Fiscal Year 2003

Urban Areas Security

Initiative — Discretionary

Grants Program

Program Guidelines and Application Kit

U.S. Department of Homeland Security
U.S. Department of Homeland Security

Office for Domestic Preparedness

810 Seventh Street, NW

Washington, DC 20531

Tom Ridge

Secretary

______________________________________________

Office for Domestic Preparedness

World Wide Web Homepage:

www.ojp.usdoj.gov/odp

______________________________________________

ODP HelpLine

1-800-368-6498

______________________________________________

SL000646 

Cover photographs include images from the Federal Emergency Management Agency Photo Library (www.fema.gov)

the National Sheriffs’ Association and Booz Allen Hamilton
FOREWORD

In July 2002, President Bush approved the National Strategy for Homeland Security,

establishing a road map for the national effort to prevent and respond to acts of terrorism in

the United States. The National Strategy recognizes the vital role of state and local public

safety agencies in providing for the security of our homeland. In February 2003, President

Bush signed into law the Consolidated Appropriations Resolution of 2003, Public Law

108-7, which provides state and local governments with vital funding to participate in the

national effort to combat terrorism. In April 2003 the Emergency Wartime Supplemental

Appropriations Act, 2003 provided additional funds to continue and expand these efforts.

The U.S. Department of Homeland Security (DHS), Office for Domestic Preparedness

(ODP) FY 2003 Urban Areas Security Initiative (UASI) reflects the intent of Congress and

the Administration to create a sustainable national model program to enhance security and

overall preparedness to prevent, respond to, and recover from acts of terrorism. While

most states and municipalities have strengthened their overall capability to respond to acts

of terrorism involving chemical, biological, radiological, nuclear, or explosive (CBRNE)

weapons, there continues to be room for improvement in meeting national priorities of

preventing and responding to terrorist attacks.

ODP is now accepting applications for the FY 2003 UASI Discretionary Grant Program

(UASI-DGP). The purpose of the UASI-DGP is to support the development of innovative

approaches to some of the most critical homeland security issues facing the nation. As

part of this program, Cooperative Agreement Grant Awards will be made to eligible

applicants for the development of projects that would affect high-density, high-threat areas

and for the protection of critical infrastructure. In order to be eligible for consideration and

award of this Cooperative Agreement Grant Award, applicants must be invited by ODP to

apply.

The Department of Homeland Security looks forward to working with all of you in this critical

national effort to secure our homeland.

Tom Ridge

Secretary

Department of Homeland Security
TABLE OF CONTENTS

Foreword........................................................................i

I. Background and Overview.............................................1

II. Eligible Applicants..........................................................1

III. Program Requirements..................................................2

Appendix A: Sample Award Package

Appendix B: Drawdown and Expenditure of Funds

Appendix C: Customer Support
1

I. BACKGROUND AND OVERVIEW

Authorized Program Purpose

The FY 2003 UASI Grant Programs I and II are being provided to address the unique

equipment, training, planning and exercise needs of large high-threat urban areas. Seven

selected urban areas are receiving direct funding from the Consolidated Appropriations

Resolution of 2003; thirty selected urban areas are receiving funding through their

respective States through the Emergency Wartime Supplemental Appropriations Act of

2003.

As part of the UASI Grant Program II, pilot programs have been identified to build an

enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts

of terrorism. Information about eligible applicants and program requirements for the FY

2003 UASI-DGP follows.

Solicitation Overview

In order to continue to improve the nation’s ability to prevent, respond to, and recover from

acts of terrorism, multiple pilot programs have been identified for funding through UASIDGP by DHS to address unique homeland security issues. These pilot programs are

intended to be national models that can be utilized by state and local governments in

meeting their homeland security needs. As part of this program, Cooperative Agreement

Grant Awards will be made to eligible applicants identified by ODP.

General Guidance

• Period of performance for these Cooperative Agreement Grant Awards is two

years.

• The CEO’s of invited organizations must provide a Dun and Bradstreet (D&B) Data

Universal Numbering System (DUNS) number with the FY 2003 UASI-DGP

application. This number may be provided in one of the attachment fields within the

GMS application.

