HomeMy WebLinkAboutExhibit1. Project Narrative
Principal Partners:
The Miami Region STC Program will be comprised of the City of Miami Department of Fire
Rescue as the lead agency and principal partners originating from Miami -Dade, Broward,
Monroe and Palm Beach Counties. Please see attached chart for detailed information on each
of these entities.
Letters of Commitment:
Please see the attached Letters of Commitment.
Existing Capability
Please see the attached chart describing the existing nuclear detection capabilities of each
principal partner.
Need for Assistance:
The Miami Region has a clear need for assistance in implementing new regional capabilities
supporting the goals and objectives of DHS/CWNM. The region which is comprised of Miami -
Dade, Broward, Palm Beach and Monroe counties is the largest and most densely populated in
the state, with over 6.5 million residents. According to U.S. Census Bureau statistics, Miami -
Dade County alone has 2.7 million people, making it the most populous county in Florida. The
counties of Broward and Palm Beach are the 2nd and Yd most populous in the state, respectively.
Combined, the region consists of over 9,875 square miles and more than 200 miles of coastline
susceptible to attacks. In addition, the region is home to Turkey Point Nuclear Generating
Station, a twin reactor nuclear power station. Located in the Miami -Dade coastline, it is
susceptible to attacks by air, land, and sea. The Miami Region, is the only region with five major
sporting franchises in the state and the largest concentration of international banks in the U.S.
and four international airports. The Miami Region is notable for its international seaports:
PortMiami, Port Everglades and Port Palm Beach.
The seaports' accessibility, location and daily logistics pose unique vulnerabilities. Open
waterways surround each of the region's ports, all of which have both civilian and commercial
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traffic. Accessibility to terminals is open to the public during cruise ship embarkation and
debarkation times. PortMiami alone is among America's busiest ports and recognized as a global
gateway. As of 2015, approximately 4.9 million passengers came through PortMiami, more than
any other port in the world. PortMiami contributes $28 billion annually to the local economy
and supports more than 207,000 jobs in South Florida. Port Everglades, has approximately 3.7
million cruise passengers and over a million shipping containers pass through, annually. Port
Palm Beach is the 4th busiest deep water port in Florida and the 18th busiest in the US. Successful
movement of radiological/nuclear (R/N) materials into our region has the potential to cripple, not
only the area's tourism and commercial trade, but the state of Florida's economy as a whole. It
would also endanger many lives. Open waterways surround each of the region's ports, all of
which have both civilian and commercial traffic. The seaports' accessibility, location and daily
logistics make them a great target for attacks magnifying the need for the development of regional
nuclear/radiological detection capabilities to protect lives and the economy.
South Florida enjoys a well-established regional partnership in the fight against terrorism as
demonstrated in the Southeast Regional Domestic Security Taskforce Region 7 (SERDSTF). The
SERDSTF is a network consisting of 109 multi -discipline, multi jurisdictional regional partner
agencies. The taskforce complements the existing knowledge and structure of federal processes
from the Miami/Ft. Lauderdale Urban Areas Security Initiative (UASI), which is comprised of
Miami -Dade, Broward, Palm Beach and Monroe Counties. Despite our strong coalition, the
coordination and capability among mission partners related to R/N threats remains grossly
insufficient.
Assistance is needed to fund and coordinate new capabilities for the region, which include
(1) the ability to accurately identify potential or actual threats involving R/N materials. This
also includes (2) equipping our first responders with the training, and equipment needed to
conduct primary and secondary screening for R/N threats. The Miami Region is vulnerable to
an R/N attack by air, land and sea, therefore, detection capability must address all potential points
of entry. The Miami Region does not have the widespread and well established capability to
detect R/N threats, which increases the risk to the Region. The lack of a well-established R/N
primary screening program in the Region results in limited operational elements to ensure that
any information gathered is immediately and comprehensively shared with the Federal Bureau
of Investigation (FBI) and the Department of Homeland Security (DHS). Proposed new
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capabilities for the region include (3) the development of operational protocols related to the
identification and response to R/N materials threats by first responders. Furthermore, the
ongoing training of regional first responders will be conducted in order to enhance the
sustainability and effectiveness of primary screening while training specialized units for
secondary screening measures will also occur.
Financial assistance is required to place these measures into action. The Miami/Ft. Lauderdale
Urban Area Security Initiative Grant Program has suffered losses in funding as compared to the
grant's inception in 2003. Specifically, the region suffered a nearly 50% reduction in UASI grant
funding in the year 2012. As a result, funding to R/N threats in the region have been limited
resulting in a capability gap. The region has also witnessed diminished support from the State
Homeland Security Grant Program (SHGP) and limited resources have created a need for
additional federal funding. The reduction in UASI and SHGP funds have strained the
implementation of region -wide, proactive, multi -disciplinary R/N-type training and exercises.
Non -monetary assistance is also needed to support the R/N threat capability in the Miami
Region. The Securing the Cities (STC) funding will assist in providing process standardization
when developing a response model tailored for the R/N threat. This standardization includes the
training and exercising of the federal detection Concepts of Operations (CONOPs). The grant
funding will also assist in standardizing information sharing and protocols throughout the Miami
region and with U.S. government agencies.
The Miami Region commits to sharing nuclear detection information among principal
partners (PP) and with the DHS Countering Weapons of Mass Destruction Office
(CWMD). This Region has proven to have a long history of collaboration among area partners
as demonstrated in administering the Miami/Ft. Lauderdale UASI grant program, through the
SERDSTF. The SERDSTF regional planning approach incorporates 109 multi -discipline, multi -
jurisdictional partners in the following sectors: law enforcement, fire, health and medical,
education, interoperable communication, critical infrastructure, public information, emergency
management, maritime, cyber security, Southeast Florida Fusion Center, public, private, and
tribal partners.
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This assistance will enable our principal partners to proceed together with development of
the regional R/N detection approach and architecture. The funding will assist our vulnerable
region in becoming equipped with uniformed operational, communication and emergency
response capabilities with personnel skilled at responding to and recovering from R/N threats.
Secondly, it will allow the partners to utilize regional emergency response resources and
collaborations to strengthen the whole community. The Securing the Cities funding will provide
the means for equipping and training interagency regional partners in the response to R/N
dangers and will also help to create a coordinated reaction to these menaces in South Florida.
Coordination with other Federal Programs:
The STC Program will complement our current UASI grant program as it relates to
identifying and responding to R/N threats in the region. Miami/Ft. Lauderdale UASI
expenditures across the region have been limited in the acquisition of R/N primary screening
capability, secondary screening or mobile R/N detection capability. The allocation of UASI
funds is prioritized by needs, with limited funds, the most critical needs are addressed first.
The STC program provides the funding to work in conjunction with other federal grant
programs. Given there has been a void in funding allocated for R/N detection and
response in the region, the STC program does not present a duplicate of funding effort.
The funding opportunity provided by the STC Program grant is unique and needed in the
region to ensure first responders are well trained to respond to any type of threat.
Management Experience:
Since 2003, the City of Miami Fire -Rescue Department (Lead Agency) has been the
Administering Agency for the Urban Area Security Initiative Grant Program. The UASI
Grant Program is a multi -agency, multi -discipline counterterrorism grant which closes gaps
and vulnerabilities within the region for first responders. The Region consists of the City of
Miami, its contiguous cities, Monroe County, Miami -Dade County, Broward County and
Palm Beach County. Dating back to the onset of the program, the City of Miami has managed
over $130 million dollars in UASI grant funding. During this time, we had on-site and desk-
top monitoring visits from the Federal Emergency Management Agency and the State of
Florida (State Administering Agency), with each visit concluding the program was operating
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within the terms and conditions of the award. Furthermore, the City of Miami has established
financial and administrative procedures in compliance with the federal regulation.
In 2016, the City of Miami was awarded $723,260 from the Preparing Communities for
Complex Coordinated Terrorist Attacks (CCTA) Grant Program. The CCTA Grant Program
is a planning, training and exercise grant that is regionally based. Using our UASI footprint
and in coordination with our SERDSTF, this grant focused on a whole community approach
of preparing the region for CCTA incidents. Assessing the structure and approach of the
CCTA Grant Program taken by Miami, FEMA cited our involvement as a best practice.
The City of Miami's experience in managing and coordinating regional activities and
resources will facilitate the efficient implementation of the Securing of Cities Program in
South Florida.
Prosect Description:
In its first year, the City of Miami's goal is to establish the Miami Region office in accordance
to the Securing Cities Program. In order to set up the office in a timely manner, the City will
assign Miami Fire Rescue officers with experience in program management,
nuclear/radioactive technical knowledge, planning and coordination capabilities, and
regional knowledge to spearhead this Program. The City will sub -contract functions
requiring specific expertise as well as training.
At the end of the first year, the City expects to have an operational Miami Region STC office,
executed MOUS with all partners, established board and committees, completed Train -the -
Trainer courses and an outline/calendar of activities for year 2.
The Miami Region will focus on achieving four goals consistent with STC program goals
and objectives as detailed below. Metrics for reporting results in support of program activities
and first year budget are also included.
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NHANH
REGION
GOALS
NUANU
REGION
OBJECTIVES
ACTIVITIES
METRICS
1. Create an STC Miami
. Approval of STC
Region Program office
Regional Office by
through the City of
Miami Commission
Establish
Synchronize
Miami Department of
• # of staff hired
synchronized
planning between
Fire Rescue Division of
• # of MOU's executed
planning
key agencies for
Emergency
• # of sub -contracts
capabilities
establishment and
Management. A
executed
standardization of
regional
Program Manager and
g g
• #Committees/ working
radiological
staff will help develop
groups created
detection program
committees and
• # meetings
working groups in
. # people attending
which regional
meeting
participation will
. # & Name of Agencies
produce these
represented on
synchronized plans.
Advisory Board
2. Establish an STC
Advisory Board with
management -level
• Plan, schedule and track
representatives from
advisory and committee
the Department of
meetings along with
Home -Land Security
attendance by principal
(DHS), Federal Bureau
partners.
of Investigations (FBI),
• Plan, Schedule and
Monroe County, Palm
track conference call
Beach County,
along with participation
Broward County and
by principal partners.
the STC Miami Region
Program.
3. Establish four
committees
(Information Sharing,
Operations, Equipment
and Training).
