HomeMy WebLinkAboutGuidance KitFISCAL YEAR 2009
DISASTER OPERATIONS DIRECTORATE
URBAN SEARCH & RESCUE PROGRAM
GUIDANCE AND APPLICATION KIT
FEBRUARY 2009
U.S. DEPARTMENT OF HOMELAND SECURITY
Title of Opportunity: 97.025 National Urban Search And Rescue (US&R) Response
System
Federal Agency Name: FEMA Grant Programs Directorate (GPD)
Announcement Type: Initial
Dates: Completed application must be submitted no later than 11:59 PM EST, March
20, 2009.
Additional overview information: N/A
CONTENTS
Contents.........................................................................................................................1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION.................................................................................... 3
Part III. ELIGIBILITY INFORMATION............................................................................ 4
A. Eligible Applicants...................................................................................4
B. Cost Sharing............................................................................................ 4
C. Restrictions.............................................................................................. 4
Part IV. APPLICATION AND SUBMISSION INFORMATION ........................................ 5
A. Address to Request Application Package ............................................. 5
B. Content and Form of Application........................................................... 5
C. Submission Dates and Times................................................................. 5
D. Intergovernmental Review......................................................................6
E. Funding Restrictions...............................................................................6
Part V. APPLICATION REVIEW INFORMATION.......................................................... 7
A. Review Criteria......................................................................................... 7
B. Review and Selection Process............................................................... 7
C. Anticipated Announcement and Award Dates ...................................... 7
Part VI. AWARD ADMINISTRATION INFORMATION................................................... 8
A. Notice of Award....................................................................................... 8
B. Administrative and National Policy Requirements ............................... 8
C. Reporting Requirements.......................................................................13
Part VII. FEMA CONTACTS.........................................................................................14
Part VIII. OTHER INFORMATION...............................................................................16
PART I.
FUNDING OPPORTUNITY DESCRIPTION
The U. S. Department of Homeland Security (DHS) and the Federal Emergency
Management Agency (FEMA) maintain a high level of accountability and provides
support and funding to maintain the readiness of the National Urban Search & Rescue
Response System. The purpose of this funding opportunity is to establish yearly
Cooperative Agreements with the 28 state and local emergency management
Sponsoring Agencies currently designated by FEMA as members of the National Urban
Search and Rescue (US&R) Response System.
The Cooperative Agreement funding will assist the US&R Response System resources
to be prepared for mission response and provide qualified personnel in support of
Emergency Support Function -9 (ESF-9) activities under the National Incident
Management System (NIMS) and the National Response Framework (NRF).
Specifically, these Cooperative Agreements will provide a mechanism for distribution of
Cooperative Agreement funding to prepare the 28 designated Task Forces for US&R
disaster response, including response to incidents involving weapons of mass
destruction (WMD) that would require a limited hazmat capability for the core structural
collapse mission, National Special Security Events (NSSE) or other designated
disasters or emergencies. US&R Task Force Sponsoring Agencies are directed to use
the funding to meet the following objectives: provide task force administration and
management, training, equipment cache procurement, and maintenance and storage.
This program is authorized as follows: Homeland Security Act of 2002, as amended,
6 U.S.C. §§ 101 of seq.; Section 634 of the Post -Katrina Emergency Management
Reform Act of 2006, 6 U.S.C. § 722; Sections 303, 306, 403 and 621 of the Robert T.
Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. §§
5144, 5149, 5170b, and 5197; and 44 CFR Part 208.
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AWARD INFORMATION
Only the 28 State and local Sponsoring Agencies currently designated by FEMA as
members of the National US&R Response System are eligible for applying for these
operations and maintenance project Cooperative Agreements. Applications and budget
plans will be reviewed by DHS US&R Program Office and Grant Programs Directorate.
Any issues or concerns noted in the application will be negotiated with the successful
applicant prior to the award being issued. The substantial involvement is provided
under Part Vlll Other Information, Article VII, DHS/FEMA/US&R Program Office
Responsibility.
Award Period of Performance
The period of performance for the Cooperative Agreements is 16 months. Extensions
to the period of performance will be considered only through formal requests to FEMA
with specific and compelling justifications why an extension is required. The period of
performance is anticipated to be May 01, 2009 thru August 31, 2010.
Available Funding
In FY 2009, the total amount of funds distributed under the Cooperative Agreements will
be $1,001,910. The amount of funding per award will range between $1,001,910
and $1,056,910. Cooperative Agreement Awards will be made "Subject to the
Availability" of FY 2009 Funds.
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PART III.
ELIGIBILITY INFORMATION
A. Eligible Applicants
Only the 28 State and local Sponsoring Agencies currently designated by FEMA as
members of the National US&R Response System are eligible for applying for funding
for these operations and maintenance project Cooperative Agreements.
To be eligible to receive FY 2009 Cooperative Agreement funding, applicants must
meet NIMS compliance requirements. See Part Vill, Other Information, Article Vlll,
A.13 for NIMS information. The NIMSCAST will be the required means to report FY
2009 NIMS compliance for FY 2009 award eligibility. Each Sponsoring Agency Task
Force will deal with NIMSCAST thru their State requirements.
B. Cost Sharing
There is no required cost sharing, matching, or cost participation for the FY 2009 US&R
Cooperative Agreements.
C. Restrictions
This Cooperative Agreement may not be used for funding new capital construction.
However, costs associated with leasing, upgrading, minor renovations and modifications
of existing warehouse facilities that do not change the footprint of the structure are
permitted. Refer to Part VIII, Other Information for further guidance.
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PART IV.
APPLICATION AND SUBMISSION
INFORMATION
A. Eligible Applicants
Only the 28 National DHS/FEMA designated Task force Sponsoring Agencies. are
eligible to apply. The Request for Application will be emailed to the eligible applicants
on February 13, 2009. Enter the CFDA and/or the funding opportunity number located
on the cover of this announcement on the required documentation.
B. Content and Form of Application
1. Email/Original application. The application must be completed and submitted
using the following required forms and submissions:
• Standard Form 424, Application for Federal Assistance
• Standard Form 424A, Budget Information
• Standard Form 424B, Assurances
• Standard Form LLL, Disclosure of Lobbying Activities if applicable.
• Any additional Required Attachments as noted.
The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
"National Urban Search and Rescue (US&R) Response System Cooperative
Agreement Program". The CFDA number is 97.025. When completing the application,
applicants should identify their submissions as new, non -construction applications.
2. DUNS number. The applicant must provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their application. This number is a required
field. Organizations should verify that they have a DUNS number, or take the steps
necessary to obtain one, as soon as possible. Applicants can receive a DUNS
number at no cost by calling the dedicated toll-free DUNS Number request line at
(866) 705-5711.
C. Submission Dates and Times
The applications should be sent via email to the FEMA-USR-GRANTS mailbox (as
described in Appendix E) and the documents that require signature should be sent via a
priority mail carrier to the following address:
DHS/FEMA
Grant Programs Directorate
Attn: Arlene Ramsey
500 C Street, SW -
Room gtn Floor - Tech World
Washington, DC 20472
Completed applications must also be submitted electronically to the Grants
Management System (GMS) no later than 11:59 PM EST, March 20, 2009. Additional
information and instruction will be provided.
D. Intergovernmental Review
This program is exempt from Executive Order 12372.
