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Home My WebLink AboutExhibitFUND TITLE RESOURCES: Securing the Cities (STC) Program FY 2020 The DHS March 11, 2021 Grant Award The DHS August 11, 2021 Supplemental Funding $ 2, 000, 000.00 $950,000.00 APPROPRIATIONS: $2,950,000.00 1. DATE ISSUED MM/DD/YYYY la. SUPERSEDES AWARD NOTICE dated o3n1 zozl except that any additions or restrictions previously imposed Department of Homeland Security p Y remain in effect unless specifically rescinded 2. CFDA NO. 97.106 - Cooperative Agreements, I - USE OF PROPERTY, FACILITIES, OR EQUIPMENT, L - DHS Grants and Financial Assistance Division (GFAD) DISSEMINATION OF TECHNICAL INFORMATION 245 Murray Lane, SW Mail Stop 0115 3. ASSISTANCE TYPE Cooperative Agreement 4. GRANT NO. 20CWDSTC00007-02-00 5. TYPE OF AWARD Formerly Other Washington, DC 20528 NOTICE OF AWARD 4a. FAIN 20CWDSTC00007 5a. ACTION TYPE Non -Competing Continuation 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 03/09/2021 Through 10/30/2021 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. Mark Moore 3500 Pan American Dr 444 SW 2nd Ave FI 10 Miami, FL 33133-5504 Emergency Management Miami, FL 33130-1910 Phone:305-416-5430 10a. GRANTEE AUTHORIZING OFFICIAL 10b. FEDERAL PROJECT OFFICER Ms. Lillian Blondet Kevin Adler 444 SW 2nd Avenue, 5th Floor 7th And D Street SW Miami, FL 33130-1910 Washington, DC 20407-0001 Phone: (305) 416-1536 Phone:111-111-1111 ALL AMOUNTS ARE SHOWN IN USD 11. APPROVED BUDGET (Excludes Direct Assistance) 112. AWARD COMPUTATION I Financial Assistance from the Federal Awarding Agency Only a. Amount of Federal Financial Assistance (from item 11m) 3,977,434.00 II Total project costs including grant funds and all other financial participation II b. Less Unobligated Balance From Prior Budget Periods c. Less Cumulative Prior Award(s) This Budget Period 1,977,434.00 0.00 a, Salaries and Wages d. AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION 2,000,000.00 b. Fringe Benefits ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, 194,431.00 13. Total Federal Funds Awarded to Date for Project Period 3,977,434.00 C. Total Personnel Costs ................. 635,009.00 14. RECOMMENDED FUTURE SUPPORT 390,000.00 (Subject to the availability of funds and satisfactory progress of the project): d. Equipment .................................. YEAR TOTAL DIRECT COSTS YEAR TOTAL DIRECT COSTS 233,166.00 e. Supplies .................................. a. 3 d. 6 f. Travel .................................. 239,300.00 b. 4 e. 7 9. Construction .................................. 0.00 c. 5 f. 8 h. Other .................................. 687,733.00 15. PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING i. Contractual 1,792,226.00 ALTERNATIVES: ba.. DEDUCTION ADDITIONAL COSTS MATCHING j. TOTAL DIRECT COSTS 10 3,977,434.00 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 3,977,434.00 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 3,977,434.00 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 - �X Yes ®No) See next page 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. 