• The OJP Office of the Comptroller (OC) will continue to provide fiscal support and

oversight of the grant programs included in this solicitation.
2

II. ELIGIBLE APPLICANTS

The FY 2003 UASI-DGP is intended to build first responder capabilities to respond to

incidents of domestic terrorism at the state and local levels of government through multifaceted projects. Projects approved for the FY 2003 UASI-DGP include port security and

response to CBRN incidents, critical incident information management system

development, Tribal interoperability with DHS along the border, creation of the Homeland

Security Advisory System Terrorist Alert Policy Group, university and college emergency

support guideline development, and the establishment of a national model to improve

community safety and security. Cooperative Agreement Grant Awards will be made to

eligible applicants to develop and implement these projects.

Eligible applicants are the chief executive officers (CEOs) of entities specifically invited by

ODP to apply.

III. PROGRAM REQUIREMENTS

The following steps must be completed in accordance with directions in this package on

the Grants Management System (GMS) to ensure a successful application and grant

award process:

1. Application Process

Grant applicants must apply for FY 2003 UASI-DGP through the Grant Management

System (GMS) located on the Office of Justice Programs website. Instructions

regarding electronic submissions through GMS are provided at

www.ojp.usdoj.gov/fundopps.htm. Applications must be received by ODP no later

than December 8, 2003.

Required submissions: SF-424 Grant Application with certifications (through

GMS). Also, applicants must now provide a DUNS Number in accordance with

paragraph 8f in this section of the application.

2. On-Line Application

The on-line application must be completed and submitted by the applicant using

GMS. This on-line application replaces the following previously required paper

forms:

• Standard Form 424, Application for Federal Assistance
3

• Standard Form LLL, Disclosure of Lobbying Activities

• OJP Form 4000/3, Assurances

• OJP Form 4061/6, Certifications

• Equipment Coordination Certification

• Non-Supplanting Certification

The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is

“Office for Domestic Preparedness Fiscal Year 2003 Urban Area Security

Initiative Discretionary Grant Program.” When referring to this title, please

use the following CFDA number: 97.008. When completing the on-line

application, applicants should identify their submissions as new, non-construction

applications. The project period will be for a period not to exceed 24 months.

3. Additional Application Requirements

Applications must clearly demonstrate the applicant’s ability to provide deliverables

consistent with the purpose of the program, and guidance provided by ODP. As

such, the application must also include a program narrative and a budget.

The program narrative should include the following elements:

• Program Plan: The applicant must provide a complete program plan for the

entire project period. This plan should include the goals and objectives of the

proposal and describe the activities to be conducted to accomplish these goals

and objectives. The applicant must develop a performance based evaluation

plan to assess completion of goals and objectives. Additionally, the applicant

must develop a quality control plan to be incorporated into the development and

delivery of project deliverables.

• Project Management Structure: The applicant must describe how the

program will be structured, organized, and managed within the recipient’s

organization. The applicant must provide an organizational chart of the agency

and describe how the organization will support the program.

• Project Description: The applicant must provide a complete description of

each deliverable. The project description must also include the following:

a. A statement of need, to include why the program is needed, how the need

was determined, and what “gaps” the program will fill;

b. Description of how the program relates to the purpose of the UASI-DGP;

and,
4

c. Identification of program objectives.

• Program Budget: The applicant must provide a budget narrative that includes

a description of the allocation methodology for the funds awarded under the FY

2003 UASI-DGP.

Applicants will be asked to provide a more detailed budget for use of the funds at a

later date. The program narrative and budget narrative must be completed

and attached to the online application as file attachments.

4. Freedom of Information Act (FOIA)

ODP 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. This may include threat, risk, and needs assessment

information, and discussions of demographics, transportation, public works, and

industrial and public health infrastructures. While this information is subject to

requests made pursuant to the Freedom of Information Act, 5. U.S.C. §552 (FOIA),

all determinations concerning the release of information of this nature are made on

a case-by-case basis by the OJP FOIA Office, and may well likely fall within one or

more of the available exemptions under the Act.

Applicants are also encouraged to consult their own State and local laws and

regulations regarding the release of information, which should be considered when

reporting sensitive matters in the grant application, needs assessment and strategic

planning process. At the same time, applicants should be aware that any

information created exclusively for the purpose of applying for and monitoring grants

hereunder is the property of the U.S. Government, and shall not otherwise be

disclosed or released pursuant to State or local law or regulation.

5. Grant Award to Organization

Upon approval of the electronic grant application through GMS, the grant will be

awarded to the organization invited to apply for the grant. This date will be known

as the Award Date. If no special conditions withholding funding are placed on the

grant, the Award Date will also be referred to as the Receipt of Funds date.