E. Funding Restrictions
This Cooperative Agreement may not be used for funding new capital construction.
However, costs associated with leasing, upgrading, minor renovations and modifications
of existing warehouse facilities that do not change the footprint of the structure are
permitted. Refer to Part VIII, Other Information for further guidance.
N.
PART V.
APPLICATION REVIEW INFORMATION
A. Review Criteria
The applications will be reviewed to ensure the items listed have costs that are
reasonable, allowable, and allocable to the program. Any questions will be submitted to
the applicants for discussion. This is not a competitive program.
B. Review and Selection Process
The applications will be reviewed by the USBR Program Office and the Grant Programs
Directorate, and the award will be made by the Grant Programs Directorate Assistance
Officers.
C. Anticipated Announcement and Award Dates
FEMA will evaluate the applications upon receipt and all the Cooperative Agreements
will be awarded on or before May 01, 2009. Congressional Notification is required prior
to FEMA issuing awards in excess of $1 M.
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PART VI.
AWARD ADMINISTRATION INFORMATION
A. Notice of Award
Upon approval of the applications, the Cooperative Agreements will be awarded to the
28 designated FEMA US&R Sponsoring Agency recipients. The date that the
documents are signed is the "award date." Once an award has been approved, a notice
is sent to the authorized grantee official. Follow the directions in the notification award
letter. The authorized grantee official should carefully read the award and special
condition documents. If you do not receive a notification, please contact your Program
Analyst for your award number. Once you have the award number, contact the GMS to
get the new award documents.
The period of performance is 16 months. Extensions to the period of performance will
be considered only through formal requests to FEMA with specific and compelling
justifications why an extension is required. Any unobligated funds will be de -obligated
at the end of the 90 day close-out period.
B. Administrative and National Policy Requirements
1. Standard Financial Requirements. The grantee shall comply with all applicable
laws and regulations. A non-exclusive list of regulations commonly applicable to
DHS grants are listed below:
1.1 --Administrative Requirements.
• 44 CFR Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments (FEMA's
codified version of OMB Circular A-102)
• 2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Non -Profit Organizations (OMB Circular A-110)
1.2 -- Cost Principles.
• 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A-87)
• 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular
A-21)
• 2 CFR Part 230, Cost Principles for Non -Profit Organizations (OMB
Circular A-122)
• Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles
and Procedures, Contracts with Commercial Organizations
1.3 -- Audit Requirements.
• OMB Circular A-133, Audits of States, Local Governments, and Non -Profit
Organizations
1.4 -- Duplication of Benefits. There may not be a duplication of any federal
assistance, per A-87, Basic Guidelines Section C.3 (c), which states: Any cost
allocable to a particular Federal award or cost objective under the principles
provided for in this Circular may not be charged to other Federal awards to
overcome fund deficiencies, to avoid restrictions imposed by law or terms of the
Federal awards, or for other reasons. However, this prohibition would not
preclude governmental units from shifting costs that are allowable under two or
more awards in accordance with existing program agreements.
2. Non -supplanting Requirement. Grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Applicants or grantees may be required to supply documentation
certifying that a reduction in non -Federal resources occurred for reasons other than
the receipt or expected receipt of Federal funds.
3. Administrative Requirements.
3.1 -- Freedom of Information Act (FOIA). FEMA recognizes that much of the
information submitted in the course of applying for funding under this program or
provided in the course of its grant management activities may be considered law
enforcement sensitive or otherwise important to national security interests. While
this information under Federal control is subject to requests made pursuant to the
Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning
the release of information of this nature are made on a case-by-case basis by the
FEMA FOIA Office, and may likely fall within one or more of the available
exemptions under the Act. The applicant is encouraged to consult its own State
and local laws and regulations regarding the release of information, which should
be considered when reporting sensitive matters in the grant application, needs
assessment and strategic planning process. The applicant may also consult
FEMA regarding concerns or questions about the release of information under
State and local laws. The grantee should be familiar with the regulations
governing Sensitive Security Information (49 CFR Part 1520), as it may provide
additional protection to certain classes of homeland security information.
3.2 -- Compliance with Federal civil rights laws and regulations. The
grantee is required to comply with Federal civil rights laws and regulations.
Specifically, the grantee is required to provide assurances as a condition for
receipt of Federal funds that its programs and activities comply with the following:
Title VI of the Civil Rights Act of 1964, as amended, 42. U. S. C. 2000 et.
seq. — no person on the grounds of race, color, or national origin will be
VJ
Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S. C. 794
— no qualified individual with a disability in the United States, shall, by
reason of his or her disability, be excluded from the participation in, be
denied the benefits of, or otherwise be subjected to discrimination in any
program or activity receiving Federal financial assistance.
• Title IX of the Education Amendments of 1972, as amended, 20 U.S. C.
1681 et. seq. — discrimination on the basis of sex is eliminated in any
education program or activity receiving Federal financial assistance.
• The Age Discrimination Act of 1975, as amended, 20 U.S. C. 6101 et. seq.
— no person in the United States shall be, on the basis of age, excluded
from participation in, denied the benefits of or subjected to discrimination
under any program or activity receiving Federal financial assistance.
Grantees must comply with all regulations, guidelines, and standards
adopted under the above statutes.
3.3 -- Compliance with the National Energy Conservation Policy and Energy
Policy Acts. In accordance with the Consolidated Security, Disaster Assistance,
and Continuing Appropriations Act, 2009 (Public Law 110-329), grant funds must
comply with the following two requirements:
None of the funds made available shall be used in contravention of the
Federal buildings performance and reporting requirements of
Executive Order 13123, part 3 of title V of the National Energy
Conservation Policy Act (42 USC 8251 et. Seq.), or subtitle A of title I
of the Energy Policy Act of 2005 (including the amendments made
thereby).
• None of the funds made available shall be used in contravention of
section 303 of the Energy Policy Act of 1992 (42 USC13212).
3.4 -- Environmental and Historic Preservation Compliance. FEMA is
required to consider the potential impacts to the human and natural environment
of projects proposed for FEMA funding. FEMA, through its Environmental and
Historic Preservation (EHP) Program, engages in a review process to ensure that
FEMA -funded activities comply with various Federal laws including: National
Environmental Policy Act, National Historic Preservation Act, Endangered
Species Act, and Executive Orders on Floodplains (11988), Wetlands (11990)
and Environmental Justice (12898). The goal of these compliance requirements
is to protect our nation's water, air, coastal, wildlife, agricultural, historical, and
cultural resources, as well as to minimize potential adverse effects to children
and low-income and minority populations.
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The grantee shall provide any information requested by FEMA to ensure
compliance with applicable Federal EHP requirements. Any project with the
potential to impact EHP resources cannot be initiated until FEMA has completed
its review. Grantees may be required to provide detailed information about the
project, including the following: location (street address or map coordinates);
description of the project including any associated ground disturbance work,
extent of modification of existing structures, construction equipment to be used,
staging areas, access roads, etc.; year the existing facility was built; natural,
biological, and/or cultural resources present in the project vicinity; visual
documentation such as site and facility photographs, project plans, maps, etc;
and possible project alternatives.