091870910411 b. CWDSTC00007A C. STC d. $800,000.00 e. 70910411 22.a. 001170020411 b. CWDSTC00007A C. STC d. $1,200,000.00 e. 70020411 23. a. b. C. d. e. NOTICE OF AWARD (Continuation Sheet) REMARKS: PAGE 2 of 4 DATE ISSUED 03/ 11 /2021 GRANT NO. 20CWDSTC00007-02-00 1. This Amendment awards Continuation funds in the amount of $2,000,000 to conduct Phase II of the Securing the Cities Program. However, the entire amount is restricted until the Recipient submits an updated project timeline and budget for approval by DHS. 2. In addition, Article I of the original terms and conditions is hereby revised as follows: a. Section A is revised to include an additional restriction b. Section G, is revised to reflect quarterly performance reports shall be submitted via the GrantSolutions Reporting feature at www.GrantSolutions.gov by using the system's help/support guidance titled, "Grantee Recipient Process: Performance Progress Reporting." c. Sections E.2 - Final Financial Reports and G.2 - Final Performance Reports are both revised to reflect final report due dates of 120 days after the award expiration date. 3. This Amendment also revises the Grant Officer of record to Janet Bailey. All other award terms and conditions remain in effect. NOTICE OF AWARD (Continuation Sheet) PAGE 3 of 4 DATE ISSUED 03/11/2021 GRANT NO. 20CWDSTC00007-02-00 Federal Financial Report Cycle Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date 03/04/2020 03/31/2020 Quarterly 04/30/2020 04/01/2020 06/30/2020 Quarterly 07/30/2020 07/01/2020 09/30/2020 Quarterly 10/30/2020 10/01/2020 12/31/2020 Quarterly 01/30/2021 01/01/2021 03/31/2021 Quarterly 04/30/2021 04/01/2021 06/30/2021 Quarterly 07/30/2021 07/01/2021 09/30/2021 Quarterly 10/30/2021 10/01/2021 12/31/2021 Quarterly 01/30/2022 01/01/2022 03/31/2022 Quarterly 04/30/2022 04/01/2022 06/30/2022 Quarterly 07/30/2022 07/01/2022 09/30/2022 Quarterly 10/30/2022 10/01/2022 12/31/2022 Quarterly 01/30/2023 01/01/2023 03/31/2023 Quarterly 04/30/2023 04/01/2023 06/30/2023 Quarterly 07/30/2023 07/01/2023 09/30/2023 Quarterly 10/30/2023 10/01/2023 12/31/2023 Quarterly 01/30/2024 01/01/2024 03/31/2024 Quarterly 04/30/2024 04/01/2024 06/30/2024 Quarterly 07/30/2024 07/01/2024 09/30/2024 Quarterly 10/30/2024 10/01/2024 12/31/2024 Quarterly 01/30/2025 01/01/2025 03/31/2025 Quarterly 04/30/2025 04/01/2025 06/30/2025 Quarterly 07/30/2025 07/01/2025 09/30/2025 Quarterly 10/30/2025 10/01/2025 12/31/2025 Quarterly 01/30/2026 01/01/2026 03/31/2026 Quarterly 04/30/2026 04/01/2026 06/30/2026 Quarterly 07/30/2026 07/01/2026 09/30/2026 Quarterly 10/30/2026 10/01/2026 12/31/2026 Quarterly 01/30/2027 01/01/2027 03/31/2027 Quarterly 04/30/2027 04/01/2027 06/30/2027 Quarterly 07/30/2027 07/01/2027 09/30/2027 Quarterly 10/30/2027 10/01/2027 12/31/2027 Quarterly 01/30/2028 01/01/2028 03/31/2028 Quarterly 04/30/2028 04/01/2028 06/30/2028 Quarterly 07/30/2028 07/01/2028 09/30/2028 Quarterly 10/30/2028 10/01/2028 12/31/2028 Quarterly 01/30/2029 01/01/2029 03/31/2029 Quarterly 04/30/2029 04/01/2029 06/30/2029 Quarterly 07/30/2029 07/01/2029 09/30/2029 Quarterly 10/30/2029 10/01/2029 10/30/2029 Final 01/28/2030 Performance Progress Report Cycle Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date 03/04/2020 03/31/2020 Quarterly 04/30/2020 04/01/2020 06/30/2020 Quarterly 07/30/2020 NOTICE OF AWARD (Continuation Sheet) PAGE 4 of 4 DATE ISSUED 03/11/2021 GRANT NO. 20CWDSTC00007-02-00 07/01/2020 09/30/2020 Quarterly 10/30/2020 01/30/2021 10/01/2020 12/31/2020 Quarterly 01/01/2021 03/31/2021 Quarterly 04/30/2021 04/01/2021 06/30/2021 Quarterly 07/30/2021 07/01/2021 09/30/2021 Quarterly 10/30/2021 10/01/2021 12/31/2021 Quarterly 01/30/2022 01/01/2022 03/31/2022 Quarterly 04/30/2022 04/01/2022 06/30/2022 Quarterly 07/30/2022 07/01/2022 09/30/2022 Quarterly 10/30/2022 10/01/2022 12/31/2022 Quarterly 01/30/2023 01/01/2023 03/31/2023 Quarterly 04/30/2023 