Required Submissions: 1) Signed award document and special conditions

returned to the Office of the Comptroller.
5

6. Grantee Obligation of Funds

Following award of the grant, the grantee will be responsible for providing updated

obligation and expenditure information on a regular basis. Grantees will submit

biannual Categorical Assistance Progress Reports (CAPRs). (Additional

information on CAPRs is included in paragraph 10b of this application.) Updated

obligation and expenditure information must be provided with the CAPRs to show

progress made in meeting project requirements.

Required Submissions: CAPRs (biannually).

7. General Requirements

For the purpose of the FY 2003 UASI-DGP, the limitations cited in this section shall

apply.

a. Land Acquisition: No funds shall be used for land acquisition.

b. Civil Justice: No funds or other assistance shall be used with respect to

civil justice matters except to the extent that such civil justice matters bear

directly and substantially on criminal matters or are inextricably intertwined

with criminal justice matter.

c. Federal Law Enforcement Personnel: Nothing in the enabling legislation

authorizes the use of federal law enforcement personnel to investigate

violations of criminal law other than violations with respect to which

investigation is authorized by other provisions of the law.

d. Direction, Supervision, and Control: Nothing in the enabling legislation

shall be construed to authorize the Secretary of Homeland Security or the

federal law enforcement community to exercise any direction, supervision, or

control over any police force or other criminal justice agency of an applicant

for federal law enforcement assistance.

8. Financial Requirements

a. Non-Supplanting Certification: This certification, which is a required

component of the on-line application, affirms that federal funds will be used to

supplement existing funds, and will not replace (supplant) funds that have

been appropriated for the same purpose. Potential supplanting will be

addressed in the application review as well as in the pre-award review, postaward monitoring, and the audit. Applicants or grantees may be required to

supply documentation certifying that a reduction in non-federal resources
6

occurred for reasons other than the receipt or expected receipt of federal

funds.

b. Match Requirement: None

c. Assurances: The on-line application includes a list of assurances that the

applicant must comply with in order to receive Federal funds under this

program. It is the responsibility of the recipient of the Federal funds to fully

understand and comply with these requirements. Failure to comply may

result in the withholding of funds, termination of the award, or other sanctions.

You will be agreeing to these assurances when you submit your application

on-line through GMS.

d. Certifications Regarding Lobbying; Debarment, Suspension, and

Other Responsibility Matters; and Drug-Free Workplace Requirement:

This certification, which is a required component of the on-line application,

commits the applicant to compliance with the certification requirements

under 28 CFR part 69, New Restrictions on Lobbying, and 28 CFR part 67,

Government-wide Debarment and Suspension (Non-procurement) and

Government-wide Requirements for Drug-Free Workplace (Grants). The

certification will be treated as a material representation of the fact upon

which reliance will be placed by the U.S. Department of Homeland Security

in awarding grants.

The Anti-Lobbying Act, 18 U.S.C. § 1913, recently was amended to expand

significantly the restriction on use of appropriated funding for lobbying. This

expansion also makes the anti-lobbying restrictions enforceable via large

civil penalties, with civil fines between $10,000 and $100,000 per each

individual occurrence of lobbying activity. These restrictions are in addition

to the anti-lobbying and lobbying disclosure restrictions imposed by 31

U.S.C. § 1352.

The Office of Management and Budget (OMB) is currently in the process of

amending he OMB cost circulars and the common rule (codified at 28 C.F.R.

part 69 for DOJ grantees) to reflect these modifications. However, in the

interest of full disclosure, all applicants must understand that no federally

appropriated funding made available under this grant program may be used,

either directly or indirectly, to support the enactment, repeal, modification or

adoption of any law, regulation, or policy, at any level of government, without

the express approval by OJP. Any violation of this prohibition is subject to a

minimum $10,000 fine for each occurrence. This prohibition applies to all

activity, even if currently allowed within the parameters of the existing OMB

circulars.
7

e. Suspension or Termination of Funding: ODP may suspend or terminate

funding, in whole or in part, or other measures may be imposed for any of the

following reasons:

• Failing to make satisfactory progress toward the goals or objectives

set forth in this application.

• Failing to follow grant agreement requirements or standard or special

conditions.

• Proposing or implementing substantial plan changes to the extent

that, if originally submitted, the application would not have been

selected for funding.

• Failing to submit required reports.