For certain types of projects, FEMA must consult with other Federal and State
agencies such as the U.S. Fish and Wildlife Service, State Historic Preservation
Offices, and the U.S. Army Corps of Engineers, as well as other agencies and
organizations responsible for protecting natural and cultural resources. For
projects with the potential to have significant adverse effects on the environment
and/or historic properties, FEMA's EHP review and consultation may result in a
substantive agreement between the involved parties outlining how the grantee
will avoid the effects, minimize the effects, or, if necessary, compensate for the
effects.
Because of the potential for significant adverse effects to EHP resources or
public controversy, some projects may require an additional assessment or
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA's EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
result of the EHP review. Any change to the approved project scope of work will
require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation
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Office. Any construction activities that have been initiated without the
necessary EHP review and approval will result in a non-compliance finding
and will not eligible for FEMA funding.
For more information on FEMA's EHP requirements, SAAs should refer to
FEMA's Information Bulletin #271, Environmental Planning and Historic
Preservation Requirements for Grants, available at
http:1/oip.usdot.gov1odo1docs1'1nfo271.pdf. Additional information and resources
can also be found at http://www.fema.gov/plan/ehp/ehp-applicant-heio.shtm.
3.5 -- Royalty -free License. Applicants are advised that FEMA reserves a
royalty -free, non-exclusive, and irrevocable license to reproduce, publish, or
otherwise use, and authorize others to use, for Federal government purposes: (a)
the copyright in any work developed under an award or sub -award; and (b) any
rights of copyright to which an award recipient or sub -recipient purchases
ownership with Federal support. Award recipients must agree to consult with
FEMA regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
3.6 -- FEMA Publications Statement. Applicants are advised that all
publications created with funding under any grant award shall prominently
contain the following statement: "This document was prepared under a
cooperative agreement from FEMA, U.S. Department of Homeland Security.
Points of view or opinions expressed in this document are those of the authors
and do not necessarily represent the official position or policies of FEMA or the
U.S. Department of Homeland Security."
3.7 -- Equipment Marking. Applicants are advised that, when practicable, any
equipment purchased with grant funding shall be prominently marked in
accordance with 44 CFR Part 13 and included the following: "Purchased with
funds provided by the Federal Emergency Management Agency (FEMA)."
3.8 -- Disadvantaged Business Requirement. Applicants are advised that, to
the extent that recipients of a grant use contractors or subcontractors, such
recipients shall use small, minority, women -owned or disadvantaged business
concerns and contractors or subcontractors to the extent practicable.
3.9 — Assessment Evaluation/Data Collection Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. Award
recipients must agree to cooperate with any assessments, national evaluation
efforts, or information or data collection requests, including, but not limited to, the
provision of any information required for the assessment or evaluation of any
activities within their grant agreement. This includes any assessments, audits, or
investigations conducted by the Department of Homeland Security, Office of the
Inspector General, or the Government Accountability Office.
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C. Reporting Requirements
Reporting requirements must be met throughout the life of the grant (refer to the
program guidance under Part VIII Other Information, Article IX Reporting and the
special conditions found in the award package for a full explanation of these
requirements.
Monitoring
Grant recipients will be monitored periodically by FEMA staff, both programmatically
and financially, to ensure that the project goals, objectives, performance requirements,
timelines, milestone completion, budgets, and other related program criteria are being
met. Programmatic monitoring may also include the Regional Federal Coordinators,
when appropriate, to ensure consistency of project investments with Regional and
National goals and policies, as well as to help synchronize similar investments ongoing
at the Federal, State, and local levels.
Monitoring will be accomplished through a combination of office -based reviews and on-
site monitoring visits. Monitoring will involve the review and analysis of the financial,
programmatic, performance and administrative issues relative to each program and will
identify areas where technical assistance and other support may be needed.
The recipient is responsible for monitoring award activities, to include sub -awards, to
provide reasonable assurance that the Federal award is administered in compliance
with requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining adequate financial records, and refunding
expenditures disallowed by audits.
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PART VI1.
FEMA CONTACTS
1. Grant Programs Directorate (GPD). FEMA GPD will provide fiscal support,
including pre- and post -award administration and technical assistance, to the grant
programs included in this solicitation. Additional guidance and information can be
obtained by contacting the Grants Office FEMA Call Center at (866) 927-5646 or via
e-mail to ASK-GMDCa_dhs.gov.
The Points of Contact from the US&R Program Office for Program Questions are:
Catherine Dee[: (202) 646-3796
Email: Catherine.deel(cbdhs.gov
Marilynn Grim: (202) 646-4251
Email: Marilyn n.grim dhs.gov
2. GSA's State and Local Purchasing Programs. The U.S. General Services
Administration (GSA) offers two efficient and effective procurement programs for
State and local governments to purchase products and services to fulfill homeland
security and other technology needs. The GSA Schedules (also referred to as the
Multiple Award Schedules and the Federal Supply Schedules) are long-term,
indefinite delivery, indefinite quantity, government -wide contracts with commercial
firms of all sizes.
• Cooperative Purchasing Program
Cooperative Purchasing, authorized by statute, allows State and local
governments to purchase a variety of supplies (products) and services under
specific GSA Schedule contracts to save time, money, and meet their
everyday needs and missions.
The Cooperative Purchasing program allows State and local governments to
purchase alarm and signal systems, facility management systems, firefighting
and rescue equipment, law enforcement and security equipment, marine craft
and related equipment, special purpose clothing, and related services off of
Schedule 84 and Information Technology products and professional services
off of Schedule 70 and the Consolidated Schedule (containing IT Special Item
Numbers) only. Cooperative Purchasing for these categories is authorized
under Federal law by the Local Preparedness Acquisition Act (Public Law
14
110-248) and Section 211 of the E -Government Act of 2002 (Public Law 107-
347).
Under this program, State and local governments have access to GSA
Schedule contractors who have voluntarily modified their contracts to
participate in the Cooperative Purchasing program. The U.S. General
Services Administration provides a definition of State and local governments
as well as other vital information under the frequently asked questions section
on its website at htt.-Ilwww.gsa.govlcooperativepurchasing.
Disaster Recovery Purchasing Program
GSA plays a critical role in providing disaster recovery products and services
to Federal agencies. Now State and Local Governments can also benefit
from the speed and savings of the GSA Federal Supply Schedules.
Section 833 of the John Warner National Defense Authorization Act for Fiscal
Year 2007 (Public Law 109-364) amends 40 U.S.C. §502 to authorize GSA to
provide State and Local governments the use of ALL GSA Federal Supply
Schedules for purchase of products and services to be used to facilitate
recovery from a major disaster declared by the President under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act or to facilitate
recovery from terrorism or nuclear, biological, chemical, or radiological
attack.
GSA provides additional information on the Disaster Recovery Purchasing Program
website at http:llwww.gsa.govldisasterrecovery.
State and local governments can find a list of contractors on GSA's website,
http:ilwww.gsaelibrary.gsa.gov, denoted with arURCH orisymbol.
Assistance is available from GSA on the Cooperative Purchasing and Disaster
Purchasing Program at the local and national levels. For assistance at the local
level, visit httD:/iwww.gssa_..ovicsd to find a local customer service director in your
area. For assistance at the national level, contact Tricia Reed at
tricia.reed( ),gsa.gov, (571) 259-9921. More information is available on all GSA
State and local programs at: www.gsa.gov/stateandlocal.