Participation in these
committees will be at
the working level and
will assure a unified
approach to regional
operations.
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1 _ Create an information
• # of meetings and
sharing committee to
agenda
Develop a
Establish
address issue such as
• # of needs assessments
synchronized
synchronized
centralized data
completed
information
information
sharing and
dissemination
reporting, collection,
• List of staff, equipment,
dissemination
protocols,
and dissemination.
tools and training
protocols,
procedures and
2. Evaluate capabilities
needed
policies and
tools between
and identify needs for
• # of procedures
practices
regional partners
each partner,
created/established
jurisdiction, county
# of information
and departments
sharing plans,
3. Identify information
schedules and
exchange procedures
exercises/drills
needed with other
radiological detection
programs.
I . Improve first
• # of people completing
responder RNthreat
Train the Trainer
Augment
Augment and unite
recognition and
course
detection and
response
existing
radiological
detection. Develop
• Outline for
capabilities
detection programs
plan for standardizing
informational reports
radiological detection
and announcements
equipment and
needed to communicate
maintenance
with general public
requirements
• Assessment of tools
2. Establish multi-year
and practices needed to
training and evaluation
formulate a unified
plan (MYTEP) by
communication
which common
strategy.
radiation detection
• Inventory of radiation
protocols and
detection tools needed
procedures can be
and strategy for
taught and assessed
deployment
throughout the region.
1. Principle partners to
• # of principal partners
address standardized
who have implemented
operational procedures
the operational plan in
Identify
Manage
and protocols.
accordance to the STC
security of
hazards and
2. Develop an operations
Advisory Board and
significant
secure
plan for the
respective committees.
infrastructure
significant
deployment and use of
and important
infrastructure
radiological detection
key assets
equipment.
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A. Gantt chart
Please see attached Gantt chart with detailed descriptions showing work tasks and project
milestones associated with each major STC task.
E. How the architecture will be designed for steady state operations and be capable of
surging to enhance steady state and search operations.
The architecture design for steady state operations with capability of surging to enhanced
steady state and search operations is as follows:
STC Program Office
Stead
• Normal operational hours for all STC staff members
• In line with Emergency Operation Center (EOC) levels of activation
(EOC 3: Every day surveillance, 2: Alert to an event, l: Full activation, event is imminent
or has occurred)
Enhanced State
• Select STC staff will be expected to report to work
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and important
3. Development of a
• Establishment of
key assets
single point of contact
regional resource
that can function as a
manager function
resource manager to
. Listing of
allow any regional
methodologies
agency to easily
identified as needed to
request protection
achieve a steady-state
support when needed
STC Miami Region
without difficulty.
operation.
4. Develop a
methodology to
support enhanced
steady state operations
and rad/nuc search
operations. Pre
develop plans can be
exercised and
enhanced without the
need to modify on the
fly during an actual
operation.
A. Gantt chart
Please see attached Gantt chart with detailed descriptions showing work tasks and project
milestones associated with each major STC task.
E. How the architecture will be designed for steady state operations and be capable of
surging to enhance steady state and search operations.
The architecture design for steady state operations with capability of surging to enhanced
steady state and search operations is as follows:
STC Program Office
Stead
• Normal operational hours for all STC staff members
• In line with Emergency Operation Center (EOC) levels of activation
(EOC 3: Every day surveillance, 2: Alert to an event, l: Full activation, event is imminent
or has occurred)
Enhanced State
• Select STC staff will be expected to report to work
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• For Extended operations A/B (12 hour/12 hour) shifts will be in effect
• In-line with EOC levels of activation as mentioned above
• Notifications will be made to federal partners
STC Region
Steady State
• Principal Partners are fulfilling the commitments to the program accordingly
• Equipment is deployed in operational with planned detection protocols in action
• STC County Liaisons have established a network of partners as they relate to the STC R/N
Detection Mission
Enhanced State
• The response plan would go in affect and the proper steps taken as per the CONOPS to
mitigate the alarm
• In a regional incident, the adopted alarm adjudication process would take place
• The units on scene would exercise the procedure that has been taught and the appropriate
escalation of resources would take place
• The STC program office would activate as mentioned above
2. Budget Narrative and Justification
The City of Miami Fire -Rescue Department (Lead Agency) is requesting $ 1,942,014.00 in
funding to establish the Miami Region Securing the Cities Program office. These budget
expenses are expected to increase by 5% to 10% every year for subsequent years 2 through 10 to
account for changes in salaries and benefits, and others. These increases do not take into account
any costs resulting from the implementation and deployment of trainings, equipment, tools, field
exercises, and other costs associated with the successful execution of the plans and strategies as
detailed in the project narrative.
Please see the attached Year 1 detailed budget and justification of expenses below
Year 1
A. Personnel - $872,269.00
1. STC Program Manager (PM) Captain Backfill ($80 Backfill/OT rate per hour x 2,496
hours/year $199,680. 00) paid to cover the position on the field while assigned to
work on this project.
Total = $199,680.00
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2. Miami -Dade County, Monroe County, Palm Beach County & Broward County STC
Program Liaisons Backfill ($75 Backfill/OT rate per hour x up to 30 hours per week for
52 weeks (1,560 hours) _ $117,000.00 each paid to cover his/her position on the field
while assigned to work on this project.
Total = $468,000.00
3. STC Budget Specialist (One (1) year x $65,000.00 = $65,000.00) staff will work full
time on this project to ensure compliance with program requirements and contractual
obligations.
Total = $65,000.00
4. STC Administrative Aide II ($22.11 hr. x 2,080 hours= $45,989.00) staff will work full
time and be responsible for clerical and administrative functions of the Miami Region
STC office.
Total = $45,989.00
5. STC Rad/Nuc Course Backfill for Train the Trainer ($65.00 hr. x 40 hours x 36
attendees = $93,600.00) backfill pay for personnel to attend Train -the -Trainer sessions
and courses.
Total = $93,600.00
B. Fringe Benefits - $118,655.00
1. STC Program Manager (PM) Captain Backfill - FICA/MICA ($ 199,680.00 x 7.65%)
_ $15,276.00
2. Four (4) STC Program Liaisons Backfill - FICA/MICA ($117,000.00 x 7.65% _
($8,950.5) *4) _ $35,802.00
3. STC Budget Specialist - FICA/MICA = ($65,000.00 x 7.65%) _ $4,973.00
4. STC Budget Specialist Health Insurance = $500 x 12 months = $6,000.00
5. STC Budget Specialist Pension City Contribution $20,000.00
6. STC Administrative Aide II FICA/MICA ($45,000.00 x 7.65%) $3,443.00
7. STC Administrative Adie II Health Insurance= $500 x 12 months= $6,000.00
8. STC Administrative Aide II Pension City Contribution $20,000.00
9. STC Rad/Nuc Course Backfill for Train the Trainer FICA/MICA ($93,600.00 x
7.65%) _ $7,161.00
C. Travel - $119,650.00
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WMD Conference — $60,900.00 for Six (6) staff, to attend a conferences on RAD/NUC
and other topics. Expenses include: $125.00 x 3 meals per day x 6 staff x 4 trips =
$9,000.00. A round-trip airfare constitutes $600.00 per person x 6 staff x 4 trips =
$14,400.00, local travel = $1,500.00 and lodging $300 per night per person x 6 staff x 4
trips x 5 days = $36,000.00.
2. DHS/CWMD (Orientation/Training) $48,750.00 for Six (6) staff, to attend
orientation/training in Washington D.C. Expenses include: $125.00 x 3 meals per day x
6 staff x 5 trips = $11,250.00. A round-trip airfare constitutes $750.00 per person x 6
staff x 2 trips = $9,000.00, local travel = $1,500.00 and lodging $300 per night per
person x 6 staff x 5 trips x 3 days = $27,000.00.
3. Local Travel — millage, tolls, parking and other transportation for staff, liaisons, and
primary partners to attend meetings and training. $10,000.00
D. Equipment - $120,440.00
Office Chairs (20 x $500.00 = $10,000.00) will accommodate the advisory meetings
and related conferences.
2. Work Desks (8 x $1,000.00 = $8,000.00) personal will be able to utilize work desk
for daily operations and is essential in an office setting.
3. Conference table (1 x $2,000.00 = $2,000.00) will accommodate the advisory
meetings and related conferences.
4. Filing Cabinet (8 x $500.00 = $4,000.00) will be secured and provided to each work
station to store documents.
5. STC Program Uniforms (Pants/BDU) (32 x $100.00 = $3,200.00) shall be provided
to all staff members to appropriately and professionally represent the Miami Region
STC office.
6. STC Program Uniforms (Polos) (32 x $70.00 = $2,240.00) shall be provided to all staff
members to appropriately and professionally represent the Miami Region STC office.
7. Portable Presentation Equipment (projector, laptop) (3 x $5,000.00 = $15,000.00) shall
be utilized by all in the STC Office is deemed necessary for training and presentations
in the office or Liaison sites.
Software License Purchases (Adobe Acrobat & Microsoft) (24 x $500.00 = $12,000.00)
pertinent to the planning, operation, inventory and maintenance of the program office
shall be obtained in order function effectively and efficiently.
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9. Portable Wi-Fi (8 x $150.00 = $1,200.00) shall be obtained to provide constant
connectivity and communication to the program staff while operating outside of the
program office.
10. Cellular Phone Subscription (8 x 12 monthly) (96 x $300.00 = $28,800.00) shall be
obtained and assigned to the program office staff. All staff members shall be mandated
to only use these devices for STC related correspondence and calls. The STC is a law
enforcement sensitive initiative with most literature designated as (FOLIO) for official
use only.
11. Cellular Phone (8 x $1,000.00 = $8,000.00) shall be obtained and assigned to the
program office staff. All staff members shall be mandated to only use these devices for
STC related correspondence and calls. The STC is a law enforcement sensitive initiative
with most literature designated as (FOLIO) for official use only.
12. Computer printer/scanner (4 x $1,000.00 = $4,000.00) essential in an office setting and
for daily operations.
13. Laptop, docking station and monitors (8 x $3,000.00 = $24,000.00) essential in an
office setting and for daily operations.
E. Supplies - $50,000.00
1. Office Supplies (pens/paper/binders/ink) (1 x $50,000.00 = $50,000.00) are the
necessary for operating an administrative office that will be purchased in bulk.