04/01/2023 06/30/2023 Quarterly 07/30/2023 07/01/2023 09/30/2023 Quarterly 10/30/2023 10/01/2023 12/31/2023 Quarterly 01/30/2024 01/01/2024 03/31/2024 Quarterly 04/30/2024 04/01/2024 06/30/2024 Quarterly 07/30/2024 07/01/2024 09/30/2024 Quarterly 10/30/2024 10/01/2024 12/31/2024 Quarterly 01/30/2025 01/01/2025 03/31/2025 Quarterly 04/30/2025 04/01/2025 06/30/2025 Quarterly 07/30/2025 07/01/2025 09/30/2025 Quarterly 10/30/2025 10/01/2025 12/31/2025 Quarterly 01/30/2026 01/01/2026 03/31/2026 Quarterly 04/30/2026 04/01/2026 06/30/2026 Quarterly 07/30/2026 07/01/2026 09/30/2026 Quarterly 10/30/2026 10/01/2026 12/31/2026 Quarterly 01/30/2027 01/01/2027 03/31/2027 Quarterly 04/30/2027 04/01/2027 06/30/2027 Quarterly 07/30/2027 07/01/2027 09/30/2027 Quarterly 10/30/2027 10/01/2027 12/31/2027 Quarterly 01/30/2028 01/01/2028 03/31/2028 Quarterly 04/30/2028 04/01/2028 06/30/2028 Quarterly 07/30/2028 07/01/2028 09/30/2028 Quarterly 10/30/2028 10/01/2028 12/31/2028 Quarterly 01/30/2029 01/01/2029 03/31/2029 Quarterly 04/30/2029 04/01/2029 06/30/2029 Quarterly 07/30/2029 07/01/2029 09/30/2029 Quarterly 10/30/2029 10/01/2029 10/30/2029 lFinal 01/28/2030 AWARD ATTACHMENTS City of Miami 1. FY21 STC Miami NCC Letter 2. FY21 STC Terms and Conditions Miami NCC 20CWDSTC00007-02-00 U.S. Department of Homeland Security Washington, DC 20528 Homeland F Security ANC Y March 9, 2020 Lillian Blondet Director, Office of Grants Administration City of Miami Department of Fire - Rescue 444 SW 2nd Avenue, 5d' Floor Miami, FL 33130-1910 RE: Agreement No. 20CWDSTC000007 Dear Ms. Blondet: The Department of Homeland Security (DHS) has approved your Securing the Cities Continuation application [#STC2020000053] in the amount of $2,000,000. However, the full amount is restricted by DHS. For additional information on the restriction, please refer to the Remarks section of the Notice of Award. This amendment also revises the Terms and Conditions to include a new restriction and to reflect changes to the reporting requirements. The changes are outlined in the Notice of Award and the enclosed Terms and Conditions. This award is subject to the attached Award Terms and Conditions. If you have questions concerning this award, please contact the appropriate DHS official listed below. Program/Technical matters - Program Officer, Mr. Kevin Adler Email: Kevin.Adler(&HQ.DHS.GOV Phone: (202) 897-5657 Grant/Fiscal related matters - Grant Officer, Ms. Janet Bailey Email: Janet.BaileyAHQ.DHS.GOV Phone: (202) 447-0362 Sincerely, Lisa Johnson Associate Director Grants and Financial Assistance Division U.S. Department of Homeland Security, OPO Enclosure 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 I. 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 2. The full amount of the Continuation award is restricted pending Recipient submission and DHS approval of an updated project timeline and budget with narrative details. 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 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.grantsoIutions.gov/support/granteeUsers.htmI 2. Final Federal Financial Report —the Recipient shall submit the final Federal Financial Report (SF-425) into the GrantSolutions system no later than 120 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. An 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 the www.GrantSolutions.gov reports feature. Choosing the help/Support button and the Grant Recipient Support and Reference guidance entitled, "Grant Recipient Process: Performance Progress Report. a. Performance reports must provide information on the overall progress by quarter. These reports shall include: * 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 costs. 