Note: FEMA has spoken with GSA regarding the use of Disaster Recovery Purchasing
by National Urban Search and Rescue System Task Forces to repair and replace items
in the standard equipment cache. Since any anticipated response by a US&R Task
Force would involve recovery from a Stafford Act event, terrorism, or nuclear, biological,
chemical, or radiological attack, Task Forces are permitted to use Disaster Recovery
Purchasing both before and after an event has occurred, even if there is no immediately
anticipated event. Task Forces are not permitted to use Disaster Recovery Purchasing
for items that are intended solely for use during training exercises, as such activities do
not directly aid recovery efforts.
15
a
PART VIII. FEM ''`
'�'4Nb SEC
OTHER INFORM A ION
This section includes the full Urban Search & Rescue FY 2009 Guidance.
National Urban Search and Rescue Response System
US&R Task Force FY 2009 Readiness Cooperative Agreement
I. PURPOSE
The purpose of this Readiness Cooperative Agreement is to continue the
development and maintenance of National Urban Search and Rescue (US&R)
Response System resources to be prepared for mission response and to provide
qualified personnel in support of Emergency Support Function -9 (ESF-9) activities
under the National Incident Management System (NIMS) and the National Response
Framework (NRF).
Specifically, this agreement provides a mechanism for distribution of Cooperative
Agreement funding for certain purposes in preparation for US&R disaster response;
including response to incidents involving weapons of mass destruction (WMD) that
would require a limited hazmat capability for the core structural collapse mission,
National Special Security Events (NSSE) or other designated disasters or emergencies.
Funds are made available to accomplish the accompanying objectives. This
Cooperative Agreement allows each Sponsoring Agency of a US&R Task Force the
opportunity to maintain a high standard and condition of operational readiness and
includes guidance on key areas for Task Force management to focus on continued
preparedness efforts.
The U. S. Department of Homeland Security (DHS) and the Federal Emergency
Management Agency (FEMA) maintains a high level of accountability and provides
support and funding to maintain the readiness of the National US&R Response System.
US&R Task Force Sponsoring Agency is directed to use the funding to meet the
following objectives: provide administrative and program management, training,
support, equipment cache procurement, maintenance and storage.
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II. BACKGROUND
DHS/FEMA, in cooperation with other Federal, State and local agencies created the
National US&R Response System to provide a national rescue capability that provides
lifesaving resources to victims of structural collapse. When this system was developed
in 1990, there was limited capability in only a few States to perform this mission and no
resources were available for a coordinated national response.
In 1992, the Federal Response Plan (FRP) was published by FEMA and coordinated
activities with 26 Federal agencies. The Federal government's response to disasters
was classified into 12 Emergency Support Functions (ESF). ESF-9, Urban Search and
Rescue, was established with FEMA as the Primary Agency. FEMA maintains a
national consensus on standard operating procedures, organizational structure,
equipment, training and exercise requirements. Currently, 28 state and local
Sponsoring Agencies in 19 states participate in the National US&R Response System
by making their Task Forces available for national disaster response.
DHS/FEMA had no organic heavy rescue capability of its own and realized the best
sources for US&R knowledge and skills reside at the State and local level. The National
US&R Response System was developed and continues as a Federal—Stat&Aocal
partnership, based on a Memorandum of Agreement (MOA) and individual Response
and Readiness Cooperative Agreements. While the MOAs provide the basic
operational "Agreement" between DHS/FEMA, the State and Sponsoring Agency, the
individual Readiness Cooperative Agreement provides the mechanism for distributing
Federal funds to the Sponsoring Agencies of the 28 US&R Task Forces for continued
readiness efforts.
In December 2004, the National Response Plan (NRP) was published by DHS which
integrates the Federal Response Plan into the NRF. NRP has since been updated in
January 2008 and is now referred to as the National Response Framework (NRF). At
this time, ESF-9 was expanded to include urban, water -borne, wide area, aerial, and
land-based search and rescue.
III. DHS/FEMA OBJECTIVES
1. Provide funding to US&R Sponsoring Agencies to manage and administer Task
Force affairs and activities in accordance with accepted standard business
practices.
2. Provide funding to train and exercise Task Force members and other National
US&R Response System personnel to safely perform assigned US&R duties in
accordance with established FEMA/US&R approved standards and guidance.
3. Provide funding to acquire and maintain the equipment in accordance with the
US&R Equipment Cache List as approved by the FEMA US&R Program Office.
17
4. Provide funding for the lease of space to provide offices, training facilities and/or
storage of vehicles and equipment, as needed.
5. Based on available funding, continue readiness and standby activities to respond
to any mobilization request, for example: NSSE.
6. Host an annual Sponsoring Agency Chief/Head meeting to provide a forum for
discussion on strategic issues with the DHS/FEMA Administrator.
7. Provide funding to maintain National US&R System to be prepared for mission
response.
IV. APPROVALS
Advance approval must be obtained in writing from both the US&R Program Office and
the FEMA Grants Assistance Officer for the following (in accordance with Grants
Management Policy and 44 CFR Part 13 and 2 CFR Part 215):
• Approval for activities or expenditures not identified in the Task Force
narrative and budget, but are allowable within the scope of work for this
Cooperative Agreement (i.e., budget changes);
• Requests for extension of the period of performance for this Cooperative
Agreement
• Requests for spending Cooperative Agreement funds prior to the beginning of
this period of performance ("pre -award costs")
Unauthorized expenditures may be denied and required to be reimbursed to
DHS/FEMA. Use of Cooperative Agreement funds provided through this agreement for
any activity that occurs outside the United States and its territories, is prohibited unless
authorized by the US&R Program Office, FEMA Grants Office and FEMA International
Affairs prior to incurring costs for the activity.
V. APPLICABLE LAWS AND POLICIES/ORDER OF PRECEDENCE
This award is subject to the laws and regulations of the United States. This Cooperative
Agreement incorporates the terms and requirements of any applicable Agency policies
and all US&R Program Directives issued by the US&R Program Office, including those
issued during the term of this Cooperative Agreement.
Any inconsistency or conflict in terms and conditions specified in the award will be
resolved according to the following order of precedence: public laws, regulations
(including the US&R Interim -Final Rule at 44 CFR Part 208), applicable notices
published in the Federal Register, Executive Orders, OMB Circulars, agency award
conditions, the terms and conditions of the Sponsoring Agency's Memorandum of
Agreement with FEMA, applicable DHS and FEMA policies, and US&R Program
Directives.
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Some of the terms and conditions contained herein may contain, by reference or
substance, a summary of the pertinent statutes, regulations, Executive Orders, or OMB
Circulars. To the extent that it is a summary, such provision is not in derogation of, or
an amendment to, any such statute, regulation, Executive Order, or OMB Circular.
VI. COOPERATIVE AGREEMENT FUNDING
The FY 2009 Cooperative Agreements basic total for each Task Force is $1,001,910.
The US&R Program Office recommended and/or required allocations are outlined in
Appendix A of this document. Additional funds allocated to specific Task Forces are
outlined in Appendix B and C of this document.
Each Task Force can apply for up to the amount allocated to their agency as shown in
Appendix B. All Sponsoring Agencies must submit supporting documentation with each
application.
