehicles, types of service, ridership and other important features, The agency must also provide a map and description of the geographical borders of its system and identify the cities and counties served, Each urban area must have an Urban Area Working Group (UA WG), The state, in coordination with the core city and core county POCs, will work through the Mayors/CEOs from all other jurisdictions within the defined urban area to identify POCs from these jurisdictions to serve on the UA WG, The UA WG will be responsible for coordinating development and implementation of all initiative elements, including the urban area strategy development, the methodology for the allocation of funds (in coordination with the state), and any direct services that are delivered by ODP, ODP strongly encourages that, wherever possible, previously established local working groups are leveraged for this purpose. 01-18 strongly recommends that the urban areas create an Approval Authority Body, in addition to the mandatory UA WG. The membership composition of this Body, however, is at the joint discretion of the core city and core county, If established, this Body should make all final determinations on any urban area funding allocations, Continued on next page FY04 Urban Areas Security Initiative Page 13 Part Two - Program Specific Information, Continued Transit Agency Coordination with Urban Area Working Group New Urban Areas - Assessment and Strategy Transit agencies located in urban areas that receive FY04 UASI grant program funds must coordinate their emergency plans with the UA WG. A copy of the transit agency's grant program proposal and budget plan should be shared with the UA WG. Any training or exercises conducted with FY04 UASI Transit System Program funds should also be coordinated with the UA WG. Sharing of information and coordination of activities is expected to continue, at a minimum, throughout the performance period for this program. NOTE: The transit agency must provide written concurrence that coordination with the UA WG has occurred. New urban areas must: . Conduct an Urbau Area Assessment. Newly identified urban areas receiving funding under this program may use previously collected assessment data from the 2003 State Homeland Security Assessment and Strategy (SHSAS) program, which in turn will guide development of an Urban Area Homeland Security Strategy. . Develop an Urban Area Homeland Security Strategy. Newly identified urban areas receiving funding under this program must develop a comprehensive Urban Area Homeland Security Strategy. This strategy must be developed jointly by all units oflocal government defined as the urban area and meet the requirements for a validated Urban Area Homeland Security Strategy as outlined in ODP's Urban Areas Security Initiative Administrator Handbook, which can be found at http://www.shsasrcsources.com. Note: Receipt of all funds is contingent upon submission of a validated Urban Area Assessment and a validated Urban Area Homeland Security Strategy. The Urban Area Homeland Security Strategies for the new urban areas were due to ODP by January 31, 2004. Continued on next page FY04 Urban Areas Security Initiative Page 14 Part Two - Program Specific Information, Continued Transit Agencies - Assessment and Plan Transit agencies must: . Conduct a Transit System Threat and Vulnerability Assessment. If not already completed, each transit agency will be required to conduct a threat and vulnerability assessment (TV A) which includes requirements outlined in The Public Transportation System Security and Emergency Guide, Chapter 5, published by the U.S. Department of Transportation's Federal Transit Administration (FT A), and available at: httD:1 /transi I -safetv. vo IDe. dot. gov IPubli cations/ sccuri tv IP lanningGui de. Dd f For purposes of this granl, transit agencies may use the recently completed Security Readiness Assessment conducted by the FT A. Transit agencies may also use the vulnerability assessments that were completed during the previous round ofUASI Transit System Security Grants. These assessments must be available for federal and state homeland security officials to review upon request. As part of the UAS! Program, ODP is making available technical assistance to mass transit agency headquarters for enhancing their capacity and preparedness to respond to weapons of mass destruction (WMD) terrorism. This technical assistance includes provision of a project team that can support the agency on-site in the implementation of a needs assessment process. The overall needs assessment process is used to identify and prioritize mass transit agency needs, according to risk, security, and response capability. The process involves three primary components, as follows: I. Risk Assessment. 2. Response Capabilities Assessment. 3. Needs Assessment. The process will result in two products: I. Prioritization of security countermeasures and emergency response capability needs based on terrorist threat and risk. 2. Development of a roadmap for future transit agency funding allocations for terrorist attack risk reduction. Continued on next page FY04 Urban Areas Security Initiative Page 15 Part Two - Program Specific Information, Continued Transit Agencies - Assessment and Plan, continued Urban Areas Allocation of Fnnds Transit Agencies Allocation of Funds . Develop a Transit Security and Emergency Preparedness Plan. The transit agency must have a current (updated within the past year) comprehensive plan that provides written policies and procedures to guide the transit agency's activities for homeland security and emergency preparedness. The Emergency Preparedness Plan must demonstrate that the security program is an integrated one, and has been coordinated with other agencies, including the UA WG (for those transit systems located in urban areas that were recipients ofUASI funds). This plan must be available for federal and state homeland security officials to review upon request. Urban areas must utilize their Urban Area Homeland Security Strategy as the basis for allocating funds to address the prioritized needs, outlined in the strategy's goals and objectives, in enhancing and refining the urban area's preparedness efforts. There must be a clear correlation between the issues identified in the Urban Area Homeland Security Strategy and FY04 UASI activities. As stated above, when submitting the application, urban areas