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 (******) 2. Final Performance Report — the Recipient shall submit the Final Performance Report into the GrantSolutions system no later than 120 days after the expiration of the Project Period. The Final Performance Report shall be submitted via the www.GrantSolutions.gov reports feature using the help/ Support guidance as outlined in G.1 above. 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. I. PRIOR APPROVAL REQUIRED 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 II. GENERAL TERMS AND CONDITIONS EA. 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@hq.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/ b i osafety 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/ b i osafety 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 FIR 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 by the PHS and does not have a PHS Assurance on file with OLAW Any affiliated IACUCs must be c. 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. G. 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. H. 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. I. 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 reauirement 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 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 Q. GOVERNING PROVISIONS The following are incorporated into this Award by this reference: 31 C.F.R. 205 Rules and Procedures for Funds Transfers 2 C.F.R. Part 200 Uniform Administrative Requirement, Cost Principles, and Audit Requirements for Federal Awards Application Grant Application and Assurances dated 11/25/2019 R. ORDER OF PRECEDENCE 1. 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 11/25/2019, as revised 1/30/2020 1. DATE ISSUED MM/DD/YYYY la. SUPERSEDES AWARD NOTICE dated 03/11/2021 08/11/2021 except that any additions or restrictions previously imposed Department of Homeland Security p y remain in effect unless specifically rescinded 2. CFDA NO. 97.106 - Cooperative Agreements, I - USE OF PROPERTY, FACILITIES, OR EQUIPMENT, L - DHS Grants and Financial Assistance Division (GFAD) DISSEMINATION OF TECHNICAL INFORMATION 301 7th Street, SW, RM 3051 Mail Stop 0115 3. ASSISTANCE TYPE Cooperative Agreement 4. GRANT NO. 20CWDSTC00007-02-01 5. TYPE OF AWARD Formerly Other Washington, DC 20528 NOTICE OF AWARD 4a. FAIN 20CWDSTC00007 5a. ACTION TYPE Post Award Amendment 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 03/09/2021 Through 06/30/2022 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. Mark Moore 3500 Pan American Dr 444 SW 2nd Ave FI 10 Miami, FL 33133-5504 Emergency Management Miami, FL 33130-1910 Phone:305-416-5430 10a. GRANTEE AUTHORIZING OFFICIAL 10b. FEDERAL PROJECT OFFICER Ms. Lillian Blondet Kristina Frierson 444 SW 2nd Avenue, 5th Floor 7th And D Street SW Miami, FL 33130-1910 Washington, DC 20407-0001 Phone: (305) 416-1536 Phone:202-440-1703 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) 4,927,434.00 II Total project costs including grant funds and all other financial participation 11 b. Less Unobligated Balance From Prior Budget Periods 1,977,434.00 c. Less Cumulative Prior Award(s) This Budget Period 2,000,000.00 a, Salaries and Wages d. AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION 950,000.00 b. Fringe Benefits ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, 194,431.00 13. Total Federal Funds Awarded to Date for Project Period 4,927,434.00 C. Total Personnel Costs ................. 