• Filing a false certification in this application or other report or

document.

Before taking action, ODP will provide the grantee reasonable notice of

intent to impose measures and will make efforts to resolve the problem

informally.

f. Use of a Universal Identifier by Grant Applicants: Beginning October 1,

2003, a Dun and Bradstreet (D&B) Data Universal Numbering System

(DUNS) number must be included in every application for a new award or

renewal of an award. The DUNS number will be required whether an

applicant is submitting an application on paper, through OJP’s Grants

Management System, or using the government-wide electronic portal

(Grants.gov). An application will not be considered complete until a

valid DUNS number is provided by the applicant. Individuals who would

personally receive a grant or cooperative agreement from the Federal

government are exempt from this requirement.

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 1-800-333-0505.

9. Drawdown and Expenditure of Funds

Following the grant award and release of any special conditions, the grantee can

draw down and expend grant funds through the electronic PAPRS or LOCES

systems. Questions regarding grant accounts should be addressed to the Office of

the Comptroller at 1-800-458-0786. Drawdowns and expenditures must be

reported to ODP on a quarterly basis through the Financial Status Report (FSR).
8

The FSR is due 45 days after the end of each quarter (i.e. for the quarter ending

March 31, FSR is due on May 15).

Note: Grant funds may be drawn down up to 90 days after the end of the grant

period in order to facilitate final expenditures. However, no obligations can be

made after the grant project period has ended.

Required Submissions: SF-269 FSR (submitted quarterly; see sample instructions

in Appendix B).

10.Reporting Requirements

The following reports are required of all program participants:

a. Financial Status Reports (Standard Form 269A): Financial Status Reports

are due within 45 days of the end of each calendar quarter. A report must be

submitted for every quarter the award is active, including partial calendar

quarters, as well as for periods where no grant activity occurs. The OJP OC will

provide a copy of this form in the initial award package. Future awards and fund

drawdowns will be withheld if these reports are delinquent. The final financial

report is due 120 days after the end date of the award period.

b. Categorical Assistance Progress Reports: CAPRs are due within 30 days

of the end of the reporting periods, which are June 30 and December 31, for the

life of the award. Thus, CAPRs are due by July 31 with a reporting period of

January 1 through June 30, and by January 31, with a reporting period of July 1

through December 31. The OJP Office of the Comptroller will provide a copy of

this form in the initial award package. Future awards and fund drawdowns will

be withheld if these reports are delinquent. The final programmatic progress

report is due 120 days after the end date of the award period. Instructions for

completing CAPRs are on the reverse side of the form.

c. Exercise Evaluation and Improvement: Exercises that are implemented with

grant funds should be threat- and performance-based and should evaluate

performance of critical prevention and response tasks required to respond to the

exercise scenario. Guidance on conducting exercise evaluations and

implementing improvement is defined in the Homeland Security Exercise and

Evaluation Program (HSEEP) - Volume II: Exercise Evaluation and

Improvement. Recipients must report on scheduled exercises and ensure that

an After Action Report (AAR) and Improvement Plan (IP) are prepared for each

exercise conducted with ODP support (grant funds or direct support). The AAR

documents the performance of exercise related tasks and makes

recommendations for improvements. The IP outlines the actions that the
9

exercising jurisdiction(s) plans to take to address recommendations contained

in the AAR. Generally, the IP, with at least initial action steps, should be included

in the final AAR. ODP is establishing a national database to facilitate the

scheduling of exercises, the submission of the AAR/IPs and the tracking of IP

implementation. Guidance on development of AARs and IPs is provided in

Volume II of the HSEEP manuals.

Recipients are responsible for ensuring that copies of the AAR/IP are submitted

to ODP within 60 days following completion of the exercise at the following

address:

Office for Domestic Preparedness

Centralized Scheduling and Information Desk

810 7th Street, NW

Washington, DC 20531

d. Financial and Compliance Audit Report: Recipients that expend $300,000

or more of federal funds during their fiscal year are required to submit an

organization-wide financial and compliance audit report. The audit must be

performed in accordance with the U.S. General Accounting Office Government

Auditing Standards and OMB Circular A-133. Audit reports are currently due to

the Federal Audit Clearinghouse no later than 9 months after the end of the

recipient’s fiscal year. In addition, the Secretary of Homeland Security and the

Comptroller General of the United States shall have access to any books,

documents, and records of recipients of FY 2003 UASI-DGP assistance for

audit and examination purposes, provided that, in the opinion of the Secretary of

Homeland Security or the Comptroller General, these documents are related to

the receipt or use of such assistance. The grantee will also give the sponsoring

agency or the Comptroller General, through any authorized representative,

access to and the right to examine all records, books, papers, or documents

related to the grant.