are requested to provide a breakdown ofthe funding distribution by jurisdiction. NOTE: At a minimum, the core city and core county, as members of the UA WG, must provide written concurrence on the allocation of funds provided through the FY04 UASI. Transit agencies' allocation of funds must be based upon their Emergency Preparedness Plan. Continued on next page FY04 Urban Areas Security Initiative Page 16 Part Two - Program Specific Information, Continued Eligible Costs and Activities - Overview Eligible costs and activities for urban areas and transit activities are classified into five categories: I. Planning 2. Equipment acquisitions 3. Training 4. Exercise 5. Management and administrative (M&A). NOTE: Other than a 3% cap on M&A funds, there are no restrictions on allocation of funds across these categories. Urban areas must allocate all funding in support of projects related to the goals and objectives identified in their Urban Area Homeland Security Strategy and the State Homeland Security Strategy. Mass transit authorities must allocate all funding in support of projects related to their Transit Security and Emergency Preparedness Plans developed through this program. Funding for mass transit systems is intended to address security needs at these high-risk critical infrastructure facilities and to promote comprehensive regional planning and coordination. Continued on next page FY04 Urban Areas Security Initiative Page 17 Part Two - Program Specific Information, Continued Eligible Planning Activities Eligible planning activities include: . Establishment or enhancement of mutual aid agreements. . Development or enhancement of emergency operations plans and operating procedures. . Development of terrorism prevention/deterrence plans. . Development or enhancement of response and recovery plans. . Development or enhancement of cyber security plans. . Development or enhancement of cyber risk mitigation plans. . Development of communications and interoperability protocols and solutions. . Coordination of citizen and family preparedness plans and programs, including donations programs and volunteer initiatives. . Conducting point vulnerability assessments at critical infrastructure and development of remediation/security plans. . Conducting cyber risk and vulnerability assessments. . Development or enhancement of continuity of operations and continuity of government plans. . Conferences to facilitate eligible planning activities, including local or regional program implementation meetings. Continued on next page FY04 Urban Areas Security Initiative Page 18 Part Two - Program Specific Information, Continued Eligible Eligible planning costs include: Planning Costs . Regular time, overtime, Compensating Time Off (CTO) and fringe benefits for current or newly hired full- or part-time staff to support eligible planning activities. - Payment of salaries and fringe benefits must be in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. - Payment of overtime expenses will be for work performed by the grant recipient in excess of the established work week, usually 40 hours. Overtime payments are allowed only to the extent the payment for such services is in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. In no case is dual compensation allowable. That is, an employee of a grant recipient may not receive compensation from their unit or agency of government AND from an award for a single period of time (i.e., I :00 pm - 5 :00 pm), even though such work may benefit both activities. - Fringe benefits on overtime hours are limited to FICA, Workers' Compensation and Unemployment Compensation. - CTO earned while performing eligible activities must be cashed-out or taken before the end of the performance period. NOTE: Grant funds are not for the purposes of hiring public safety personnel. . The cost of contractors/consultants hired to support eligible activities. Contracts must be executed in accordance with the grant recipient's formal written procurement policy, and must comply with federal and state requirements. . Conference, workshop and meeting related expenses to support eligible activities, including rental of space/locations, badges and facilitation costs. For a complete list of allowable meeting-related expenses, please review the OJP Office of the Comptroller (OC) Financial Guide at htto://www.oio.usdoi.gov/FinGuide. . Materials and supplies required, expended or consumed to support eligible activities. . Travel costs (i.e., airfare, mileage, per diem, hotel, etc) for employees who are on travel status for official business to support eligible activities. These costs must be in accordance with the grant recipient's approved travel policy. Continued on next page FY04 Urban Areas Security Initiative Page 19 Part Two - Program Specific Information, Continued Eligible Equipment Activities and Costs Eligible equipment activities and costs include purchasing the following types of equipment and related costs: I. 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 II. Medical Supplies and Limited Types of Pharmaceuticals 12. CBRNE Reference Materials 13. Agricultural Terrorism Prevention, Response and Mitigation Equipment 14. CBRNE Response Watercraft 15. CBRNEAviationEquipment 16. Cyber Security Enhancement Equipment 17. Intervention Equipment 18. Other Authorized Equipment and Related Costs A complete list of authorized equipment purchases and other related costs can be found in Appendix A, Authorized Equipment List. If grant recipients have questions about the eligibility of equipment not specifically addressed in Appendix A, contact OES' Grant Management Section at (916) 845-8110 or grant.managcmcntCQJocs.ca.gov . All equipment acquired or maintain under this grant program must be made available for muhml aid. as set forth in the Grant Assurances. Sustainment, maintenance and training in the use of equipment procured using these grant funds should be addressed in the urban area homeland security strategy. Continued on next page FY04 Urban Areas Security Initiative Page 20 Part Two - Program Specific Information, Continued Eligible Training Activities Eligible training activities include: . Establishment of CBRNE and cyber security training programs within existing training academies, universities or junior colleges. . Attendance at ODP-sponsored and/or approved CBRNE and cyber security training courses. . Backfill behind employees