The Period of Performance for the FY 2009 Readiness Cooperative Agreement funding
is sixteen (16) months and is specifically identified in the Agreement Articles. Each
Task Force should submit budget plans covering only 12 months for salary expenses,
lease costs and scheduled training costs within the period of performance. However, the
16 month performance period is available for internal acceptance of funds and
procurement of equipment and supplies.
VII. DHS/FEMA/US&R PROGRAM OFFICE RESPONSIBILITY
Review, approve, and adopt US&R-related products, including technical
manuals, operational procedures, training curriculum and supporting manuals,
meeting agendas and other requirements for the National US&R Response
System.
2. Coordinate and support meetings relating to the National US&R Response
System activities, to develop and implement policies, procedures and US&R
System documents.
3. Establish and disseminate policy and Program Directives for the National US&R
Response System based on 44 CFR Part 208 and with substantial involvement
and input from the Advisory Organization.
4. Determine annual funding levels for readiness activities.
5. Based on need and available funding, purchase equipment and deliver to US&R
Task Forces.
IV
6. Review and/or approve expenditure reports, performance reports, personnel
records, training records, Task Force self-evaluation documents, equipment
cache and excess property inventories and other deliverables required by the
US&R Program Office.
7. Approve in writing, in conjunction with the Grants Assistance Officer, any cost
deviations from those outlined in this agreement or from other DHS/FEMA
established policies.
8. Approve and implement the policy, criteria and procedure for Task Force
evaluations. The Program Office will distribute annual Task Force self-evaluation
survey on or about March 1St, for completion by the Task Forces. Conduct a
readiness evaluation process to include annual Task Force self -evaluations and
periodic on-site peer Operational Readiness Evaluations (GREs).
9. Track, disseminate, and consistently update the status of Operations and Work
Group recommendations to all System components.
VIII. SPONSORING AGENCY RESPONSIBILITY AND REQUIREMENTS
Under this Readiness Cooperative Agreement, the Sponsoring Agency may use funding
to prepare the Task Forces under the following categories:
A. ADMINISTRATION AND MANAGEMENT
1. Provide sufficient staff for management and administration of the US&R Task
Force day-to-day activities to accomplish required supervisory, administrative,
training and logistical duties; specifically program management, grants
management, financial management, administrative support, training
coordination and instruction, logistics management and property accountability.
This shall include, but is not limited to, funding salaries and expenses relating to
Task Force development and management; record-keeping, inventory and
maintenance of the US&R Equipment Caches; correspondence with Task Force
members and parties who support Task Force activities; along with similar
management and administrative tasks.
2. Purchase of office furniture and equipment specifically for administrative
purposes are allowable under this Cooperative Agreement. This shall include,
but is not limited to, laptop and desktop computers, cellular telephones/wireless
PDAs, printers, scanners, copy machines, desks, book shelves, etc.
3. Recruit, train and maintain a roster of personnel to enable complete staffing of a
Type I or Type III Task Force. These positions shall be staffed from within the
respective Task Force organization (unless prior approval is given by the
Program Office), The current staffing level shall be a maximum 210 rostered, to
include a minimum of 140 deployable personnel, with up to 10% staffing
maximum overage allowable to address individual Task Force needs (e.g.,
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attrition, IST members). The recommended standard level for a deployable Task
Force is a minimum of two deep at each of the positions required for a Type I
configuration.
4. Ensure each Task Force member meets the necessary license, certification or
other professional qualification requirements of their assigned position. Further
ensure that that the Task Force has the necessary documentation on file to verify
this information.
5. Based on available funding, the US&R Program Office may activate Task Forces
for activities associated with scheduled NSSEs. Task Forces activated under
this section will be notified in advance, through written activation orders that will
provide authorization for travel and to carryout activities of the required
operations. Prior to any activities under this section, the US&R Program Office
will request cost estimates from identified Task Forces. This item would be
funded separately from annual Cooperative Agreement funding, but could be
either an amendment to this Cooperative Agreement or the Response
Cooperative Agreement.
6. Based on approval by the US&R Program Office and available funding, Task
Forces can use funds to cover salary and travel for product research and
development efforts, thereby keeping apprised of cutting edge technology for
equipment used within the System.
7. Task Forces may use funds to cover salary and travel for the purpose of Task
Force personnel to collaborate with a Federal, State US&R system asset(s) or
other emergency responders to enhance the capabilities of the US&R system.
8. Ensure each Task Force is prepared for ongoing OREs and completes an
internal self-evaluation operational readiness and preparedness survey in
accordance with US&R specifications. The self-evaluation is an annual
requirement. The requirement is for only one per calendar year. The Task
Forces will complete a self-evaluation survey, provided by the US&R Program
Office. The completed electronic copy of the self-evaluation shall be submitted to
the US&R Branch Chief by June 1 (or when otherwise directed by the US&R
Program Office).
9. By June 1St, submit to DHS/FEMA Program Office the following items on one
compact disk (CD):
a. A current database of Task Force Personnel, in a format provided by the
Program Office
b. A current US&R Task Force Equipment cache database in a Microsoft -
compatible database format. This database shall include both caches.
c. A current Time -Phased Force Deployment Data (TPFDD) Form ("Aircraft
Loading Data"), in a format provided by the Program Office.
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10. When authorized by the US&R Program Office, ensure funds are properly
allocated, accounted for, and reported for those Task Force members who serve
as the Operations Group Chair, Work Group Chairs, Sub -Group Chairs and Task
Force Leader Representatives. These funds are intended to defray personnel
salary, backfill, travel and other administrative costs associated with these
positions for assigned Task Forces in accordance with Appendices C and D.
11. Ensure timely reporting of expenditures for readiness activities carried out under
this agreement and timely delivery of Cooperative Agreement reporting. Refer to
Section IX, Reporting.
12. As funding allows, ensure personnel salaries and expenses relating to Task
Force administration, development and training preparedness activities are paid
in accordance with established Sponsoring and Participating Agency
policies/practices and in a timely manner, but no later than 120 days after
completion of a training exercise. Appropriate personnel records are to be
kept in accordance with 44 CFR Part 13 (FEMA's codified version of OMB
Circular A-102), and 2 CFR Part 215 (OMB Circular A-110).
13. NIMS compliance as required by the Department of Homeland Security policy:
Compliance with the NIMS is a condition for award of this Cooperative
Agreement as outlined in Homeland Security Presidential Directive 5, Managing
Domestic Incidents. Sponsoring Agencies must comply with the NIMS
Implementation Activities established annually by FEMA. Sponsoring Agencies
must report NIMS compliance activities in accordance with State and local NIMS
guidance. Additionally, a certificate of completion for each required course must
be located in each US&R task force member's personnel file for each required
course. The following independent study courses are required for all task force
members: IS -100, IS -200, IS -700 and IS -800. State offered NRF NIMS or
equivalent certificates may be substituted for those courses offered on the FEMA
NIMS website provided they meet Federal NIMS standards. Forfurther
information on compliance and guidance, refer to the following website:
http://www.fema.aov/emergency/nims/index.shtm.