H. Procurement Contracts - $234,000.00
1. RAD/Nuc Specialist (PSA) will be contracted to work up to 30 hours per week for 52
weeks per year ($75.00 hr. x 1,560 hours = $117,000.00).
2. Training Officer (PSA) will be contracted to work up to 30 hours per week for 52 weeks
per year ($75.00 hr. x 1,560 hours = $117,000.00). His or her role is to become the
subject matter expert of the STC program, its goal and the tools necessary to accomplish
the mission. The training officer shall work with the STC program manager and the
STC liaisons to coordinate and deliver the necessary training throughout the Miami
STC program.
I. Other Costs - $427,000.00
1. Infrastructure Hardening Analysis and Equipment (One (1) payment x $130,000.00 =
$130,000.00) is critical when forming a security sensitive operation. This involves
physical access to internet protection.
2. Calibration Equipment/Office - Rental Space (One (1) payment for (12) months x
$15,000.00 = $180,000.00) shall be placed in a secure location away from the heavy
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traffic and provide the necessary space for storage and the proper and secure access for
delivery.
3. FedEx/Postage (Annual payment x $1,000.00 = $1,000.00) accounts are
necessary for the operation of an administrative office and that of a support lab.
4. Storage Facility (One (1) payment for (12) months x $500.00 = $6,000.00) shall
be obtained for supplies and the safe keep of equipment. This site shall me monitored a
round the clock and access restricted.
5. Public Education Campaign (One (1) payment x $10,000.00 = $10,000.00) will to
prepare informational reports/announcements to bring awareness to the community and
public on Rad/NUC threads and prevention.
6. Training Information, Digital Media, Communication for Miami Regional Office,
Principal Partners and STC participating partners ($50,000.00). The office will ensure
that all participating entities have (1) access to common communication/information
sharing tools (such as SharePoint), (2) acquire and set-up tool, (3)
formulate/prepare/acquire digital training tools, (4) prepare communication and training
capsules, (5) acquire and deploy technology that will assist in unifying communication
efforts.
7. Rad/NUC Train -the -Trainer Training Courses/Curriculum and Implementation
($50,000.00)
Budget Summary -
A. Personnel
$ 872,269.00
B. Fringe Benefits
$ 118,655.00
C. Travel
$ 119,650.00
D. Equipment
$ 120,440.00
E. Supplies
$ 50,000.00
F. Construction
$ 0
H. Consultants/Contracts
$ 234,000.00
I. Other
$ 427,000.00
Total Direct Costs
$ 1,942,014.00
TOTAL PROJECT COSTS - Year 1 - $ 1,942,014.00
3. Management Process Description
This project will utilize the regional approach modeled by the, Southeast Regional Domestic
Security Task Force which has already successfully supported regional sustainment for over ten
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years and was recognized as a best practice. The STC office shall be overseen by an administrator
(City of Miami Emergency Manager) and operated by a program manager. The program
ambassadors come in the way of County Liaisons. The Principal partners as mentioned earlier
are also regional partners through the SERDSTF. Staff will provide day to day management
and coordination during all phases of the project. Principal partners will attend quarterly
meetings to assess regional needs and identify solutions, share information, and identify regional
training opportunities. Principal partners will be divided into discipline -specific working
groups, which are chaired and co-chaired by their peers. These working groups further enhance
regional information sharing, communication, training, and collaboration, and facilitate work
relationships that are based on trust and respect.
The SERDSTF Management model is efficient and facilitates regional cooperation. Trainers will
offer classes in an array of disciplines that can be tailored to specific needs. Smaller and under
resourced jurisdictions will have access to training otherwise not available to them and will be
able to provide critical support during an R/N threat. Upon Arrival of the Program Manager, the
Lead Agency shall work diligently in facilitating the needs and request of the PM.
Since this project will utilize the regional approach modeled by the aforementioned, Southeast
Regional Domestic Security Task Force, SERDSTF staff is well experienced and already
providing day-to-day management and support to 109 multi -discipline multi jurisdictional task
force partners. Staff will provide day to day management and coordination during all phases
of the project. Principal partners will attend quarterly meetings to assess regional needs and
identify solutions, share information, and identify regional training opportunities. Principal
partners will be divided into discipline -specific working groups, which are chaired and co-
chaired by their peers. These working groups further enhance regional information sharing,
training, and collaboration, and facilitate work relationships that are based on trust and respect.
The SERDSTF process is efficient, facilitates regional sustainment, resilience and cost
effectiveness through multi jurisdictional voluntary investment and sharing of resources. The
project will use already trained personnel to conduct classes using a Train the Trainer approach.
This will allow more classes to be offered in an array of disciplines that can be tailored to specific
needs and jurisdictions. Smaller and under resourced jurisdictions will have access to training
otherwise not available to them and will be able to provide critical support during an R/N threat.
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Principal partners will support the objectives of this R/N project by participating in steering
committees, joining program update calls/meeting, conducting radiological/nuclear related
courses, providing personnel to serve as R/N related regional Train the Trainers, conducting
regional exercises. Principal Partners have provided letters of commitment.
A. How each principal partner will receive assistance:
The City of Miami in coordination with steering committees and liaison will assess each partner
to identify specific capacity gaps, equipment needs and technical assistance.
Principal partners will receive assistance in the manner described below:
Training and Exercises
The Training Officer shall work with the STC Program Manager and the STC liaisons to
coordinate and deliver the necessary training and exercises throughout the Miami Region. The
liaisons shall coordinate with the principal partners in their assigned area of operation to ensure
the coordination of training in the respective county.
Individuals from each of the participating counties will be designated as instructors and trained
in accordance with DHS requirements. These instructors will provide the DHS prescribed
training to our principal partners and conduct training exercises. To accommodate attendees,
training and exercises will be held at convenient, centralized locations or as needed in sites
designated throughout the counties.
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Equipment
The liaisons shall coordinate with the principal partners in their assigned area of operation to
ensure the effective planning, distribution, operation and maintenance of STC grant related
equipment in the respective county.
Equipment will be allocated and delivered utilizing a distribution schedule. We will utilize a
secure facility to receive, inventory, and distribute equipment to principal partners. Those
needing DHS calibration and maintenance will also be returned to this facility. Equipment for
vehicles maybe installed at principal partner agency locations or a centralized site.
Technical Assistance
The STC R -N Specialist position will serve as the STC program technical subject matter expert
(SME) in the field of R/N detection and deployment. The RN Specialist shall work with the
Program Manager and Liaisons to develop feasible maintenance schedules with all STC principal
partners.
B. Implementation and administration of sub -awards and property management
processes.
Setting up the STC Regional Office will require the approval of the Miami City Commission.
Once the approval is obtained, we will be able to include STC Office's budget and contractual
obligations in our financial and administrative systems. This approval will also allow for the
hiring of STC staff, contractors and purchasing of equipment and supplies. Once on -board, the
Program Manager will be able to negotiate MOU's with the Principal Partners. All these
administrative preparations before the City is able to spend or obligate STC related funding.
Through the mutually agreed upon MOU's, the principal partners shall establish a direct method
of providing sub -awards in order to reimburse services rendered for the STC program.
1. If/when needing to provide sub -awards, payment will be made as a direct payment (DP) to any
pre -authorized member providing service on behalf of the STC Office. This payment shall be
funded through the cooperative agreement of the STC office.
2. As an alternative, MOU's may be established to facilitate reimbursement to an agency whose
employee has provided service on behalf of the STC office.
Page 16 of 18
Already establish City of Miami financial and administrative procedures in compliance with
federal regulation will be utilized to ensure proper expenditures of funding and property
management. A dedicated Budget Specialist will be assigned to process payments and for
inventory control of the STC office.
C. The roles, responsibilities and activities of principal partners:
Robert Hevia, Emergency Manager — Assistant Fire Chief Division of Emergency Management
from the City of Miami/Lead Agency will serve as the Program Administrator. Chief Hevia
will be the main point of contact who will represent the Miami Region at the national level. The
Program Manager acting on behalf of the City of Miami/Lead agency will have overall charge
of the respective program and its compliance with the guidelines of the Department of Homeland
Security. The Program Manager shall develop an operations plan that meets the goal of the STC
Program Concept of Operation. S/he will be responsible for forming the necessary advisory
groups and committees with the principal partners to develop a unified deployment plan. The
Program Manager and designated staff shall manage the implementation, funding and oversight
of this plan. S/he shall enforce standard operating procedures to ensure efficiency, productivity,
and compliance with all applicable policies, codes, statutes, laws and regulations. The STC
Program manager shall report to the Program Administrator (Robert Hevia, Emergency Manager
— Assistant Fire Chief Division of Emergency Management). To ensure the speedy set up of the
STC Operation, the City will assign an experienced Miami Fire Rescue Officer (Captain) to serve
as Program Manager for the two year implementation period.
Principal Partners (PP) will serve in various capacities in the STC Program including
collaboration with the Program Manager as a member of the Advisory Board and Committees.
The Advisory Board will consult on regional priorities, logistics, and facilitate overall activation
of the program. Through membership on the Board or a Committee, principal partners will assist
in the development of the operational protocols. They will provide regional input into the STC
program and establish standardized equipment, training, operations and reporting protocols.
The STC PP will work the Program Manager and Liaisons to develop feasible maintenance
schedules. The Liaisons shall coordinate with the Principal Partners in their assigned area of
Page 17 of 18
operation to ensure the effective planning, distribution, operation and maintenance of STC grant
related equipment and the coordination of training in the respective county.
Principal Partners will facilitate the distribution of equipment as agreed upon for their respective
agencies. Upon receipt of equipment, the program office will communicate with the county
Liaisons who will make arrangements to distribute equipment to the Principal Partners in his/her
respective region.
PP will work in conjunction with the program manager to assist in the location, coordination and
access to training and exercise sites. Partners will work with the STC Miami Region to ensure
that designated personnel are available and attend training. They will also provide input in the
process of deploying equipment in order to achieve the operational protocols.
D. Resources principal partners will bring to the project:
Principal partners will provide the following resources: personnel (trainees, trainers,), training
and exercise sites, response vehicles, transportation, agency and jurisdiction related information.