attending ODP-sponsored or approved courses. . Planning and conducting training workshops, conferences and training projects. . Training plan development. . Design, develop, conduct and evaluate CBRNE training. Continued on next page FY04 Urban Areas Security Initiative Page 21 Part Two - Program Specific Information, Continued Eligible Eligible training costs include: Training Costs . Overtime, OT CTO and OT fringe benefits for emergency preparedness and response personnel attending ODP-sponsored or ODP approved training classes. - Payment of overtime expenses will be for work performed by the grant recipient in excess of the established work week, usually 40 hours. Overtime payments are allowed only to the extent the payment for such services is in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. In no case is dual compensation allowable. That is, an employee of a grant recipient may not receive compensation from their unit or agency of government AND from an award for a single period of time (I.e., I :00 pm - 5:00 pm), even though such work may benefit both activities. Fringe benefits on overtime hours are limited to FICA, Workers' Compensation and Unemployment Compensation. - CTO earned while performing eligible activities must be cashed-out or taken before the end of the performance period. . Backfill behind those attending ODP-sponsored or ODP approved training classes. . Regular time, overtime, CTO and fringe benefits for current or newly hired full- or part-time staff to support eligible training activities. - Payment of salaries and fringe benefits must be in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. - See the overtime, OT CTO and OT fringe benefit information listed above. . The cost of contractors/consultants hired to support eligible activities. - Contracts must be executed in accordance with the grant recipient's formal written procurement policy, and must comply with federal and state requirements. . Conference, workshop and meeting related expenses to support eligible activities, including rental of space/locations, badges and facilitation costs. For a complete list of allowable meeting-related expenses. please review the OIP OHioc ufthc Comptroller (OC) Financial Guide at htm:/ /www.uin.usdoi.gov/FinGuide. . Materials and supplies required, expended or consumed during the course of conducting eligible activities (i.e., copying paper, gloves, tape and non-sterile masks). . Travel costs (i.e., airfare, mileage, per diem, hotel, etc) for employees who are on travel status for official business related to conducting eligible activities, or for attending ODP-sponsored or ODP approved courses. These costs must be in accordance with the grant recipient's approved travel policy. Continued on next page FY04 Urban Areas Security Initiative Page 22 Part Two - Program Specific Information, Continued Training Target Audience and Subjects Approval and Reporting of Non-ODP Sponsored Training The target audience for training courses funded must be emergency preparedness, prevention and response personnel, emergency managers and public/elected officials within the following disciplines: . firefighting . health care . law enforcement . emergency medical services . emergency management . public safety communications . hazardous materials . governmental administrative . public works . cyber security . public health . private security providers Awareness training for citizen preparedness is also allowable. See Appendix B, Training Classes and Approval Process, for ODP awareness and performance level courses that grant recipients are encouraged to adopt, and recommended subjects for other eligible courses. Grant recipients who wish to use grant funds to support attendance at and/or development of non-ODP sponsored training, must receive approval from the state prior to using funds for non-ODP sponsored training. See Appendix B, Training Classes and Approval Process, for the process to obtain approval of non-ODP sponsored training. Grant recipient using these funds to develop their own courses should address the critical training areas and gaps identified in the Urban Area Homeland Security Strategy or the Transit Security and Emergency Preparedness Plan. Grant recipients using funds to develop courses or to attend non-ODP courses will be required to report the number of individuals tmined, by discipline and course level, in their performance reports. Continued on next page FY04 Urban Areas Security Initiative Page 23 Part Two - Program Specific Information, Continued Eligible Exercise Activities Eligible exercise activities include: . Planning, designing, developing, conducting, participating in and evaluating exercises and projects that train homeland security preparedness, prevention and response personnel. . Evaluating prevention and response plans, policies, procedures and protocols. . Assessing the readiness of jurisdictions to prevent and respond to a terrorist attack. . Planning, conducting and participating in an Exercise Planning Workshop. . Setting up and maintaining a system to track the completion and submission of After Action Reports, the implementation of corrective actions from exercises, and meeting with local units of government to define procedures. Exercises must be threat and performance-based, in accordance with ODP's Homeland Security Exercise and Evaluation Program (HSEEP) manuals. These manuals provide explicit direction on the design, conduct, and evaluation of terrorism exercises. Exercises conducted with ODP support (grant funds or direct support) must be managed and executed in accordance with HSEEP. See www.ojp.usdoi.gov/odp/cxcrciscs/statc.htm . The date, time and location of any exercise to be conducted with grant funds must be given to the CMD at the time such exercise is initially scheduled. This information can be given to the CMD by calling Major Louis Millikan at (916) 826-6399 or e-mailinglouis.millikan@.ca.ngb.armv.mil . On behalf of OHS, the CMD will maintain a web-based master schedule of all state and local exercises occurring in the state to improve the communication and coordination of such exercises. Continued on next page Page 24 FY04 Urban Areas Security Initiative Part Two - Program Specific Information, Continued Eligible Exercise Costs Eligible exercise costs include: · Backfill behind those who are designing, developing and conducting CBRNE exercises. . Regular time, overtime, CTO