14. Attend DHS/FEMA-sponsored or DHS/FEMA-approved US&R meetings,
conferences, and training sessions, to include Task Force Leader meetings, the
12 standing US&R Work Groups, Operations Group, Ad Hoc Work Groups and
Sub -Groups, IST training/meetings, workshops, Sponsoring Agency Chief/Head
Meetings or others as directed by the US&R Program Office as they relate to the
National US&R Response System. Other activities include on-site peer ORE of
other Task Forces, quality assurance oversight of FEMA -sanctioned training
courses, training with other Task Forces, grants management training, SUSAR
Alliance meetings and activities, and research and development for equipment,
as directed by the US&R Program Office. The US&R Program Office is allocating
certain funds as identified in Appendix A for travel. All travel funds should be
accounted for under Management and Administration and/or Training at the Task
Force level.
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15. With the identified Medical Screening subcategory amount of $50,000, provide
complete medical evaluations and immunizations to as many Task Force
members as possible (as defined by the US&R Medical Work Group). Medical
screening should be conducted, at a minimum, on a triennial basis for each Task
Force member. The medical evaluation shall become part of their personal
medical record. Please refer to US&R Program Directive 2005-008, Task Force
Medical Screening or a more current directive issued by the US&R Program
Office.
B. TRAINING
Provide US&R-related or US&R-required training for Task Force personnel,
including the delivery of local US&R training courses or other courses specifically
required by the US&R Position Descriptions or the US&R Program Office.
Implementation of US&R Program Directive 2008-005 shall begin utilizing FY09
Cooperative Agreement funds, with the expectation of completion by the close of
the FY10 Period of Performance.
2. As funding permits, conduct at least one Task Force mobilization or deployment
exercise each Cooperative Agreement period of performance. Task Forces are
encouraged to exercise as many Task Force members as possible each
calendar year per cooperative agreement. A Federal Task Force deployment
during the period of performance would satisfy this requirement, as long as the
Activation Order is filed with the Cooperative Agreement. Non -Federal Task
Force deployments could satisfy this requirement, but must be authorized by the
Program Office in writing. If a Task Force is deployed, those funds originally -set
aside for a deployment exercise may then be used for other US&R approved
items within the same budget category. This change must be addressed in their
Semi -Annual Performance Report. A budget change is only required when funds
are moved to another program budget category.
3. File an after -action report within 90 days of the completion of a mobilization or
deployment exercise or a training activity with duration of more than 24
consecutive hours. Send the report to the attention of the US&R Branch Chief
and written in a format where lessons learned may be shared with other task
forces in the National US&R Response System.
4. Ensure training and exercise activities of the Task Force meet National US&R
Response System standards, requirements and certifications. Ensure training
records for all Task Force personnel are kept in a central, secure location.
5. Provide funding for expenses related to the acquisition, maintenance, training
and certification of US&R Canine Search Teams. This statement is not related to
the funding provided to host Canine Evaluations.
6. When authorized, ensure funds are distributed in support of Task Forces hosting
a Canine Evaluation, as stated in accordance with Canine Evaluation schedules
identified in Appendix F. When funding for the Canine evaluations exceeds
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actual costs, the excess allocated funds may be redirected to other US&R
Program activities that support the Task Force's Canine program under Item 5. If
remaining funds are used to cover costs under Section VIII, A, Item 14, include
items and their cost in their Semi -Annual Performance Report submission.
7. Provide third party Grants Management Training to assigned Task Force Grant
Managers and Assistants who have not previously attended training. Grant
Management Training is mandatory for all US&R Grants Managers and
Assistants. Grant Management Training is optional, but highly recommended, for
US&R Program Managers and other key personnel assigned to US&R
administrative duties. Personnel should attend training from a facility that
provides a "Grants Certificate Program". The Task Force shall submit
information regarding the program or classes to the Grants Assistance Officer for
written approval prior to registering or attending any classes. Personnel
attending this training shall take a minimum of four (4) courses or they may
complete the Certificate Program. The Grants Assistance Officer may be
contacted for further information on classes offered. Examples of some Grants
Management courses offered are as follows:
a. Managing Federal Grants and Cooperative Agreements for Recipients,
b. Uniform Administrative Requirements: OMB Circular A-102 and 2 CFR
Part 215
c. Cost Principles: 2 CFR Part 220 (A-21), 225 (A-87), 230 ((A-122), and
FAR 31.2
d. Applying for Federal Grants and Cooperative Agreements
e. How to Prepare the Application Budget
f. Business Management Systems for Recipients
g. Audit of Federal Grants and Cooperative Agreements.
8. Provide Microsoft (MS) Access database and MS Excel training, as needed to
US&R Logistics and Program Management personnel to maintain personnel,
equipment, grant, financial and accountability records. Program Managers are
authorized to use readiness funding to provide "beginner', "intermediate" and
"advanced" MS Access Database and MS Excel training to Program
Management personnel.
C. EQUIPMENT
The Sponsoring Agency is authorized to purchase equipment as listed in the
most current approved DHS/FEMA Task Force Equipment Cache List. Task
Force personnel are reminded and directed not to exceed quantity caps as listed
on the cache list and the current manufacturer's suggested retail price (with
documentation), unless prior approval is received by the US&R Program Office.
Task Forces must follow Sponsoring Agency procurement regulations, which are
in accordance with 44 CFR Part 13 or 2 CFR Part 215 to ensure reasonable
prices are obtained. Special consideration is given to Task Forces to purchase
other equipment items in support of training, administrative, and
warehouse/maintenance needs. Any other equipment not specified above can
only be purchased after receiving written approval from the Program Office.
24
2. When funding is provided, ensure that funds are made available to purchase and
maintain medical response kits for the IST Medical Unit Leaders assigned to the
Task Force. Specific Task Forces identified in Appendix C, are provided funds
in the amount of $800 for maintenance of assigned IST Medical Caches. The
funding for the IST Medical Cache is to provide for replacement of equipment or
pharmaceuticals as recommended by the IST Medical Unit Leader. Cooperative
Agreement regulations apply to these funds and shall not be transferred to a
Participating Agency.
3. All equipment must be tracked as to its origin. Equipment that is procured
with this Cooperative Agreement funding shall be identified with the source,
cache list number and Cooperative Agreement number, in accordance with
44CFR, Part 13 or 2 CFR Part 215. Additionally, Federal equipment shall be
properly identified as to the ownership and funding source (including Agency
name and Cooperative Agreement number or Disaster/contract number). The
tracking can be accomplished through procurement documents, through fields in
a database, or spreadsheet. It is the responsibility of each Task Force to
develop a method of tracking in accordance with this section. However, it should
be a system that will easily and quickly identify the information. Additionally, all
procurement records and receipts should be cross-referenced and coded with
the Cooperative Agreement number, cache list item number, Statement of Work
section, or source of origin, or a system to easily and quickly identify the
information.
4. No transportation equipment is authorized for purchase as part of this
Cooperative Agreement unless authorized by the US&R Branch Chief and
Grants Assistance Officer in writing.
5. Equipment and prime mover vehicles purchased with Federal funds or provided
by DHS/FEMA shall be for the use of the US&R Program and shall not be used
for normal day-to-day operations of the Sponsoring or Participating
Agency. However, this requirement does not preclude the Sponsoring Agency
from using this equipment or vehicles on a local, regional or State disaster
response or under other exceptional circumstance. The US&R Branch Chief
shall be notified immediately in writing of any exceptional use of the two US&R
Equipment Caches that diminish the response capability of the Task Force, The
Sponsoring Agency is responsible for replacement, re -supply and or repair of
equipment used or consumed during activities not associated with the National
US&R Response System and return to an immediate state of readiness.