E. Resolution of differences in implementation among principal partners:
The Lead agency will establish Robert Hevia, Emergency Manager — Assistant Fire Chief
Division of Emergency Management as the STC Program Administrator representing the STC
Program nationally. The aforementioned STC Advisory Board will be the governing body for
the program, consisting of one member from Broward, Monroe and Palm Beach Counties and
two members from Miami -Dade, the STC Program Administrator and the STC Program
Manager. At inception of the program, the Board will draft guidelines and procedures by which
participating partners will abide. The Advisory Board will also establish these committees: (1)
Information Sharing; (2) Training and Exercise; (3) Operations Protocol; and (4) Equipment.
In the event there are differences in the implementation of a regional approach, the advisory
board and four committees will deliberate and come to a consensus based on a voting majority.
Page 18 of 18
1. DATE ISSUED MM/DD/YYYY
1a. SUPERSEDES AWARD NOTICE dated
18b. EIN 596000375
19. DUNS 072220791 20. CONG. DIST. 27
o3/oa/zozo
except that any additions or restrictions previously imposed
ADMINISTRATIVE CODE
Department of Homeland Security
p Y
21.a. 080570800411
remain in effect unless specifically rescinded
C. STC
Department of Homeland Security
22.a.
b.
2. CFDA NO.
d. e.
23.a.
97.106 - Cooperative Agreements, I - USE OF PROPERTY, FACILITIES, OR EQUIPMENT, L -
C.
d. e.
DISSEMINATION OF TECHNICAL INFORMATION
245 Murray Lane, SW
Mail Stop 0115
3. ASSISTANCE TYPE Cooperative Agreement
4. GRANT NO. 20CWDSTC00007-01-00
5. TYPE OF AWARD
Formerly
other
Washington, DC 20528
NOTICE OF AWARD
4a. FAIN 20CWDSTC0000
5a. ACTION TYPE New
6. PROJECT PERIOD MM/DD/YYYY
MM/DD/YYYY
From 03/04/2020
Through 10/30/2029
AUTHORIZATION (Legislation/Regulations)
Section 4(a)(12) of the Nuclear Forensics and Attribution Act, Public Law
7. BUDGET PERIOD MM/DD/YYYY
MM/DD/YYYY
From 03/04/2020
Through 10/30/2020
111-140
8. TITLE OF PROJECT (OR PROGRAM)
2019 City of Miami Securing the Cities Program
9a. GRANTEE NAME AND ADDRESS
9b. GRANTEE PROJECT DIRECTOR
Miami, City Of
Mr. Robert Hevia
3500 Pan American Dr
444 SW 2nd Ave
Miami, FL 33133-5504
10th Floor
Department of Fire - Rescue
Miami, FL 33136-1910
10a. GRANTEE AUTHORIZING OFFICIAL
10b. FEDERAL PROJECT OFFICER
Ms. Lillian Blondet
Mr. Michael Simon
444 SW 2nd Avenue, 5th Floor
1120 Vermont Ave.
Miami, FL 33130-1910
DHS, CWMD
Phone: (305) 416-1536
Washiongton, DC 20005
Phone: (202) 254-7040
ALL AMOUNTS ARE SHOWN IN USD
11. APPROVED BUDGET (Excludes Direct Assistance)
12. AWARD COMPUTATION
I Financial Assistance from the Federal Awarding Agency Only
a. Amount of Federal Financial Assistance (from item 11m) 1,977,434.00
II Total project costs including grant funds and all other financial participation II
b. Less Unobligated Balance From Prior Budget Periods 0.00
c. Less Cumulative Prior Award(s) This Budget Period 0.00
a. Salaries and WageS.................................... 872,269.00
d. AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION 1,977,434.00
b. Fringe Benefits ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, 129,055.00
13. Total Federal Funds Awarded to Date for Project Period
1,977,434.00
C. Total Personnel Costs ................. 1,001,324.00
14. RECOMMENDED FUTURE SUPPORT
102,900.00
(Subject to the availability of funds and satisfactory progress of the project):
d. Equipment ..................................
YEAR
TOTAL DIRECT COSTS
YEAR
TOTAL DIRECT COSTS
92,120.00
e. Supplies ..................................
a. 2
d. 5
f. Travel .................................. 119,650.00
b. 3
e. 6
9. Construction .................................. 0.00
c. 4
f. 7
h. Other .................................. 427,440.00
15. PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING
i. Contractual 234,000.00
ALTERNATIVES:
a. DEDUCTION
b. ADDITIONAL COSTS
MATCHING
j. TOTAL DIRECT COSTS 10 1,977,434.00
d. OTHER RESEARCH (Add /Deduct Option)
e. OTHER (See REMARKS)
k. INDIRECT COSTS 0.00
16. THIS AWARD IS BASED ON AN APPLICATION SUBMITTED TO, AND AS APPROVED BY, THE FEDERAL AWARDING AGENCY
ON THE ABOVE TITLED PROJECT AND IS SUBJECT TO THE TERMS AND CONDITIONS INCORPORATED EITHER DIRECTLY
I. TOTAL APPROVED BUDGET 1,977,434.00
OR BY REFERENCE IN THE FOLLOWING:
a. The grant program legislation
b. The grant program regulations.
This award notice including terms and conditions, if any, noted below under REMARKS.
m. Federal Share 1,977,434.00
d. Federal administrative requirements, cost principles and audit requirements applicable to this grant.
In the event there are conflicting or otherwise inconsistent policies applicable to the grant, the above order of precedence shall
n. Non -Federal Share 0.00
prevail. Acceptance of the grant terms and conditions is acknowledged by the grantee when funds are drawn or otherwise
obtained from the grant payment system.
REMARKS (Other Terms and Conditions Attached - EX Yes 13 No)
This award approves $1,997,434 for the purpose of conducting project under the Securing the Cities Program. However specific budget line items are restricted until final program and budget details are
received and approved by DHS. The restricted lines are Contractual, Other and all backfill costs reflected in the budget. The total approved for release is $1,047,599.
GRANTS MANAGEMENT OFFICIAL:
Lisa Johnson, Associate Director
7th and D Street SW
Washington DC, DC 20407
Phone: (202) 309-8010
17.OBJ CLASS 4100
18a. VENDOR CODE 596000375
18b. EIN 596000375
19. DUNS 072220791 20. CONG. DIST. 27
FY -ACCOUNT NO.
DOCUMENT NO.
ADMINISTRATIVE CODE
AMT ACTION FIN ASST APPROPRIATION
21.a. 080570800411
b. CWDSTC00007A
C. STC
d. S1,977,434.00 e. 080570800411
22.a.
b.
C.
d. e.
23.a.
b.
C.
d. e.
AWARD ATTACHMENTS
City of Miami
1. STC Award Letter City of MIA FL
2. STC Terms and Conditions City of MIA FL
20CWDSTC00007-01-00
U.S. Department of Homeland
Security
Washington, DC 20528
Homeland
SeCLlY"1t vJ
RND SFG�4!
March 4, 2020
Lillian Blondet
Director, Office of Grants Administration
City of Miami
Department of Fire - Rescue
444 SW 2nd Avenue, 5th Floor
Miami, FL 33130-1910
RE: Agreement No. 20CWD STC000007-0 1 -00
Dear Ms. Blondet:
Congratulations! I am pleased to inform you that the Department of Homeland Security (DHS)
has approved your Securing the Cities application for a cooperative agreement award. Your
application was approved in the amount of $1,977,434. However specific budget line items are
restricted until final program and budget details are received and approved by DHS. The
restricted lines are Contractual, Other and all backfill costs reflected in the budget. The total
approved for release is $1,047,599.
As you are aware, the Grants and Financial Assistance Division utilizes the GrantSolutions
system, which is an online grants management system. Grantees will be able to access their grant
portfolio, submit applications, submit performance and financial status reports, access grant
related correspondence, and request amendments. However a user account must be established
by completing the form Grantee User Account Form from this link:
https://www.grantsolutions.gov/support/registration.html. Accounts should be established for
the Program Director and Authorizing Official at your organization, as well as any other users
who require access and notifications of award activity. All Grantee User Account forms should
be submitted directly to the GrantSolutions Help Desk at: Mpg rantsolutions. ov. We ask
that all accounts for relevant staff be established no later than Friday, March 20, 2020.
In addition to GrantSolutions, GFAD uses the Department of Health and Human Services
(DHHS), Payment Management System (PMS) for payment of funds under all awards. PMS is a
full service central payment and cash management system. You are encouraged to immediately
complete the required PMS forms. Otherwise payments for any work performed under the grant
program will not be processed until these forms are properly submitted to PMS, and an account
has been established for your organization. Please note the following:
Homeland
Security
City of Miami Page 12
If your organization has never received grant funds from the DHS Grants and
Financial Assistance Division, you must complete the New User and Account
Establishment process directly on the PMS site. Additional information may be found at:
https:Hpms.psc.gov/grant-recipients/access-newuser.html . When completing the
SF 1199A form, Section 2 should contain the following information: Department of
Homeland Security, 245 Murray Lane, SW, Washington, DC 20528-0115.
If you have received grant funds through this office in the past, you will not be
required to submit these forms. However, please contact me to verify your account
information prior to accessing funds.
Lastly and as a reminder, under the terms and conditions of this award, your organization must
maintain an active System for Award Management (SAM) registration at
https://www.sam.gov/portal/public/SAM/ The account must remain active until you send the
final financial report or until you receive the final payment, whichever is later. If your
organization's SAM registration expires during the required period, the Service will suspend
payment under this [and all other service] awards to your organization until the registration is
updated by your organization.
If you have questions concerning this award, please contact the appropriate DHS official listed
below.
Program/Technical matters - Program Officer, Mr. Michael Simon
Email: Michael. SimongHQ.DHS. GOV
Phone: (202) 254-7040
Grant/Fiscal related matters - Grant Officer, Ms. Lisa Johnson
Email: Lisa.Johnson I gHQ.DHS. GOV
Phone: (202) 447-5094
Sincerely,
Lisa Johnson
Associate Director
Grants and Financial Assistance Division
U.S. Department of Homeland Security, OPO
COOPERATIVE AGREEMENT TERMS AND CONDITIONS
GRANTS AND FINANCIAL ASSISTANCE DIVISION (GFAD)
In addition to the DHS Standard Terms and Conditions as outlined here: http://www.dhs.gov/publication/fv15-
dhs-standard-terms-and-conditions, the following Terms and Conditions apply specifically to this award as
administered by the Grants and Financial Assistance Division (GFAD):
ARTICLE L GENERAL ADMINISTRATIVE TERMS AND CONDITIONS
A. AWARD SPECIFIC TERMS AND CONDITIONS
1. Working drafts of the following documents are due to the DHS STC Federal Program Manager by the
time period indicated after the validation date. The validation date will be set after award and will
correspond with the region's emplacement of a local initial STC Program Manager. DHS expects work to
commence on these documents early in the implementation process. Each document will indicate
concurrence by all STC principal partners. DHS STC Program Office will provide templates and significant
assistance in the production of these documents. Once finalized, each of the documents should be placed
in a periodic review cycle to be updated as the program matures.