and fringe benefits for current or newly hired full- or part-time staff to support eligible exercise activities. Payment of salaries and fringe benefits must be in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. Payment of overtime expenses will be for work performed by the grant recipient in excess of the established work week, usually 40 hours. Overtime payments are allowed only to the extent the payment for such services is in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. In no case is dual compensation allowable. That is, an employee of a grant recipient may not receive compensation from their unit or agency of goverrunent AND from an award for a single period of time (i.e., 1:00 pm - 5:00 pm), even though such work may benefit both activities. Fringe benefits on overtime hours are limited to FICA, Workers' Compensation and Unemployment Compensation. - eTa earned while performing eligible activities must be cashed-out or taken before the end of the performance period. . The cost of contractors/consultants hired to support eligible activities. Contracts must be executed in accordance with the grant recipient's formal written procurement policy, and must comply with federal and state requirements. . Meeting related expenses to support eligible activities, including rental of space/locations for planning and conducting exercises, signs, badges, facilitation costs, etc. For a complete list of allowable meeting-related expenses. rlcase review the alP Office of the Comptroller lOe) Financial Guide at http://www.oio.usdoi.gov/FinGuide . . Materials and supplies that are required, expended or consumed to support eligible exercise activities (i.e., copying paper, gloves, tape and non-sterile masks). . Travel costs (i.e., airfare, mileage, per diem, hotel, etc) for employees who are on travel status for official business related to eligible exercise activities. These costs must be in accordance with the grant recipient's approved travel policy. Continued on next page FY04 Urban Areas Security Initiative Page 25 Part Two - Program Specific Information, Continued Exercise After Action Reports Exercise Models, Simulations and Games Eligible Management and Administration Aetivities After Action Reports (AAR) must be provided to the California Military Department (CMD) within 45 days following the completion of each exercise. The CMD is the point of contact for questions and concerns regarding implementation of the HSEEP. Grant recipients may contact the CMD's Major Louis Millikan at (916) 826-6399, or Chief Warrant Officer Dan Shemenski at (916) 826-5152, or e-mail WMDExcrcises(Zv,ca.ngb.arrny.mil. After Action Reports should be mailed to: California Military Department Altn: Major Louis Millikan 9800 Goethe Road Box 56 Sacramento, CA 95827-3563 Grant recipients that wish to expend funds on models, games, or simulations must consult with "Review of Models, Simulations, and Games for Domestic Preparedness Training and Exercising, Volume I," which provides an overview and analysis of existing models, games and simulations. This report is available at www.oiD.usdoi.gov/odp/exerciscs/state.htm . Eligible management and administration activities include: o Management of the FY04 UASI grant. o Implementation and administration of the Urban Area Homeland Security Strategy or the Transit Security and Emergency Preparedness Plan. o Acquisition of authorized office equipment. - Authorized office equipment includes pcrsonal computers, laptop computers, printers, LCD projectors, and other equipment or software which may be required to support the implementation of the urban area strategy or transit agency security and emergency preparedness plan. Continued on next page FY04 Urban Areas Security Initiative Page 26 Part Two - Program Specific Information, Continued Eligible Management and Administration Costs Eligible management and administration (M&A) costs include: . Regular time, overtime, CTO and fringe benefits for current or newly hired full- or part-time staff to support eligible M&A activities. Payment of salaries and fringe benefits must be in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. - Payment of overtime expenses will be for work performed by the grant recipient in excess ofthe established work week, usually 40 hours. Overtime payments are allowed only to the extent the payment for such services is in accordance with the policies of the grant recipient and in accordance with applicable laws and regulations. In no case is dual compensation allowable. That is, an employee of a grant recipient may not receive compensation from their unit or agency of government AND from an award for a single period of time (i.e., 1:00 pm - 5:00 pm), even though such work may benefit both activities. - Fringe benefits on overtime hours are limited to FICA, Workers' Compensation and Unemployment Compensation. CTO earned while performing eligible activities must be cashed-out or taken before the end of the performance period. . The cost of contractors/consultants hired to support eligible activities. - Contracts must be executed in accordance with the grant recipient's formal written procurement policy, and must comply with federal and state requirements. · Meeting related expenses to support eligible activities, including rental of space/locations, facilitation costs, etc. For a complete list of allowable meeting-related expenses, please review the alP Office of the Comptroller (OC) Financial Guide at http://www.oip.usdoi.gov/FinGuide. . The cost of authorized office equipment, as previously described. . Leasing and/or renting of spaee for newly hired personnel to administer the FY04 UAS!. . Materials and supplies that are required, expended or consumed during the course of administering the FY04 UAS!. . Travel costs (i.e., airfare, mileage, per diem, hotel, etc) for employees who are on travel status for official business related to the M&A of FY04 UAS!. These costs must be in accordance with the grant recipient's approved travel policy. NOTE: No more than 3% of each urban area and transit agency allocation may be used for M&A purposes. Continued on next page FY04 Urban Areas Security Initiative Page 27 Part Two - Program Specific Information, Continued Unauthorized Activities and Costs Unauthorized activities and costs include: . Purchasing general-use: - software (word processing, spreadsheet, graphics, etc.); - computers (other than for