635,009.00 14. RECOMMENDED FUTURE SUPPORT 1,340,000.00 (Subject to the availability of funds and satisfactory progress of the project): d. Equipment YEAR TOTAL DIRECT COSTS YEAR TOTAL DIRECT COSTS 233,166.00 e. Supplies .................................. a. 3 d. 6 f. Travel .................................. 239,300.00 b. 4 e. 7 9. Construction .................................. 0.00 c. 5 f. 8 h. Other .................................. 687,733.00 15. PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING i. Contractual 1,792,226.00 ALTERNATIVES: ba.. DEDUCTION ADDITIONAL COSTS MATCHING j. TOTAL DIRECT COSTS 10 4,927,434.00 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 4,927,434.00 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 4,927,434.00 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 - 0 Yes O No) This amendment approves supplemental funding in the amount of $950,000 and extends the budget period end date until 06130/22. Your award includes the following award restrictions: All funds are restricted pending receipt and approval of an updated budget narrative. Updated budget narrative must be submitted on or before October 11, 2021. GRANTS MANAGEMENT OFFICIAL: Janet Bailey 7th and D Street SW Washington DC, DC 20407 Phone:(202)447-0362 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. 011170130411 b. CWDSTC00007A C. STC d. $950,000.00 e. 70130411 22. a. b. C. d. e. 23. a. b. C. d. e. NOTICE OF AWARD (Continuation Sheet) PAGE 2 of 4 DATE ISSUED 08/11/2021 GRANT NO. 20CWDSTC00007-02-01 Federal Financial Report Cycle Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date 03/04/2020 03/31/2020 Quarterly 04/30/2020 04/01 /2020 06/30/2020 Quarterly 07/30/2020 07/01 /2020 09/30/2020 Quarterly 10/30/2020 10/01/2020 12/31/2020 Quarterly 01/30/2021 01/01/2021 03/31/2021 Quarterly 04/30/2021 04/01/2021 06/30/2021 Quarterly 07/30/2021 07/01/2021 09/30/2021 Quarterly 10/30/2021 10/01/2021 12/31/2021 Quarterly 01/30/2022 01/01/2022 03/31/2022 Quarterly 04/30/2022 04/01/2022 06/30/2022 Quarterly 07/30/2022 07/01/2022 09/30/2022 Quarterly 10/30/2022 10/01/2022 12/31/2022 Quarterly 01/30/2023 01/01/2023 03/31/2023 Quarterly 04/30/2023 04/01 /2023 06/30/2023 Quarterly 07/30/2023 07/01/2023 09/30/2023 Quarterly 10/30/2023 10/01/2023 12/31/2023 Quarterly 01/30/2024 01/01/2024 03/31/2024 Quarterly 04/30/2024 04/01 /2024 06/30/2024 Quarterly 07/30/2024 07/01 /2024 09/30/2024 Quarterly 10/30/2024 10/01/2024 12/31/2024 Quarterly 01/30/2025 01/01/2025 03/31/2025 Quarterly 04/30/2025 04/01/2025 06/30/2025 Quarterly 07/30/2025 07/01/2025 09/30/2025 Quarterly 10/30/2025 10/01/2025 12/31/2025 Quarterly 01/30/2026 01/01/2026 03/31/2026 Quarterly 04/30/2026 04/01/2026 06/30/2026 Quarterly 07/30/2026 07/01/2026 09/30/2026 Quarterly 10/30/2026 10/01/2026 12/31/2026 Quarterly 01/30/2027 01/01/2027 03/31/2027 Quarterly 04/30/2027 04/01 /2027 06/30/2027 Quarterly 07/30/2027 07/01/2027 09/30/2027 Quarterly 10/30/2027 10/01/2027 12/31/2027 Quarterly 01/30/2028 01/01/2028 03/31/2028 Quarterly 04/30/2028 04/01 /2028 06/30/2028 Quarterly 07/30/2028 07/01 /2028 09/30/2028 Quarterly 10/30/2028 10/01/2028 12/31/2028 Quarterly 01/30/2029 01/01/2029 03/31/2029 Quarterly 04/30/2029 04/01/2029 06/30/2029 Quarterly 07/30/2029 07/01 /2029 09/30/2029 Quarterly 10/30/2029 