Regional Strategic Plan - six (6) months from validation date
Regional Organization Chart - six (6) months from validation date
Committee Charters (if applicable) - six (6) months from validation date
Regional Implementation Plan nine (9) months from validation date
Regional Operations Plan -twelve (12) months from validation date
Regional Multi -Year Training and Exercise Plan -twelve (12) months from validation date
Information Exchange Plan 0 eighteen (18)months from validation date
Life -Cycle Sustainment Plan - twenty-four (24) months from validation date
B. DHS PROGRAMMATIC INVOLVEMENT
1. Work with recipients to identify the appropriate equipment for specific regional operations and
procure identified equipment for the region. Primary screening equipment procured by DHS will become
the property of the recipient. Secondary screening equipment will remain the property of the Federal
government, loaned to the recipients for their use as long as they participate in the STC program, or until
the equipment needs to be replaced. DHS will replace the equipment if doing so is in the Government's
best interest, based upon the recipient's need, funds availability, and operational/logistical resources.
2. Assist in the establishment of Federal interagency partnerships, collaboration and cooperation for
carrying out the project.
3. Provide training and training materials for participating jurisdictions and provide updates to eligible
training courses, subject to the availability of funds.
4. Provide technical assistance to STC partners in developing regional operations plan.
5. Attend and participate in appropriate meetings initiated by State and local stakeholders, including
meetings of the STC committees, subcommittees, and working groups, as applicable. Subject matter
experts may periodically attend, participate and advise local program managers as necessary.
6. Provide technical assistance workshops as deemed necessary by DHS.
C. AMENDMENTS AND REVISIONS
1. Budget Revisions
a. The Recipient shall obtain prior written approval from the DHS Grants Officer for transfers of funds
between direct cost categories in the approved budget when such cumulative transfers among those
direct cost categories exceed ten percent of the total budget approved.
b. The Recipient shall obtain prior written approval from the DHS Grants Officer for any budget
revision that would result in the need for additional resources/funds.
c. The Recipient is not authorized at any time to transfer amounts budgeted for direct costs to the
indirect costs line item or vice versa, without prior written approval of the DHS Grants Officer.
2. Extension Request
a. Extensions to the Period of Performance can only be authorized in writing by the DHS Grants
Officer.
b. The extension request shall be submitted to the DHS Grants Officer sixty (60) days prior to the
expiration date of the performance period.
c. Requests for time extensions to the Period of Performance will be considered, but will not be
granted automatically, and must be supported by adequate justification in order to be processed. The
justification is a written explanation of the reason or reasons for the delay; an outline of remaining
resources/funds available to support the extended Period of Performance; and a description of
performance measures necessary to complete the project. In addition, extension requests shall not be
processed without up-to-date performance and financial status reports.
d. DHS has no obligation to provide additional resources/funding as a result of an extension.
D. EQUIPMENT
1. Title to equipment acquired by the Recipient with Federal funds provided under this Award shall vest in
the Recipient, subject to the conditions pertaining to equipment in the 2 CFR Part 200.
2. Prior to the purchase of Equipment in the amount of $5,000 or more per unit cost, the recipient must
obtain the written approval from DHS.
3. For equipment purchased with Award funds having a $5,000 or more per unit cost, the Recipient shall
submit an inventory that will include a description of the property; manufacturer model number, serial
number or other identification number; the source of property; name on title; acquisition date; and cost
of the unit; the address of use; operational condition of the property; and, disposition data, if applicable.
This report will be due with the Final Progress Report ninety (90) days after the expiration of the Project
Period, and shall be submitted via GrantSolutions using the using the help/Support guidance entitled,
"Quicksheet: Add a Grant Note" guidance found here:
https://www.grantsolutions.gov/support/granteeUsers.html
E. FINANCIAL REPORTS
E
1. Quarterly Federal Financial Reports —the Recipient shall submit a Federal Financial Report (SF -425) into
the GrantSolutions system no later than thirty (30) days after the end of the reporting period end date.
Reports are due on Apr 30, Jul 30, Oct 30, and Jan 30. The report shall be submitted via
www.GrantSolutions.gov using the Grant submission guidance entitled, "Grantee Reporting Process:
Federal Financial Report" found here: https://www.grantsolutions.gov/support/granteeUsers.html
2. Final Federal Financial Report —the Recipient shall submit the final Federal Financial Report (SF -425)
into the GrantSolutions system no later than ninety (90) days after the end of the Project Period end date.
The report shall be submitted via www.GrantSolutions.gov using the Grant submission guidance entitled,
"Grantee Reporting Process: Federal Financial Report" found here:
https://www.grantsolutions.gov/support/granteeUsers.html
3. Quarterly Federal Financial Reports (Cash Transaction) —the Recipient shall submit the Federal
Financial Report (SF -425) Cash Transaction Report to the Department of Health and Human Services,
Payment Management System. Quarterly Cash Transaction reports shall be submitted no later than 1/30,
4/30, 7/30, and 10/30.
F. PAYMENT
The Recipient shall be paid in advance using the U.S. Department of Health and Human Services/Payment
Management System, provided it maintains or demonstrates the willingness and ability to maintain
procedures to minimize the time elapsing between the transfer of the funds from the DHS and
expenditure disbursement by the Recipient. When these requirements are not met, the Recipient will be
required to be on a reimbursement for costs incurred method.
Any overpayment of funds must be coordinated with the U.S. Department of Health and Human
Services/Payment Management System.
G. PERFORMANCE REPORTS
1. Quarterly Performance Reports — the Recipient shall submit performance reports into the
GrantSolutions system no later than thirty (30) days after the end of the reporting period end date.
Reports are due on Apr 30, Jul 30 Oct 30, and Jan 30. The report shall be submitted via GrantSolutions
using the using the help/Support guidance entitled, "Quicksheet: Add a Grant Note" found here:
https://www.grantsolutions.gov/support/granteeUsers.htm1. Please remember to include the program
name, report type (ie 1st Quarter program) and award number in the note subject line.
a. Performance reports must provide information on the overall progress by quarter. These reports
* A comparison of actual accomplishments with the goals and objectives established for the
period.
* Reasons why established objectives were not met, if applicable.
* Other pertinent information including, when appropriate, analysis and explanation of cost
b. If the performance report contains any information that is deemed proprietary, the Recipient will
denote the beginning and ending of such information with asterisks (******)
c. For submission of this information, complete the Performance Progress Report (PPR) found at:
http://www.fema.gov/media-library/assets/documents/29485 OMB #0970-0334.
2. Final Performance Report —the Recipient shall submit the Final Performance Report into the
GrantSolutions system no later than ninety (90) days after the expiration of the Project Period. The Final
Performance Report shall be submitted via GrantSolutions using the help/Support guidance entitled,
"Quicksheet: Add a Grant Note" found here:
https://www.grantsolutions.gov/support/granteeUsers.htm1. Please remember to include the program
name, report type (ie, 1st Quarter Program) and award number in the note subject line.
For submission of this information, complete the Performance Progress Report (PPR) found at:
http://www.fema.gov/media-library/assets/documents/29485 OMB #0970-0334.
H. PERIOD OF PERFORMANCE
The approved Project and Budget Periods for the supported activity is contingent upon the following:
1. Acceptable performance of the project as determined by the Department of Homeland Security (DHS);
2. If applicable, acceptance and approval of each non -competing continuation application by the DHS;
3. Subject to the availability of annual DHS appropriated funds.
L PRIOR APPROVAL REQUIRED �w
The Recipient shall not, without the prior written approval of the DHS, request reimbursement, incur
costs or obligate funds for any purpose pertaining to the operation of the project, program, or activities
prior to the approved Budget Period.
ARTICLE IL GENERAL TERMS AND CONDITIONS
A. ACCESS TO RECORDS.
The Recipient shall retain financial records, supporting documents, statistical records, and all other
records pertinent to this Award for a period of three years from the date of submission of the final
expenditure report. The only exceptions to the aforementioned record retention requirements are the
following:
1. If any litigation, dispute, or audit is started before the expiration of the 3 -year period, the records shall
be retained until all litigation, dispute or audit findings involving the records have been resolved and final
action taken.
2. Records for real property and equipment acquired with Federal funds shall be retained for three (3)
years after final disposition.
3. The DHS Grants Officer may direct the Recipient to transfer certain records to DHS custody when he or
she determines that the records possess long term retention value. However, in order to avoid duplicate
recordkeeping, the DHS Grants Officer may make arrangements for the Recipient to retain any records
that are continuously needed for joint use.
DHS, the Inspector General, Comptroller General of the United States, or any of their duly authorized
representatives, have the right of timely and unrestricted access to any books, documents, papers, or
other records of the Recipient that are pertinent to this Award, in order to make audits, examinations,
excerpts, transcripts and copies of such documents. This right also includes timely and reasonable access
to Recipient's personnel for the purpose of interview and discussion related to such documents. The
rights of access in this award term are not limited to the required retention period, but shall last as long
as records are retained.
With respect to sub -recipients, DHS shall retain the right to conduct a financial review, require an audit,
or otherwise ensure adequate accountability of organizations expending DHS funds. Recipient agrees to
include in any sub -award made under this Agreement the requirements of this award term (Access to
Records).
B. COMPLIANCE ASSURANCE PROGRAM OFFICE TERMS AND CONDITIONS
The Compliance Assurance Program Office (CAPO) is comprised of the DHS Treaty Compliance Office
(TCO), Export Control Group (ECG), and the DHS Regulatory Compliance Office (RCO). The Compliance
Assurance Program Manager (CAPM) is the DHS official responsible for overseeing CAPO and
implementing procedures to ensure that the Recipient and any Recipient institutions/collaborators under
this Award comply with international treaties, federal regulations, and DHS policies for Arms Control
Agreements, Biosafety, Select Agent and Toxin Security, Animal Care and Use, the Protection of Human
Subjects, Life Sciences Dual Use Research of Concern, and Export Controls.