allowable M&A activities, or otherwise associated preparedness or response functions) and related equipment; and, - vehicles. . Licensing fees. . Wcapons systems and ammunition. . Activities unrelated to the completion and implementation of the FY04 VASI program. . Construction or renovation of facilities. . Other items not in accordance with the Authorized Equipment List or previously listed as allowable costs. Page 28 FY04 Urban Areas Security Initiative Part Three - Application Requirements and Process Application Components The application must include the following items: . Application Cover Sheet . Project Narrative and Budget Worksheet' . Grant Assurances and Governing Body Resolution NOTE: The five urban areas that participated in FY03 VASI Part II need not file new Assurance and Resolution forms if the ones on file with OES are current. . Funding Distribution by Jurisdiction . Additional items for urban areas: - core city and core county POCs; - definition of the urban area; and, - VA WG member information. . Additional items for transit agencies: - POC for the transit agency; and, - description of the transit agency. All forms can be found in Appendix E. , The Project Narrative and Budget Worksheet is an EXCEL spreadsheet and must be completed and submitted to the state on CD or e-mailed as an attachment to Grant.Managcmcnt(a)oes.ca.gov . Mailing Address All application components must be mailed to: Governor's Office of Emergency Services Grant Management Section Post Office Box 419023 Rancho Cordova, CA 95741-9023 Application Cover Sheet Fill in all requested information on the Application Cover Sheet, have it signed by the Authorized Agent, and mail it to the address shown above, Continued on next page FY04 Urban Areas Security Initiative Page 29 Part Three - Application Requirements and Process, Continued Project Narrative and Budget Worksheet Eligible Projects The federal Department of Homeland Security is developing an EXCEL worksheet that must be used to apply for FY04 VAS!. The final version of the worksheet, with instructions, was not available when this Guide was published, therefore, a DRAFT version of the worksheet is available on OES' web site. The final version of the worksheet and instructions will be posted at www.oes.ca.gov as soon as they are made available by federal DHS. Applicatiolls submitted Oil the DRAFT form willllot be accepted. In the past, ODP's homeland security related applications required that both the state and grant recipients provide a Program Narrative generally describing the type of activities that would be undertaken with grant funds. Additionally, grant recipients were required to submit a Budget Detail Worksheet which identified specific pieces of equipment that would be purchased with grant funds. For the FY04 VASI, using the Project Narrative and Budget Worksheet, core cities and transit agencies will be required to identify a maximum of 20 specific projects to be completed with VASI funds. For each project, the core cities and transit agencies must identify: . The goals and objectives in the Vrban Area Homeland Security Strategy, Transit Security and Emergency Preparedness Plan or State Homeland Security Strategy* supported by the project. . The solution area (planning, training, exercises, etc) and solution area sub-category (eligible activities) under which project work will be performed. . The value of funding, goods and services provided to each discipline by solution area for the project. NOTE: The 20 project maximum is for the transit agency's and core city's application as a whole, including all jurisdictions within the urban area. * The final version of the State Homeland Security Strategy was not available when this Guide was published, therefore, a DRAFT version of the Strategy has been included in this Guide. The final version of the Strategy will be posted at www.oes.ca.gov as soon as it has been approved by federal DHS. Continued on next page Page 30 FY04 Urban Areas Security Initiative Part Three - Application Requirements and Process, Continued Governing Body Resolntion Grant Assurances Funding Distribution by Jurisdiction Application Due Date Application Assistance The Governing Body Resolution appoints agents authorized to execute any actions necessary under this grant. All six transit agencies and the five new urban areas must submit a Resolution. The Governing Body Resolution does not have to be submitted with the application, however, no payments can be made until a valid Resolution has been received by OES. NOTE: The five urban areas that participated in FY03 VASI Part II need not file a new Resolution form so long as the one on file with OES is current. The Grant Assurances form lists the requirements to which each core city and transit agency will be held accountable. All six transit agencies and the five new urban areas must submit an Assurances form. The Grant Assurances do not have to be submitted with the application, however, no payments can be made until the Grant Assurances have been received by OES. NOTE: The five urban areas that participated in FY03 VASI Part II need not file a new Assurances form so long as the one on file with OES is current. Grant recipients must identity funding distribution by jurisdiction. Each core city and transit agency must indicate the amount of funds distributed from their allocation to other jursidictions. Applications are due to the state by April 24, 2004. The hard copy documents should be mailed to the address previously shown. The EXCEL spreadsheet can be sent on a CD with the other hard copy documents, or it can be e- mailed to Grant.Managcmentlaiocs.ca.gov. Incomplete applications will not be approved. The state will work closely with the core cities and transit agencies throughout the application process to ensure that the application meets grant requirements. Contact OES' Grant Management Section at (916) 845-8110 or Grant.ManagcmentlaiOES.ca.gov for assistance. Continued on next page Page 31 FY04 Vrban Areas Security Initiative Part Three - Application Requirements and Process, Continued Application Approval Grant recipients will be notified, in writing, of the approved application, award amount and performance period. Conditional Approvals Grant recipients will be notified, in writing, if a proposed project is conditionally approved, subject to further review. Work can begin on the project after the grant recipient has