11.Technical Assistance and Monitoring

Throughout the project period ODP Preparedness Officers will work closely with

urban area and State officials in their assigned States and territories. The primary

duty of ODP Preparedness Officers is to assist State and local agencies in

enhancing their homeland security preparedness through planning, training,

equipment acquisition, exercises, and technical assistance. Preparedness Officers

will be in continuous contact with the awardees, and should be considered as the

primary point of contact within ODP for addressing questions, concerns, and

general issues.
10

Additionally, grant recipients will be monitored periodically by ODP staff to ensure

that the program goals, objectives, timelines, budgets, and other related program

criteria are being met. Monitoring will be accomplished through a combination of

office-based and on-site monitoring visits. Monitoring will involve the review and

analysis of the financial, programmatic, and administrative issues relative to each

program, and will identify areas where technical assistance and other support may

be needed.

12.Grant Close-out Process

Within 120 days after the end of the grant period, the grantee will submit a final FSR

and a final CAPR detailing all accomplishments throughout the project. After both of

these reports have been reviewed and approved by the ODP Preparedness Officer,

a Grant Adjustment Notice (GAN) will be completed to close-out the grant. The

GAN will indicate the project as being closed, list any remaining funds that will be

de-obligated, and address the requirement of maintaining the grant records for

three years from the date of the final FSR. After the financial information is received

and approved by the Office of the Comptroller, the grant will be identified as

"Closed by the Office of the Comptroller."

Required Submissions: 1) Final SF-269 Financial Status Report; 2) Final CAPR.
APPENDIX A

Sample Award Package
A-1

APPENDIX A: Sample Award Package

TAB 1: SAMPLE REVIEW OF AWARD

Office of Justice Programs

Post Award Instructions for ODP Awards

1. Review Award and Special Conditions Document.

Carefully read the award and any special conditions or other attachments. There is

an original plus one copy of the award page.

If you agree with the terms and conditions, the authorized official should sign and

date both the original and the copy of the award document page in Block 19.

You should maintain a copy and return the original signed documents to:

Office of Justice Programs

Attn: Control Desk - ODP Award

810 Seventh Street, NW – 5th Floor

Washington, DC 20531

If you do not agree with the terms and conditions, contact the awarding ODP

Preparedness Officer as noted in the award package.

2. Read Guidelines.

Become familiar with the “OJP Financial Guide” which is available through the

internet at the Office of Justice Programs, Office of the Comptroller website:

http://www.ojp.usdoj.gov/oc. New award recipients are automatically placed on a

mailing list to receive future Guides and their change sets.

Up to 5 copies of the Guide may be ordered at no cost through:

http://puborder/ncjrs.org

You may also order the Guide by calling 1-800-851-3420. Select #2 for

publications; select #1 to speak with a publications specialist.
A-2

TAB 2: SAMPLE POST AWARD INSTRUCTION

U. S. Department of Justice

Office of Justice Programs

Office of the Comptroller

Post Award Instructions

The Office of Justice Programs is currently responsible for the financial

administration of grants awarded by the Office for Domestic Preparedness,

Department of Homeland Security (ODP).

The following is provided as a guide for the administration of awards from ODP.

Forms and other documents illustrating each step are attached.

Step 1. Review Award and Special Conditions.

If you agree with the terms and conditions stated in the award, sign and date the

award document and the last page of the Special Conditions, and return to OJP.

Notify your ODP Program Manager when Special Conditions have been met (refer

to Step 1 attachment);

If you do not agree with the terms and conditions as written, contact your ODP

Program Manager.

Step 2. Read Guidelines.

Read and become familiar with the “OJP Financial Guide” and related material

(refer to Step 2 attachment).

Step 3. Complete and Return ACH Form.

The Automated Clearing House (ACH) Vendor/Miscellaneous Payment Enrollment

Form (refer to Step 3 attachment) is used to arrange direct deposit of funds into

your designated bank account.

Step 4. Access to Payment Systems.