CAPO collects and reviews relevant documentation pertaining to this Award on behalf of the Compliance
Assurance Program Manager. Additional guidance regarding the review process is provided in the
following sections, along with contact information for the TCO, RCO, and ECG. This guidance applies to
the Recipient and any/all Recipient institutions involved in the performance of work under this Award.
The Recipient is responsible for ensuring that any/all Recipient institutions and collaborators comply with
all requirements and submit relevant documentation, as outlined in sections C—G below, for work being
performed under this Award.
C. TREATY COMPLIANCE FOR BIOLOGICAL AND CHEMICAL DEFENSE EFFORTS
The Recipient and any Recipient institution shall conduct all biological and chemical defense research,
development, and acquisition projects in compliance with all arms control agreements of the U.S.,
including the Chemical Weapons Convention (CWC) and the Biological Weapons Convention (BWC). DHS
Directive 041-01, Compliance With, and Implementation of, Arms Control Agreements, requires all such
projects to be systematically evaluated for compliance at inception, prior to funding approval, whenever
there is significant project change, and whenever in the course of project execution an issue potentially
raises a compliance concern.
1. Requirements for Initial Treaty Compliance Review. To ensure compliance with DHS Directive 041-01,
for each new biological and/or chemical defense -related effort (including paper and modeling studies) to
be conducted under this Award, the Recipient must submit the following documentation for compliance
review and certification prior to funding approval: a completed Treaty Compliance Form (TCF), which
includes a Project Summary; a BWC Checklist; and/or a CWC Checklist.
2. Requirements for Ongoing Treaty Compliance Review. To ensure ongoing treaty compliance for
approved biological and/or chemical defense -related efforts funded through this Award, the Recipient
must submit the following documentation for review and approval prior to any significant project
change and/or whenever in the course of project execution an issue potentially raises a compliance
concern: an updated Treaty Compliance Form and an updated Statement of Work detailing the proposed
modification. The proposed project modification must receive written approval from CAPO prior to
initiation. Examples of project modifications include – but are not limited to—the addition of agents, a
change in performer, modifications to the scope of work, and changes to the technical approach.
The Recipient should contact the Treaty Compliance Office (TCO) at treatycompliance@hq.dhs.gov to
obtain the TCF template, submit the completed Form, or request additional guidance regarding TCO
documentation and review requirements, as applicable to (1) new biological and/or chemical defense -
related efforts, or (2) modifications to previously approved efforts. The TCO will review all submitted
materials and provide written confirmation of approval to initiate work to the Recipient once the treaty
compliance certification process is complete. The Recipient and any Recipient institution shall not
initiate any new activities, or execute modifications to approved activities, until receipt of this written
confirmation.
D. REGULATORY COMPLIANCE FOR BIOLOGICAL LABORATORY WORK
The Recipient and any Recipient institution shall conduct all biological laboratory work in compliance with
applicable federal regulations; the latest edition of the CDC/NIH Biosafety in Microbiological and
Biomedical Laboratories; DHS Directive 066-02, Biosafety; and any local institutional policies that may
apply for Recipient institution facilities performing work under this Award. The Regulatory Compliance
Office (RCO) will review the submitted Treaty Compliance Form (TCF) for planned work under this Award
to determine the applicability of the requirements outlined in this section. The Recipient must contact
the RCO at STregulatorycompliance@hg.dhs.gov for guidance on the requirements, and then submit all
required documentation based on RCO guidance, prior to the initiation of any biological laboratory
work under this Award.
1. Requirements for All Biological Laboratory Work. Biological laboratory work includes laboratory
activities involving: (1) recombinant DNA or'rDNA'; (2) Biological Select Agents and Toxins or'BSAT'; or
(3) biological agents, toxins, or other biological materials that are non -rDNA and non-BSAT. Each
Recipient and any Recipient institution to be conducting biological laboratory work under this Award
must submit copies of the following documentation, as required by the RCO after review of the TCF(s),
for review prior to the initiation of such work:
a. Research protocol(s), research or project plan(s), or other detailed description of the biological
laboratory work to be conducted;
b. Documentation of project -specific biosafety review for biological laboratory work subject to such
review in accordance with institutional policy;
c. Institutional or laboratory biosafety manual (may be a related plan or program manual) for each
facility/laboratory to be involved in the biological laboratory work;
d. Biosafety training program description (should be provided as available in existing policies, plans,
and/or manuals for all relevant facilities/laboratories where work is conducted;
e. Documentation of the most recent safety/biosafety inspection(s) for each facility/laboratory where
the biological laboratory work will be conducted;
f. Exposure Control Plan, as applicable;
g. Documentation from the most recent Occupational Safety and Health Administration (OSHA) or
State Occupational Safety and Health Agency inspection report; a copy of the OSHA Form 300
Summary of Work Related Injuries and Illnesses or equivalent, for the most recent calendar year; and
documentation of any OSHA citations or notices of violation received in the past five years; and
h. Documentation from the most recent U.S. Department of Transportation (DOT) inspection report;
and documentation of any DOT citations or notices of violation received in the past five years.
2. Requirements for Research Involving Recombinant DNA (rDNA). Laboratory activities involving rDNA
research are defined by the NIH Guidelines for Research Involving Recombinant DNA Molecules, "NIH
Guidelines". Each Recipient and any Recipient institution shall conduct all rDNA work in compliance with
the NIH Guidelines. In addition to the documentation referenced in Section B.1 above, each facility
conducting research activities involving rDNA under this Award must submit copies of the following
documentation to the RCO for review prior to the initiation of such activities:
a. Institutional Biosafety Committee (IBC) Charter, and/or other available documentation of IBC
policies and procedures;
b. Most recent Office of Biotechnology Activities (OBA) acknowledgement letter of the annual IBC
Report;
c. IBC -approved rDNA research protocol(s); and
d. Documentation of final IBC approval for each rDNA research protocol and all subsequent renewals
and amendments as they occur.
3. Requirements for Activities Involving Biological Select Agents and Toxins (BSAT). Planned activities
involving the possession transfer, and/or use of BSAT must be reviewed by the RCO prior to initiation.
This requirement also applies to activities involving select toxins that fall below the Permissible Toxin
Limits, both at facilities registered with the National Select Agent Program and at unregistered facilities.
Each Recipient and any Recipient institution shall conduct all BSAT work in compliance with all applicable
regulations, including 42 CFR § 73, 7 CFR § 331, and 9 CFR § 121, related entity- and laboratory -specific
policies and procedures, and DHS Directive 026-03, Select Agent and Toxin Security. In addition to the
documentation referenced in Section B.1 above, each facility conducting activities involving BSAT
under this Award must submit copies of the following documentation to the RCO for review prior to the
initiation of such activities:
a. Current APHIS/CDC Certificate of Registration;
b. Most recent APHIS/CDC inspection report(s), response(s), and attachment(s);
c. Current versions of the Biosafety, Security, and Incident Response Plans required and reviewed
under the Select Agent Regulations; and
d. Documentation of the most recent annual BSAT facility inspection, as required of the Responsible
Official under the Select Agent Regulations.
The Recipient should contact the CAPO at STregulatorycompliance@hq.dhs.gov to obtain the RCO
Documentation Request Checklist, submit documentation, or request more information regarding the
DHS RCO documentation and compliance review requirements. The CAPO will provide written
confirmation of receipt of all required documentation to the designated Point(s) of Contact. The CAPO
will evaluate the submitted materials, along with available documentation from any previous reviews for
related work at the Recipient and Recipient institution. Additional documentation may be required in
some cases and must be submitted upon request. The CAPO will review all submitted materials and
provide written confirmation to the Recipient once all requirements have been met.
CAPO review of submitted materials may determine the need for further compliance review
requirements, which may include documentation -based and on-site components. The Recipient, and any
Recipient institutions conducting biological laboratory work under this Award, must also comply with
ongoing CAPO compliance assurance and review requirements, which may include but are not limited to
initial and periodic documentation requests, program reviews, site visits, and facility inspections.
The Recipient must promptly report the following to the CAPO, along with any corrective actions taken:
(1) any serious or continuing biosafety or BSAT program issues as identified by the APHIS/CDC National
Select Agent Program, other compliance oversight authorities, or institutional -level reviews (e.g., IBC or
equivalent, laboratory safety/biosafety inspections); (2) any suspension or revocation of the APHIS/CDC
Certificate of Registration; and (3) any for -cause suspension or termination of biological, rDNA, or BSAT
activities at the laboratories/facilities where DHS -sponsored work is conducted.
Foreign Contractors/Collaborators and U.S. Institutions with Foreign Subcomponents. Foreign
organizations (including direct Contractors, Subcontractors, Grant Recipients, Sub -recipients, and
subcomponents or collaborating partners to U.S. Recipients) are subject to applicable DHS requirements
for biological laboratory activities. All entities involved in activities under this Award must comply with
applicable national and regional/local regulations, and standards and guidelines equivalent to those
described for U.S. institutions (e.g., BMBL and NIH Guidelines). The Recipient must provide CAPO
documentation sufficient to illustrate this compliance. The CAPO will evaluate compliance measures for
these institutions on a case-by-case basis. The Recipient must not initiate work nor provide funds for the
conduct of biological laboratory work under this Award without CAPO's formal written approval.
E. RESEARCH INVOLVING ANIMALS
The Recipient and any Recipient institution shall conduct all research involving animals under this Award
in compliance with the requirements set forth in the Animal Welfare Act of 1966 (P.L. 89-544), as
amended, and the associated regulations in 9 C.F.R., Chapter 1, Subchapter A; the Public Health Service
(PHS) Policy on Humane Care and Use of Laboratory Animals (which adopts the "U.S. Government
Principles for the Utilization and Care of Vertebrate Animals used in Testing, Research, and Training", 50
FR 20864, May 20, 1985); the National Research Council (NRC) Guide for the Care and Use of Laboratory
Animals; the Federation of Animal Science Societies (FASS) Guide for the Care and Use of Agricultural
Animals in Agricultural Research and Teaching; and any additional requirements set forth in the DHS
Directive for the Care and Use of Animals in Research (026-01). Each Recipient and any Recipient
institution planning to perform research involving animals under this Award must comply with the
requirements and submit the documentation outlined in this section.