received written notice from the state indicating that the condition(s) have been removed. FY04 Urban Areas Security Initiative Page 32 Part Four - Performance Period Activities Reimbursement of Eligible Costs Duplication of Benefits Changes to Scope of Work or Budget FY04 UASI funds will be disbursed on a reimbursement basis, by project, using the Reimbursement Request form included in Appendix E. Core cities and transit agencies are strongly encouraged to submit reimbursement requests as soon as costs have been incurred which includes when a vendor invoice has been received. In last year's grant, there was confusion about the reimbursement process. In particular, some grant recipients were under the impression that they must first purchase items with their own funds before seeking reimbursement. Instead, an invoice from a particular vender is sufficient for purchasing jurisdictions to request reimbursement from OES. For questions about the reimbursement process please contact OES' Grant Payments Unit at (916) 845-8110. The cost of employee labor and expenses has been incurred as soon as the time has been worked or the expense has been paid. Vendor costs have been incurred when the purchasing jurisdiction has received the vendor's invoice for payment. Encumbrances, purchase orders or signed contracts do not qualifY as incurred costs. NOTE: Payments can only be made if the grant recipient has the following documents on file with OES: . Approved Application. . Valid Governing Body Resolution. . Valid Grant Assurance. In no case is a duplication of benefits allowable. That is, a single cost may not be reimbursed under more than One grant. All changes to the approved scope of work or budget must be submitted to OES and approved by OHS. Revisions must be requested in writing and approved orior to initiating the revised scope of work or incurring the associated costs. These changes can be requested as part of the performance report process; however, grant recipients are not precluded from submitting revision requests at any time. Failure to submit revision requests and receive approval prior to expenditure could result in a reduction or disallowance of that part of the grant. Continued on next page Page 33 FY04 Urban Areas Security Initiative Part Four - Performance Period Activities, Continued Performance Reports Grant recipients must prepare and submit performance reports to the state for the duration of the grant period, or until all grant activities are completed and the grant is formally closed, whichever comes first. The reports must include the status of all projects, as well as other requested information and data, and are due as follows: . Reporting Period January I through June 30 - due by July 15 . Reporting Period July I through December 31 - due by January 15 A performance report template, with instructions, will be distributed under separate cover prior to the deadline for the report. Failure to submit performance reports could result in grant reduction, termination or suspension. Interest Earnings In accordance with Title 28, Code of Federal Regulations, Part 66.21, and DOJ Financial Guide, Part III, Chapter I, any interest earned, in excess of $100 per federal fiscal year, must be remitted quarterly to: United States Department of Health and Human Services Division of Payment Management Services P.O. Box 6021 Rockville, MD 20852 NOTE: The transmittal letter included with the check should indicate that the core city or transit agency is returning interest earned on FY04 UASI funds. A copy of the transmittal letter should be sent to: Governor's Office of Emergency Services Attn: Accounting OfficelFederal Unit Post Office Box 419047 Rancho Cordova, CA 95742-9047 Additionally, interest earnings must be reported on the grant recipient's performance report submitted to the state. Continued on next page FY04 Urban Areas Security Initiative Page 34 Part Four - Performance Period Activities, Continued Procurement Requirements Monitoring Grant Performance Record Retention Requirements Accessibility of Records Core cities and transit agencies must fonow their own procurement requirements as long as they meet the federal requirements at a minimum. Federal procurement requirements for this grant can be found in: . OMB Circular A-I02; . Title 28, CFR, Part 66.36; and, . DOl Financial Guide, Part III, Chapter 10. The state may perform periodic reviews of the grant recipient's grant performance, including on-site visits. These reviews may include, but are not limited to: . Comparing actual grant activities to those approved on the Project Narrative and Budget Worksheet. . Confirming compliance with: Grant Assurances; - Information provided on the performance reports; Urban Area Homeland Security Strategies; and, - Transit Security and Emergency Preparedness Plans. Record retention requirements differ for property records vs. an other grant records. Refer to the fonowing for specific requirements: . Title 28, CFR, Part 66.42 · DOl Financial Guide, Part III, Chapters 6 and 12 In the Grant Closeout letter, the state will notify the grant recipient of the start of the record retention period for grant related rccorus. The federal Department of Homeland Security, the DHS Office ofInspector General, the Comptroner General of the United States, OHS, OES and any of their authorized representatives, shan have the right of access to any books, documents, papers, or other records which are pertinent to the grant, in order to make audits, examinations, excerpts and transcripts. The right of access is not limited to the required retention period but shall last as long as the records are retained. Refer to 28 CFR 66.42 and DOl Financial Guide, Part III, Chapter 12 for more information about accessibility of records. Continued on next page FY04 Urban Areas Security Initiative Page 35 Part Four - Performance Period Activities, Continued Freedom of Information Act (FOIA) The state recognizes that much of the information submitted in the course of applying for funding under this grant, 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. Sect. 552 (FOIA), and California's Public Records Act, all determinations concerning the release of information of this nature will be made on a case-by-case basis by the state, and may fall within one or more of the available exemptions under the Act. Grant recipients are encouraged to consult their own 