6. Task Forces are not authorized to purchase equipment with funds
authorized through the DHS/FEMA Assistance to Firefighters Grant
Program. However, this does not prevent the Sponsoring Agency from applying
to the DHS/FEMA Assistance to Firefighters Grant Program for other costs or
items not associated with the US&R Program.
25
7. Title for the original cache, vehicles, and all equipment purchased under the
Cooperative Agreements reside with the Task Forces (44 CFR Part 13).
8. Title to the new DHS (i.e., "Second Cache") Equipment Cache purchased and
distributed to the Task Forces by FEMA resides with DHS/FEMA.
9. Title for any equipment purchased under this Cooperative Agreement directly by
a Task Force shall reside with the Task Force.
10. Should the Task Forces transfer, sell, or scrap any of the equipment and/or
vehicles, they are required to first ask for prior written approval and disposition
instructions from the US&R Program Office and Grants Assistance Officer
according to current Federal regulations (in accordance with 44 CFR 13.32(e)
and FEMA Manual 6150. 1, dated July 1996, or current edition at time of
disposition).
11. For the purpose of accountability and safety, US&R Task Forces are authorized
to purchase an ID System, as long as they meet the requirements outlined in
US&R Program Directive 2006-019 — Accountability and Medical Information
Cards.
D. MAINTENANCE AND STORAGE
Maintain an accountability of property acquired under Cooperative Agreement
funding, distributed Federal property and acquired Federal Excess Property.
Provide an annual report to DHS/FEMA on the status of Federal property each
year, as part of the database submittal to the US&R Program Office Branch
Chief. Conduct an inventory of Federal property and property acquired under
Cooperative Agreement funding, in accordance with 44 CFR Part 13 or 2 CFR
Part 215.
2. Provide manufacturer's recommended maintenance and repair to US&R
equipment acquired and specifically identified on the DHS/FEMA approved
US&R Equipment Cache Lists. Also, provide maintenance and repair to any
supplemental equipment as approved by DHS/FEMA, which was purchased with
DHS/FEMA funding and delivered to the Task Forces, purchased during a US&R
field response, or was acquired with DHS/FEMA approval through the Federal
Excess Property Program. Ensure a minimum of 90% of the original US&R
equipment cache and 100% of the new DHS/FEMA equipment cache is
maintained. Task Forces are expected to perform routine maintenance of
equipment to maintain a state of readiness. This agreement excludes Task
Force repair of Communications equipment owned by the Federal Government.
26
3. As part of the operational readiness of each Task Force, all US&R equipment
shall be maintained in an immediate state of readiness in a cache storage facility
or facilities. This may include planning and engineering and other costs for
development, maintenance, and/or lease of storage facilities and associated
equipment for US&R equipment and supplies. Any costs for upgrades to existing
warehouse facilities associated with this funding must be included in the budget
narrative or submitted as a budget change and be approved by the Program
Office and the Grants Assistance Officer prior to the start of any work. Task
Force personnel are reminded, if they are relying totally on the Cooperative
Agreement for funding leased warehouse space, they are not permitted to enter
into agreements for longer than the Period of Performance of the Cooperative
Agreement. However, contracts can be written with an available funds clause or
"option" years for protection. This Cooperative Agreement may not be used for
funding new capital construction. However costs associated with leasing,
upgrading, minor renovations and modifications of existing warehouse facilities
that do not change the footprint of the structure are permitted.
4. The repair, maintenance, storage and administrative costs for all equipment
purchased or provided by DHS/FEMA will be accomplished via Cooperative
Agreement funding provided and in accordance with the cost principles (2 CFR,
Part 225). Refer to 2 CFR Part 225 or 2 CFR Part 230(Cost Principles) for
specific guidance on purchasing insurance.
IX. REPORTING
The Sponsoring Agency shall use the following procedure for reporting. There
are several types of reports required for this agreement. Refer to Appendix E for
specific instructions and points of contact to submit all reports and deliverables.
A. REQUIREMENTS
Task Force Self -Evaluation: as identified in Section VIII, Subsections A.8 of
this document is due by June 1st (or when otherwise directed by the US&R
Program Office).
2. Personnel and Equipment Database CD submittal: as identified in Section
VIII, Subsections A. 9 and D. 1. Provide DHS/FEMA with an updated database
of the Task Force Personnel and the US&R Equipment Cache in a Microsoft
Access database program. Also provide a current Task Force Phased
Deployment Data (TFPDD) Form, in a format provided by the Program Office.
Copy files onto one CD and forward the disk to the US&R Program Office by
overnight carrier. This CD shall be submitted with a cover letter addressed to the
US&R Program Office Branch Chief by June 1 st.
27
3. The Department of Health and Human Services (HHS) requires a Quarterly
Financial Report electronically, PSC 272, before issuance of any further funding
through SmartLink will be allowed. This report must be completed on-line at the
SmartLink website, hfi)://www.dpm.psc.gov. After completing the report online,
a copy of the PSC 272,PSC 272A, PSC 2726, PSC 272E and PSC 272G (listing
financial details) must be printed, scanned, and emailed as a .PDF document to
the US&R Program Office and DHS/FEMA Grant Programs Directorate. This
report is required every quarter, thirty (30) days after the end of each quarter,
whether funds are drawn or not from the Health and Human Services (HHS)
Smartlink System. The quarters are separated as follows: October through
December, January through March, April through June, and July through
September.
4. The Semi -Annual Performance Report is due to the DHS/FEMA US&R
Readiness Cooperative Agreements Project Officer for the duration of this
agreement and is a written report listing total expenditures, as explained below.
a. The Sponsoring Agency shall electronically send the first report semi-
annually by January 30st (covering the time period of July 1st through
December 31st) and the second by July 30st (covering the time period of
January 1st through June 30th) of each year until the Cooperative
Agreement is closed.
b. The Performance Report shall include Task Force accomplishments and
the total budgeted, expenditures and balance for the Cooperative
Agreement funding within the following areas:
Administration/Management, Training, Equipment, and
Maintenance/Storage.
c. A suggested reporting format has been distributed.
d. All changes, whether requiring prior approval or not, shall be noted in the
Performance Reports and closeout documents.
e. The Final Performance Reports are to be emailed to the US&R Program
Office and DHS/FEMA Grants Management Branch. Addresses listed in
Appendix E.
5. Financial and Compliance Audit Report. Recipients that expend $500,000 or
more of Federal funds during their fiscal year are required to submit an
organization -wide financial and compliance audit report. The audit must be
performed in accordance with the U.S. General Accountability Office,
Government Auditing Standards, located at
http.//www.aao.gov/aovaud/ybk01.htm, and OMB CircularA-133, Audits of
States, Local Governments, and Non -Profit Organizations, located at
http://www.whitehouse.gov/ombtcirculars/a133/a133.htmL Audit reports are
currently due to the Federal Audit Clearinghouse no later than nine months after
the end of the recipient's fiscal year. In addition, the Secretary of Homeland
Security and the Comptroller General of the United States shall have access to
28
any books, documents, and records of recipients of FY 2009 Cooperative
Agreement assistance for audit and examination purposes, provided that, in the
opinion of the Secretary or the Comptroller, these documents are related to the
receipt or use of such assistance. The grantee will also give the sponsoring
agency or the Comptroller, through any authorized representative, access to, and
the right to examine all records, books, papers or documents related to the grant.