10/01/2029 10/30/2029 Final 01/28/2030 NOTICE OF AWARD (Continuation Sheet) PAGE 3 of 4 DATE ISSUED 08/11/2021 GRANT NO. 20CWDSTC00007-02-01 Performance Progress Report Cycle Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date 03/04/2020 03/31/2020 Quarterly 04/30/2020 04/01 /2020 06/30/2020 Quarterly 07/30/2020 07/01/2020 09/30/2020 Quarterly 10/30/2020 10/01/2020 12/31/2020 Quarterly 01/30/2021 01/01/2021 03/31/2021 Quarterly 04/30/2021 04/01 /2021 06/30/2021 Quarterly 07/30/2021 07/01 /2021 09/30/2021 Quarterly 10/30/2021 10/01/2021 12/31/2021 Quarterly 01/30/2022 01/01/2022 03/31/2022 Quarterly 04/30/2022 04/01/2022 06/30/2022 Quarterly 07/30/2022 07/01 /2022 09/30/2022 Quarterly 10/30/2022 10/01/2022 12/31/2022 Quarterly 01/30/2023 01/01/2023 03/31/2023 Quarterly 04/30/2023 04/01 /2023 06/30/2023 Quarterly 07/30/2023 07/01/2023 09/30/2023 Quarterly 10/30/2023 10/01/2023 12/31/2023 Quarterly 01/30/2024 01/01/2024 03/31/2024 Quarterly 04/30/2024 04/01 /2024 06/30/2024 Quarterly 07/30/2024 07/01/2024 09/30/2024 Quarterly 10/30/2024 10/01/2024 12/31/2024 Quarterly 01/30/2025 01/01/2025 03/31/2025 Quarterly 04/30/2025 04/01/2025 06/30/2025 Quarterly 07/30/2025 07/01 /2025 09/30/2025 Quarterly 10/30/2025 10/01/2025 12/31/2025 Quarterly 01/30/2026 01/01/2026 03/31/2026 Quarterly 04/30/2026 04/01/2026 06/30/2026 Quarterly 07/30/2026 07/01 /2026 09/30/2026 Quarterly 10/30/2026 10/01/2026 12/31/2026 Quarterly 01/30/2027 01/01/2027 03/31/2027 Quarterly 04/30/2027 04/01 /2027 06/30/2027 Quarterly 07/30/2027 07/01 /2027 09/30/2027 Quarterly 10/30/2027 10/01/2027 12/31/2027 Quarterly 01/30/2028 01/01/2028 03/31/2028 Quarterly 04/30/2028 04/01 /2028 06/30/2028 Quarterly 07/30/2028 07/01/2028 09/30/2028 Quarterly 10/30/2028 10/01/2028 12/31/2028 Quarterly 01/30/2029 01/01/2029 03/31/2029 Quarterly 04/30/2029 04/01 /2029 06/30/2029 Quarterly 07/30/2029 07/01 /2029 09/30/2029 Quarterly 10/30/2029 10/01/2029 10/30/2029 lFinal 01/28/2030 NOTICE OF AWARD (Continuation Sheet) PAGE 4 of 4 DATE ISSUED 08/ 11 /2021 GRANT NO. 20CWDSTC00007-02-01 AWARD ATTACHMENTS City of Miami 1. Supplemental Award Letter 20CWDSTC00007-02-01 U.S. Department of Homeland Security Washington, DC 20528 Homeland Security AND 5' August 11, 2021 Lillian Blondet Director, Office of Grants Administration City of Miami Department of Fire - Rescue 444 SW 2nd Avenue, 5t" Floor Miami, FL 33130-1910 RE: Agreement No. 20CWDSTC000007 Dear Ms. Blondet: The Department of Homeland Security (DHS) has approved your Securing the Cities Supplemental Application in the amount of $950,000.00. Your budget period end date has been extended until 6/30/22. All previous terms and conditions remain in effect. Your award includes the following award restrictions: • All funds are restricted pending receipt and approval of an updated budget narrative. Updated budget narrative must be submitted on or before October 11, 2021. If you have questions concerning this award, please contact the appropriate DHS official listed below. Program/Technical matters: Program Officer, Kristina Frierson kristina.Frierson@hq.dhs.gov Desk: 202 254 7216 BB: 202 440 1703 Grant/Fiscal related matters Cc: MMoore@miamigov.com Grant Officer, Ms. Janet Bailey Janet. Bailey@HQ. DHS.GOV Phone: (202) 447-0362 Sincerely, JAN ET T Digitally signed by JANETT BAILEY BAILEY Date: 201.08.1 08:36:41-0400'' Janet Bailey Grants Officer Grants and Financial Assistance Division Office of Procurement Operations Office of the Chief Procurement Officer