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. NOTICE: The details of the grant application will be subject to the provisions ofthe California Public Records Act (Governmental Code Section 6250 et seq.). This means that aU, or part, of the application may be publicly disclosed. While the state will make every effort to protect sensitive information, it is imperative that the grant application does not contain information that constituent jurisdictions or agencies believe are confidential. The grant recipient's failure to protect such information from disclosure may jeopardize the safety and security of the people of the State of California. For example, do not specifically identify potential targets, locations, and their vulnerabilities if this information is not already public knowledge. While bridges and shopping maUs are well known, key distribution points of petroleum products and data storage facilities are not. Write the grant application with the expectation that it may be made publicly available. Ifthere are any questions about the inclusion of sensitive information in the preparation of the application, contact the Office of Homeland Security at (916) 324-8910. Continued on next page FY04 Urban Areas Security Initiative Page 36 Part Four - Performance Period Activities, Continued Suspension or Termination The state may suspend or terminate core city or transit agency 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 offederal or state law. . Failing to make satisfactory progress toward the goals or objectives set forth in the grant recipient's application. . Filing 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 the application or other report or document. Before taking action, the state will provide the core city or transit agency reasonable notice of intent to impose measures and will make efforts to resolve the problem informally. FY04 Urban Areas Security Initiative Page 37 EXHIBIT "D" Trailer Agreement for CITY OF LAGUNA NIGUEL FY 2004 URBAN AREAS SECURITY INITIATIVE (UASH GRANT ASSURANCES Grant Assurances Name of Applicant: (, Ti PI' ./.AW"; t1 !lINE/.- Address: ;). 760 I .LIt fiJ-'l: J(ol/iJ City: Jilltltlfl /II It./a State: LA Zip Code: ?J./, 11 Telephone Number: ( 1'11) 31cJ.. ' '13 07) Fax Number: ('N? ) 3':J. ~ ,/3'/6 E-Mail Address: if) fo '/I1@ ci /"1vtlq~110 vc/' CC/. liS As the duly authorized representative of the applicant, I certify that the applicant named above: I. Has the legal authority to apply for federal assistance, and has the institutional, managerial and financial capability to ensure proper planning, management and completion of the grant provided by the federal Department of Homeland Security and subgranted through the State of California. 2. Will assure that grant funds are only used for allowable, fair and reasonable costs. 3. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the state, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or awarding agency directives. 4. Will provide progress reports and such other information as may be required by the awarding agency. 5. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 6. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain for themselves or others, particularly those with whom they have family, business or other ties. 7. Will comply, if applicable, with the Lead-Based Paint Poisoning Prevention Act (42 U.S.c. ~~ 4801 et seq.) which prohibits the use oflead based paint in construction or rehabilitation of residence structures. FY04 Urban Areas Security Initiative Page 71 8. Will comply with all federal statues relating to nondiscrimination. These include but are not limited to: a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352), as amended, which prohibits discrimination on the basis of race, color or national origin; b. Title IX of the Education Amendments of 1972, as amended (20 U.S.c. SS 1681- 1683 and 1685-1686), which prohibits discrimination on the basis of sex; c. Section 504 of the Rehabilitation Act of 1973, as amended (29 US.C. S 794) which prohibits discrimination on the basis of handicaps; d. The Age Discrimination Act of 1975, as amended (42 US.c. SS 6101-6107) which prohibits discrimination on the basis of age; e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended, relating to nondiscrimination on the basis of drug abuse; f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism SS 523 and 527 of the Public Health Service Act of 1912 (42 U.S.c. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; g. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. S 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; h. Title 28, Code of Federal Regulations, Part 42, Subparts C, D, E and G; 1. Title 28, CFR, Part 35; J. Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made, and k. The requirements on any other nondiscrimination statute(s) which may apply to the application. 9. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally assisted programs. These requirements apply to all interested in real property acquired for project purposes regardless of federal participation in purchases. 10. Will comply, if applicable, with the flood insurance purchase requirements of Section 102(a) orthe Flood Disaster Protection Act of 1973 (P.L. 93-234) which rCljuircs recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. FY04 Urban Areas Security Initiative Page 72 II. Will comply with environmental standards which may be prescribed pursuant to the following: a. institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; b. notification of violating facilities pursuant to EO 11738; c. protection ofwetIands pursuant to EO 11990; d. evaluation of flood hazards in floodplains in accordance with EO 11988; e. assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.c. SS 1451 et seq.); f. conformity offederal actions to State (Clean Air) Implementation Plans under Section I 76(c) of the Clean Air Act of 1955, as amended (42 U.S.c. S 7401 et seq.); g, protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and h. protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93-205). 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 V.S.c. SS 1271 et.seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 V.S.C. 470), EO 11593 (identification and preservation of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 V.S.C. 469a-1 et seq). 14. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code, Chapter 7 of Division I ofTitIe 2, Section 8607.I(e) and CCR Title 19, Sections 2445, 2446, 2447 and 2448. 