1. Requirements for Initial Review of Research Involving Animals. Research Involving Animals includes
any research, experimentation, biological testing, and other related activities involving live, vertebrate
animals, including any training for such activities. Each facility conducting research involving animals
under this Award must submit copies of the following documentation to the CAPO for review prior to the
initiation of such research:
a. Institutional Animal Care and Use Committee (IACUC)-approved animal research protocol(s),
including documentation of IACUC approval, any protocol amendments, and related approval
notifications;
b. Public Health Service (PHS) Animal Welfare Assurance, including any programmatic amendments,
and the most recent NIH Office of Laboratory Animal Welfare (OLAW) approval letter for each
Recipient and Recipient institution; OR DHS Animal Welfare Assurance, if the Recipient is not funded
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ac. Most recent IACUC semiannual program review and facility inspection reports covering all relevant
facilities/laboratories involved in DHS -funded work; and
d. Most recent Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC)
inspection report(s) for AAALAC-accredited institution(s) housing and/or performing work involving
animals under this Award.
All documentation, as well as any questions or concerns regarding the requirements referenced above,
should be submitted to the CAPO at STregulatorycompliance@hq.dhs.gov. Additional documentation
may be required in some cases and must be submitted upon request. The CAPO will review all submitted
materials and provide written confirmation to the Recipient once all documentation requirements have
been met. Upon receipt of this written confirmation, the Recipient may initiate approved animal
research projects under this Award, but must address any potential compliance issues or concerns
identified by the CAPO. Research involving the use of nonhuman primates or international collaborations
involving animal research will require more extensive review prior to approval, and must not begin under
this Award without first obtaining a formal certification letter from the CAPO.
The Recipient, as well as any Recipient institution and partner institutions conducting animal research
under this Award, shall also comply with ongoing CAPO compliance assurance functions, which may
include but are not limited to periodic site visits, program reviews, and facility inspections.
2. Requirements for Ongoing Review of Research Involving Animals. For ongoing animal research
The Recipient must promptly report the following to the CAPO, along with any corrective actions taken:
(1) any serious or continuing noncompliance with animal care and use regulations and policies adopted by
DHS (as referenced above); (2) any change in AAALAC accreditation status; (3) any USDA Notice of
Violation; and (4) IACUC suspension of any animal research activity conducted under this Award.
Foreign Contractors/Collaborators and U.S. Institutions with Foreign Subcomponents. Foreign
organizations (including direct Contractors, Subcontractors, Grant Recipients, Sub -recipients, and
subcomponents or collaborating partners to U.S. Recipients) are subject to all DHS requirements for work
involving animals. All entities involved in activities under this Award must comply with applicable
national and regional/local regulations, and standards and guidelines equivalent to those described for
U.S. institutions (e.g., Title 9, C.F.R, Chapter 1, Subchapter A; Public Health Service Policy on Humane Care
and Use of Laboratory Animals; the Guide for the Care and Use of Laboratory Animals; and the Guide for
the Care and Use of Agricultural Animals in Agricultural Research and Teaching). The Recipient must
provide CAPO documentation sufficient to illustrate this compliance. The CAPO will evaluate compliance
measures for these institutions on a case-by-case basis to determine their sufficiency. The Recipient must
not initiate nor provide funds for the conduct of work involving animals at foreign institutions under this
Award without formal written approval from the CAPO.
F. REGULATORY REQUIREMENTS FOR LIFE SCIENCES DUAL USE RESEARCH OF
CONCERN (DURC)
The Recipient and any Recipient institutions shall conduct all research involving agents and toxins
identified in sections 111.1 and 6.2.1 of the USG Policy for Oversight of Dual Use Research of Concern and
USG Policy for the Institutional Oversight of Dual Use Research of Concern, respectively, in accordance
with both policies referenced above and in accordance with any additional requirements set forth in
related DHS policies and instructions. Each Recipient and any Recipient institutions planning to perform
1. Requirements for Research Using DURC Agents and Toxins. To ensure compliance with the USG DURC
Policies, each facility conducting research involving the agents and toxins identified in sections 111.1 and
6.2.1 of the USG DURC Policies under this Award must submit the following documentation for
compliance review by CAPO prior to the initiation of such activities.
a. Institutional Review Entity (IRE) charter, and/or other available documentation of IRE policies and
procedures, to include the contact information for the Institutional Contact for DURC (ICDUR);
b. Institution's project -specific risk mitigation plan, as applicable;
c. DURC training or education program description;
d. Formal annual assurance of compliance with the USG Policy for Institutional Oversight of Life Sciences
Dual Use Research of Concern;
e. A completed iDURC form and a Statement of Work.
2. Required Notifications to DHS:
a. Within 30 calendar days of initial and periodic reviews of institutional review of research with DURC
potential, notify CAPO of the results, including whether the research does or does not meet the DURC
definition.
Flowdown Requirements: The Recipient shall include the substance of this section in all sub-
awards/contracts at any tier where the sub -Recipient is performing work with agents or toxins identified
in sections 111.1 of the USG Policy for Oversight of Dual Use Research of Concern and 6.2.1 of the USG
Policy for the Institutional Oversight of Dual Use Research of Concern.
The Recipient should contact CAPO at STregulatorycompliance@hq.dhs.gov to submit documentation or
In order to meet the reporting requirements set forth in section IV.2 of the 2012 USG Policy for Oversight
of Life Sciences Dual Use Research of Concern (the biannual DURC Data Call), the Recipient and any
Recipient institution shall submit documentation regarding all active, planned or recently completed
(within twelve months of the submission) unclassified intramural or extramural activities on Federally -
funded or conducted life science research projects biannually on the first Monday in May and November.
The Recipient should contact
CAPO at STregulatorycompliance@hq.dhs.gov to submit documentation. Documentation should include
an update on all listed activities, including status, all agents or toxins incorporated by strain or surrogate
name, performers, contract information, and sites of activities. Documentation should also include any
changes to existing or completed projects since the most recent submission, including—but not limited
to—the addition of agents, a change in performer, modifications to the scope of work, and/or changes to
the technical approach. A supplemental report detailing all work involving low pathogenic avian influenza
virus H7N9 (LPAI H7N9) and Middle East Respiratory Syndrome Coronavirus (MERS-CoV).
Foreign Contractors/Collaborators and U.S. Institutions with Foreign Subcomponents. Foreign
organizations (including direct Contractors, Subcontractors, Grant Recipients, Sub -recipients, and
subcomponents or collaborating partners to U.S. Recipients) are subject to the iDURC policy. The
Recipient must provide CAPO documentation sufficient to illustrate this compliance. CAPO will evaluate
compliance measures for these institutions on a case-by-case basis. The Recipient must not initiate work
nor provide funds for the conduct of biological laboratory work under this Award without CAPO's formal
written approval.
G. REGULATORY REQUIREMENTS FOR RESEARCH INVOLVING HUMAN SUBJECTS
The Recipient and any Recipient institutions shall conduct all Research Involving Human Subjects in
compliance with the requirements set forth in 45 C.F.R. § 46, Subparts A -D, DHS Directive 026-04,
Protection of Human Subjects, and any related DHS policies and instructions prior to initiating any work
with human subjects under this Award. Each Recipient and any Recipient institutions planning to perform
research involving human subjects under this Award must submit the documentation outlined in this
section for CAPO review.
1. Requirements for Research Involving Human Subjects. Each facility conducting work involving human
subjects under this Award is required to have a project -specific Certification of Compliance letter issued
by the CAPO. Each Recipient must submit the following documentation to the CAPO for compliance
review and certification prior to initiating research involving human subjects under this Award:
a. Research protocol, as approved by an Institutional Review Board (IRB), for any human subjects
research work to be conducted under this Award;
b. IRB approval letter or notification of exemption (see additional information below on exemption
determinations), for any human subjects research work to be conducted under this Award;
c. IRB-approved informed consent document(s) (templates) or IRB waiver of informed consent for
projects involving human subjects research under this Award; and
d. Federal -wide Assurance (FWA) number from the HHS Office for Human Research Protections
(OHRP), or documentation of other relevant assurance, for all Recipient institutions (including Sub -
recipients) involved in human subjects research under this Award.
2. Exemptions for Research Involving Human Subjects. Exemption determinations for human subject
research to be conducted under this Award should only be made by authorized representatives of (1) an
OHRP-registered IRB, or equivalent, or (2) the CAPO. Exemption determinations made by an OHRP-
registered IRB, or equivalent, should be submitted to the CAPO for review and record-keeping. Program
managers, principal investigators, research staff, and other DHS or institutional personnel should not
independently make exemption determinations in the absence of an IRB or CAPO review. DHS program
managers (or institutions conducting human subjects' research under this Award) seeking an exemption
determination from the CAPO should submit a request to STregulatorycompliance@hq.dhs.gov that
includes the following:
a. Research protocol or detailed description of planned activities to be conducted under this Award.
b. Identification of the exemption category that applies to the project(s) to be conducted under this
Award and explanation of why the proposed research meets the requirements for that category of
All documentation, as well as any questions or concerns regarding the requirements referenced above,
should be submitted to the CAPO at STregulatorycompliance@hq.dhs.gov. The submitted documentation
will be retained by the CAPO and used to conduct a regulatory compliance assessment. Additional
documentation may be required in some cases to complete this assessment. The Recipient must provide
this documentation upon request, and address in writing any compliance issues or concerns raised by the
CAPO before a certification letter is issued and participant enrollment can begin under this Award. The
CAPO will review all submitted materials and provide written confirmation to the Recipient once all
documentation requirements have been met.
The Recipient and any Recipient institution shall submit updated documentation regarding ongoing
research involving human subjects, as available and prior to the expiration of previous approvals. Such
documentation includes protocol modifications, IRB renewals for ongoing research protocols ("Continuing
Reviews"), and notifications of study completion.
The Recipient must promptly report the following to the CAPO, along with any corrective actions taken:
(1) any serious or continuing noncompliance with human subjects research regulations and policies
adopted by DHS (as referenced above); and (2) suspension, termination, or revocation of IRB approval of
any human subjects research activities conducted under this Award.