B. CLOSEOUT REPORTS
The scope of work approved for the Cooperative Agreement must be completed within
the Period of Performance. The task force will have 90 days after the Period of
Performance to complete the final payments, and prepare the closeout documents. If
unable to complete the closeout process by the due date, the task force must contact
the Grant Program Directorate and Program Office to request an extension of the
closeout period. At a minimum the following closeout documents must be submitted:
Cover Letter — Should address the closeout of the Cooperative Agreement and
the number. Please note any items that are not applicable. If the equipment
and/or supplies are maintained by the Task Force then they will need to include a
statement that the equipment/supplies will be used for their intended purpose of
the Cooperative Agreement, over the life cycle of the equipment/supplies.
2. Final Performance Report should include a summary of qualitative
accomplishments that the Cooperative Agreement has made for the duration of
the grant period. Quantitative data may be used to support any impact
statements. The report should be broken out into the four (4) program
categories: Administrative/Management, Training, Equipment, and
Storage/Maintenance.
3. Final Financial Status Report: A new Federal Financial Report is provided as
an attachment along with the instructions. A standard government -wide Federal
Financial Report Form is now required, in lieu of the FF20-10 or SF 269A (Short
Form).
4. Equipment Inventory: This form is required if items purchased with Federal
grant funds has a current fair market value of $5,000 or higher, per single item
must be reported (copy of form attached). If the Task Force does not have any
items to report that meet the threshold, provide a copy of the form noting such or
provide a statement in the Performance Report or Cover Letter to indicate the
same information. Provide a statement expressing the intent to continue use of
Federally- Furnished Property for the Federal US&R Program, as noted in
the most recent equipment CD submission.
5. Inventory of Unused or Residual Supplies purchased with Federal grant
funds, which in the aggregate exceed $5,000 must be reported (copy of form
attached). If the task force does not have any residual supplies in the aggregate
29
that exceeds $5,000, provide a copy of the form noting such or provide a
statement in the Performance Report or Cover Letter to indicate the same
information.
6. Patent/invention Disclosure, if applicable (Form Attached). Provide a copy of
the completed form if applicable. If the Task Force does not have any patents or
inventions provide a copy of the form noting such or provide a statement in the
Performance Report or Cover Letter to indicate such.
7. Audit Requirements: There are requirements and rights for audits pursuant to
the Cooperative Agreement terms and conditions. All grantees must follow the
audit requirements of OMB circular A-133, Audits of States, Local Governments,
and Non -Profit Organizations. The OMB Circular states that grantees who
expend $500,000 or more in Federal funds (from all Federal sources within their
fiscal year) must have a single audit performed yearly in accordance with the
circular. If the Task Force falls under this category they must submit a copy
of their Single Audit Report along with their Closeout Documentation. In
addition it is a requirement to send a copy of the Audit to the Single Audit
Clearinghouse. The Single Audit Report is required to be reviewed during the
closeout process. FEMA retains the right to negotiate any shortages or findings
found in the audit reports, disallow costs and recover funds on the basis of an A-
133 single audit, other audit or other review.
8. Refund Checks: If appropriate, a check should be made payable to FEMA to
return any Federal funds drawn under the Cooperative Agreement but not
expended. This may also include interest earned in excess of the allowable $100
for State, Local, and Indian Tribal Governments, or $250 for all others that are
allowable for administrative expenses, or any other appropriate financial
adjustment due FEMA, including Audit adjustments.
9. Record Keeping/Retention: Retain records pursuant to the grant conditions.
Grant records should include a copy of the award document, grant agreement
articles, ledgers, documentation of expenditures, documentation -copies of
cancelled checks, paid invoices, payrolls, T&A records, contract records, etc. As
a reminder all Single Audits must be completed covering the period of
performance for the grant and all Single Audit Findings must be resolved prior to
the final closeout of the Cooperative Agreement. Upon completion of all required
actions, the submission of all required items, and any appropriate financial
adjustments and payments, FEMA will advise the Task Force in writing when the
award can be considered closed out. This information must be kept for three
years after the date of submission of the final closeout documents or later date if
the sponsoring agency requires a longer record retention period. See 44 CFR 13
and 2 CFR 215 for further information about the items in this paragraph. It is
generally three years from the submittal of the final closeout documents, but may
be longer if there are audit findings or the audit covering the period of
performance for the Cooperative Agreement has not been completed.
30
C. TIMELINES
1. Task Force Self -Evaluation: on or about June 1St, or as directed by the
Program Office
2. Personnel and Equipment Database CD: due June 1St to US&R Program
Office only.
3. Quarterly Financial Report (HHS PSC report): delivered quarterly, within 30
days after the quarter ends. (Due by January 30, April 30, July 30 and October
30)
4. The Semi -Annual Performance Report: due by January 30 and July 30 each
year during the Period of Performance.
5. Final Performance Report: due to DHS/FEMA within 90 days after the Period
of Performance expires.
6. The Final Financial Status Report, FEMA Form 20-10, due within 90 days after
the Period of Performance expires.
7. Equipment Inventory and Inventory of Unused or Residual Supplies due
within 90 days after the Period of Performance expires.
8. Final Payment/Unexpended Funds: due within 90 days after the Period of
Performance expires.
Task Forces must be current with all reports at the time of award of this Cooperative
Agreement.
X. TIME IS OF THE ESSENCE
DHS/FEMA is providing an annual Readiness Cooperative Agreement and it is
strongly recommended that the Sponsoring Agency seek expedited approval for the
acceptance and management of the Cooperative Agreement. The US&R Program and
Grants Offices acknowledge the time -sensitive nature of processing and awarding the
Cooperative Agreement and will make every effort to expedite the process. The time
frame provided by DHS/FEMA must be strictly adhered to. The U.S. Congress is
closely scrutinizing the timely spending of Readiness Cooperative Agreement funds and
failure to meet necessary requirements and time frames may result in the loss of
funding for this and future Cooperative Agreement periods.
XI. PROCEDURE TO COMPLETE APPROVAL OF COOPERATIVE AGREEMENT
1. The US&R Program Office and Grant Programs Directorate will review the Task
Force's Cooperative Agreement application. Once approved, the Grants
Assistance Officer will send four copies of the obligating document, FEMA Form
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40-21s, to the Task Force Sponsoring Agency for signature. (Four originals). If
the cooperative agreement is processed through the web -based Grant
Management System (GMS), the documents will be available online.
2. The Task Force Sponsoring Agency is required to obtain the proper original
signature on each document and return three signed FF 40-21 documents to the
Grants Management Branch as instructed. Keep one signed original for Task
Force records. Include a cover letter in an acceptable format when returning the
FF 40-21.
3. The Task Force Sponsoring Agency is responsible for ensuring the original
application package and subsequent FF 40-21 are signed and received by the
Grants Management Branch deadlines. Please use the tracking number
provided by overnight carrier to ensure timely delivery.
Appendices:A Cooperative Agreement Funding — Recommended Allocations
B Task Force Allocations and Budget Totals document
C Administration Budget
D List of Work Group Chairs
E Summarized Spreadsheet of Deliverables
F US&R Annual Activity Calendar 2009
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