15. Has requested through the State of California, federal financial assistance to be used to perform eligiblc wurk approved in the applicant's application for iCdcral assistancc. Will, after the receipt of federal financial assistance, through the State of California, agree to the following: a. Promptly return to the State of California all the funds received which exceed the approved, actual expenditures as accepted by the federal or state government. b. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount of the reduction will be promptly refunded to the State of California. c. Separately account for interest earned on grant funds, and will return all interest earned, in excess of $1 00 per federal fiscal year. FY04 Urban Areas Security Initiative Page 73 16, Will comply with the Intergovernmental Personnel Act of 1970 (42 U,S C. Sections 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A ofOPM's Standards for a Merit System of Personnel Administration (5 C,F,R, 900, Subpart F), 17, Will comply with provisions of the Hatch Act (5 U,S,c. Sections 1501-1508 and 7324- 7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with federal funds, 18, Will comply with P,L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance, 19, Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P, L. 89- 544, as amended, 7 U,S,C, 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance, 20, Will comply with the minimum wage and maximum hour provisions ofthc Federal Fair Labor Standards Act (29 U.S,C, 201), as they apply to employees of institutions of higher education, hospitals, and other non-profit organizations, 21. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 u,s,c. Section 276a to 276a-7), the Copeland Act (40 U.S.c. Section 276c and 18 U,S,c. Sections 874), and the Contract Work Hours and Safety Standards Act (40 U.S.c. Sections 327-333), regarding labor standards for federally assisted construction sub- agreements, 22, Will not make any award or permit any award (subgrant or contract) to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549 and 12689, "Debarment and Suspension. " FY04 Urban Areas Security Initiative Page 74 23. Agrees that: a. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal grant or cooperative agreement. b. If any other funds than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or an employee of Congress, or employee of a Member of Congress in connection with the federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. c. The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers including sub grants, contracts under grants and cooperative agreements, and subcontract(s) and that all sub recipients shall certifY and disclose accordingly. d. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 24. Agrees that equipment acquired or obtained with grant funds: a. Will be made available under the California Disaster and Civil Defense Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency medical, hazardous materials response services, and law enforcement agencies within the jurisdiction of the applicant. b. Is consistent with needs as identified in the Terrorism Annex to the State's Emergency Plan, and will be deployed in conformance with that plan. c. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan. 25. Agrees that funds awarded under this grant will be used to supplement existing funds for program activities, and will not supplant (replace) funds that have been appropriated for the same purpose. 26. Will comply with all applicable federal statutes, regulations, policies, guidelines and requirements, including OMB Circulars A-87 and A-133, E.O. 12372 and Uniform Administrative Requirements for Grants and Cooperative Agreements contained in Title 28, Code of Federal Regulations, Part 66, that govern the application, acceptance and use of Federal funds for this federally-assisted project. FY04 Urban Areas Security Initiative Page 75 27. Will comply, and assure the compliance of all its subgrantees and contractors, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act, as appropriate; the provision of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.I, and all other applicable Federal laws, orders, circulars, or regulations. 28. Will comply with provisions of28 CFR applicable to grants and cooperative agreements, including Part 18, Administrative Review Procedures; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality ofIdentifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 42, Nondiscrimination/Equal Employment Opportunities Policies and Procedures; Part 61, Procedures for Implementing the National Environmental Policy Act; Part 64, Floodplain Management and Wetland Protection Procedures; and Federal laws or regulations applicable to Federal Assistance Programs. 29. Will ensure that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of this project are not listed in the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notifY the Federal Grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is undcr consideration for listing by the EP A. 30. Will comply with Subtitle A, Title II of the Americans with Disabilities Act (ADA) 1990. 31. Will, 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 or 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 of Civil Rights, Office of Justice Programs. 32. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice Office of Civil Rights within 60 days of grant award. 33. Will comply with the financial and administrative requirements set forth in the current edition of the Office of Justice Programs (OJP) Financial Guide. 34. Will comply, if applicable, with the provision of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 35. Will comply with all applicable requirements of all other federal laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this program. FY04 Urban Areas Security Initiative Page 76 36. Understands that failure to comply with any of the above assurances may result in suspension, termination or reduction of grant funds. The undersigned represents that he/she is authorized by the above named applicant to enter into this agreement for and on behalf of the said applicant. \~~l~d-6 TlI'/Ollf J. (dJd '1/01 Signature of Authorized Agent: Printed Name of Authorized Agent: Title: (I fy' I'IINI1 t f:ji. Date: FY04 Urban Areas Security Initiative Page 77