Foreign Contractors/Collaborators and U.S. Institutions with Foreign Subcomponents. Foreign
organizations (including direct Contractors, Subcontractors, Grant Recipients, Sub -recipients, and
subcomponents or collaborating partners to U.S. Recipients) are subject to all DHS and CAPO
requirements for research involving human subjects. All entities involved in activities under this Award
must comply with applicable national and regional/local regulations, and standards and guidelines
equivalent to those described for U.S. institutions (e.g., 45 C.F.R. § 46, including all Subparts, as relevant).
The CAPO will evaluate compliance measures for these institutions on a case-by-case basis to determine
their sufficiency. The Recipient must not initiate nor provide funds for the conduct of work involving
human subjects at foreign institutions under this Contract without formal written approval from the
CAPO.
H. COMPLIANCE WITH U.S. EXPORT CONTROLS
Activities performed by the Recipient and any Recipient institution under this Award may or may not be
subject to U.S. export control regulations. The Recipient and any Recipient institution shall conduct all
such activities, to include any and all DHS -funded research and development, acquisitions, and
collaborations in full compliance with U.S. export controls—to include the Export Administration
Regulations (EAR), the International Traffic in Arms Regulations (ITAR), and the Office of Foreign Assets
Control (OFAC) Regulations. The Recipient and any Recipient institution will ensure that all legal
requirements for compliance with U.S. export controls are met prior to transferring commodities,
technologies, technical data, or other controlled information to a non -U.S. person or entity. Upon DHS
request, the Recipient and any Recipient institution must provide to CAPO documentation and any other
information necessary to determine satisfaction of this requirement.
All documentation, as well as any questions or concerns regarding export controls, should be submitted
to the CAPO at exportcontrols@hq.dhs.gov.
L CONTROLLED UNCLASSIFIED INFORMATION
The parties understand that information and materials provided pursuant to or resulting from this Award
may be export controlled, sensitive, for official use only, or otherwise protected by law, executive order
or regulation. The Recipient is responsible for compliance with all applicable laws and regulations.
Nothing in this Award shall be construed to permit any disclosure in violation of those restrictions.
J. PATENT RIGHTS AND DATA RIGHTS
Patent rights.
The Recipient is subject to applicable regulations governing patents and inventions, including government -
wide regulations issued by the Department of Commerce at 37 CFR Part 401, "Rights to Inventions Made
by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and
Cooperative Agreements." The clause at 37 CFR 401.14 is incorporated by reference herein. All reports of
subject inventions made under this Award should be submitted to DHS using the Interagency Edison
system website at http://@hq.dhs.gov.
Data rights.
1. General Requirements. The Recipient grants the Government a royalty free, nonexclusive and
irrevocable license to reproduce, display, distribute copies, perform, disseminate, or prepare derivative
works, and to authorize others to do so, for Government purposes in:
a. Any data that is first produced under this Award and provided to the Government;
b. Any data owned by third parties that is incorporated in data provided to the Government under this
Award; or
c. Any data requested in paragraph 2 below, if incorporated in the Award.
"Data" means recorded information, regardless of form or the media on which it may be recorded.
2. Additional requirement for this Award.
a. Requirement: If the Government believes that it needs additional research data that was produced
under this Award, the Government may request the research data and the Recipient agrees to provide
the research data within a reasonable time.
b. Applicability: The requirement in paragraph 2.a of this section applies to any research data that are:
i. Produced under this Award, either as a Recipient or sub -recipient;
ii. Used by the Government in developing an agency action that has the force and effect of law;
and
iii. Published, which occurs either when:
1) The research data is published in a peer-reviewed scientific or technical journal; or
2) DHS publicly and officially cites the research data in support of an agency action that has the
force and effect of law
c. Definition of "research data:" For the purposes of this section, "research data:"
i. Means the recorded factual material (excluding physical objects, such as laboratory samples)
commonly accepted in the scientific community as necessary to validate research findings.
ii. Excludes:
1) Preliminary analyses;
2) Drafts of scientific papers;
3) Plans for future research;
4) Peer reviews;
5) Communications with colleagues;
6) Trade secrets;
7) Commercial information;
similar information which is protected under law; and
9) Personnel and medical information and similar information the disclosure of which would
constitute a clearly unwarranted invasion of personal privacy, such as information that could be
used to identify a particular person in a research study.
d. Requirements for sub -awards: The Recipient agrees to include in any sub -award made under this
Agreement the requirements of this award term (Patent Rights and Data Rights) and the DHS
Standard Terms and Conditions award term (Copyright).
K PROGRAM INCOME
Post -award program income:
In the event program income becomes available to the recipient post -award, it is the recipient's
responsibility to notify the DHS Grants Officer to explain how that development occurred, as part of their
request for guidance and/or approval. The Grant Officer will review approval requests for program
income on a case-by-case basis; approval is not automatic. Consistent with the policy and processes
outlined in §200.307, pertinent guidance and options, as determined by the type of recipient and
circumstances involved, may be approved by the Grant Officer.
If approval is granted, an award modification will be issued with an explanatory note in the remarks
L. PUBLICATIONS
1. All publications produced as a result of this funding which are submitted for publication in any
magazine, journal, or trade paper shall carry the following:
a. Acknowledgement. "This material is based upon work supported by the U.S. Department of
Homeland Security under Grant Award Number, {insert Award Number as outlined in Item #4 on
Notice of Award cover page}."
b. Disclaimer. "The views and conclusions contained in this document are those of the authors and
should not be interpreted as necessarily representing the official policies, either expressed or implied,
of the U.S. Department of Homeland Security."
Recipient agrees to include in any sub -award made under this Agreement the requirements of this award
term (Publications).
2. Enhancing Public Access to Publications. "DHS Policy explicitly recognizes and upholds the principles of
copyright. Authors and journals can continue to assert copyright in DHS -funded scientific publications, in
accordance with current practice. The policy encourages authors to exercise their right to give DHS a copy
of their final manuscript or software before publication. While individual copyright arrangements can
take many forms, DHS encourages investigators to sign agreements that specifically allow the manuscript
or software to be deposited with DHS for public posting or use after journal publication. Institutions and
investigators may wish to develop particular contract terms in consultation with their own legal counsel,
as appropriate. But, as an example, the kind of language that an author or institution might add to a
copyright agreement includes the following: "Journal (or Software recipient) acknowledges that the
Author retains the right to provide a final copy of the final manuscript or software application to DHS
upon acceptance for Journal publication or thereafter, for public access purposes through DHS's websites
or for public archiving purposes."
M. SITE VISITS
The DHS, through authorized representatives, has the right, at all reasonable times, to make site visits to
review project accomplishments and management control systems and to provide such technical
assistance as may be required. If any site visit is made by the DHS on the premises of the Recipient, or a
contractor under this Award, the Recipient shall provide and shall require its contractors to provide all
reasonable facilities and assistance for the safety and convenience of the Government representatives in
the performance of their duties. All site visits and evaluations shall be performed in such a manner that
will not unduly delay the work.
N. TERMINATION
Either the Recipient or the DHS may terminate this Award by giving written notice to the other party at
least thirty (30) calendar days prior to the effective date of the termination. All notices are to be
transmitted to the DHS Grants Officer via registered or certified mail, return receipt requested. The
Recipient's authority to incur new costs will be terminated upon arrival of the date of receipt of the letter
or the date set forth in the notice. Any costs incurred up to the earlier of the date of the receipt of the
notice or the date of termination set forth in the notice will be negotiated for final payment. Closeout of
this Award will be commenced and processed pursuant to 2 CFR §200.339.
O. TRAVEL
Travel required in the performance of the duties approved in this Award must comply with 2 CFR §
200.474.
Foreign travel must be approved by DHS in advance and in writing. Requests for foreign travel
identifying the traveler, the purpose, the destination, and the estimated travel costs must be submitted
to the DHS Grants Officer sixty (60) days prior to the commencement of travel.
P. CLASSIFIED SECURITY CONDITION
1. "Classified national security information," as defined in Executive Order (EO) 12958, as amended,
means information that has been determined pursuant to EO 12958 or any predecessor order to require
protection against unauthorized disclosure and is marked to indicate its classified status when in
documentary form.
2. No funding under this award shall be used to support a contract, sub -award, or other agreement for
goods or services that will include access to classified national security information if the award recipient
itself has not been approved for and has access to such information.
3. Where an award recipient has been approved for and has access to classified national security
information, no funding under this award shall be used to support a contract, sub -award, or other
agreement for goods or services that will include access to classified national security information by the
contractor, sub-awardee or other entity without prior written approval from the DBS Office of Security,
Industrial Security Program Branch (ISPB), or, an appropriate official within the Federal department or
agency with whom the classified effort will be performed.
4. Such contracts, sub -awards, or other agreements shall be processed and administered in accordance
with the DHS "Standard Operating Procedures, Classified Contracting by State and Local Entities," dated
July 7, 2008; EOs 12829, 12958, 12968, as amended; the National Industrial Security Program Operating
Manual (NISPOM); and/or other applicable implementing directives or instructions. All security
requirement documents are located at: http://www.dhs.gov/xopnbiz/grants/index.shtm
5. Immediately upon determination by the award recipient that funding under this award will be used to
support such a contract, sub -award, or other agreement, and prior to execution of any actions to
facilitate the acquisition of such a contract, sub -award, or other agreement, the award recipient shall
contact ISPB, or the applicable Federal department or agency, for approval and processing instructions.
DHS Office of Security ISPB contact information:
Telephone: 202-447-5346
Email: DD254AdministrativeSecurity@dhs.Gov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD/Industrial Security Program Branch
Washington, D.C. 20528
L_Q. GOVERNING PROVISIONS
The following are incorporated into this Award by this reference:
31 CFR 205 Rules and Procedures for Funds Transfers
2 CFR Part 200 Uniform Administrative Requirement, Cost Principles, and
Audit Requirements for Federal Awards
Application Grant Application and Assurances dated
10/21/2019
R. ORDER OF PRECEDENCE
2 C.F.R. Part 200, "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards."
2. The terms and conditions of this Award
3. The Funding Opportunity, DHS -ST -19 -106 -STC -0001, Securing the Cities Program
4. Application and Assurances dated 10/21/2019, as revised 1/30/2020