The Office of Justice Programs uses two payment systems: Phone Activated

Paperless System (PAPRS) and Letter of Credit Electronic Certification System

(LOCES) (refer to Step 4 attachment). Current LOCES users will see the addition

of new ODP grants on the LOCES grant number listing as soon as the ODP award

acceptance has been received. PAPRS grantees will receive a letter with the

award package containing their PIN to access the system and Grant ID information.

Step 5. Reporting Requirements.

Reporting requirements must be met during the life of the grant (refer to the OJP
A-3

Financial Guide for a full explanation of these requirements, special conditions and

any applicable exceptions). The payment systems contain edits which will prevent

access to funds if reporting requirements are not met on a timely basis. Refer to

Step 5 attachments for forms, due date information, and instructions.

Step 6. Questions about your ODP award?

A reference sheet is provided containing frequently asked financial questions and

answers. If you have questions concerning this checklist or any financial aspect of

your award, contact the Office of the Comptroller’s Customer Service Center at 1-

800-458-0786 or by email at askoc@ojp.usdoj.gov. Customer Service staff are

available Mon-Fri from 9:00 a.m. to 6:00 p.m. (EST) to assist you.
APPENDIX B

Drawdown and

Expenditure of Funds
B-1

APPENDIX B: Drawdown and Expenditure of Funds

SF 269A FINANCIAL STATUS REPORT

INSTRUCTIONS

FOR FINANCIAL STATUS REPORTING (SF269A)

The quarterly Financial Status Report (FSR) is due 45 days after the end of the

calendar quarter. Please be reminded that this is a report of expenditures not a

request for reimbursement. To request reimbursement, use an OJP payment

system*. Send the completed report to: Office of Justice Programs, Attn:

Control Desk, 810 Seventh Street, NW - 5th Floor, Washington, DC 20531 or

fax them to (202) 616-5962 or alternate fax #(202)353-8475. Please type or print

legibly and do not change any pre-printed information. If you have already filed an

FSR for the current calendar reporting quarter and need to make changes, please

submit a corrected FSR and print “AMENDED” or “CORRECTED” at the top of the

form.

Note: Without a current FSR on file, funds will not be disbursed. Please ensure that

you fill out every space (except Box #5) of this report, or your FSR will not be

processed.

1. Pre-printed as: Department of Homeland Security, Office for Domestic

Preparedness.

2. Enter the ODP grant number found on your grant award document. For

example, 2003-TE-TX-0000.

3. Enter current name and address of the award recipient.

4. Enter the OJP-assigned 9 digit vendor number as recorded on your grant

award document.

5. Enter any identifying number assigned by your organization for your internal

use. If none, leave blank.

6. If you have finished expending funds and recording your required match

related to this award, regardless of whether they have been or will be

reimbursed by the Federal Government, check “Yes.” Otherwise, check “No.”

7. Indicate whether your accounting system uses a CASH or an ACCRUAL

basis for recording transactions related to this award. For reports prepared

on a CASH basis, outlays are the sum of actual cash disbursement for direct
B-2

purchases of goods and services at the lowest funding level. For reports

prepared on an ACCRUAL basis, outlays are the sum of actual cash

disbursement at the lowest funding level. Unliquidated obligations represent

the amount of obligations that you incurred at the lowest funding level but

have not yet paid out. Note: Data for more than one calendar quarter may

be rolled up into one report for the first report submitted.

8. Enter both the begin and end dates of the award period.

9. Enter the FROM and TO dates for the current reporting calendar quarter as

listed below.

Reporting Quarter

Jan 1 through Mar 31

Apr 1 through Jun 30

Jul 1 through Sep 30

Oct 1 through Dec 31

Reports Due Not Later Than

May 15

Aug. 14

Nov 14

Feb 14

10.Lines 10a, 10b, and 10c refer to your cash outlays including the value of inkind match contributions for this award at the lowest funding level (i.e.,

monies you have spent). Column I is the cumulative total of expenditures for

the prior reported calendar quarter. If you wish to correct previously reported

quarterly totals, enter the corrected amounts in this column. Column II is for

the current reporting calendar quarter outlays. Column III is for the result when

adding across the amounts reported in Columns I and II. The total of lines

10b and 10c should equal the amount reported on line 10a for each

column.

Lines 10d, 10e, and 10f should only be completed if you indicated in Box 7

that you are on an accrual basis of accounting. Lines 10d, 10e, and 10f refer

to the amount of unpaid obligations or accounts payable you have incurred.

Items such as payroll (which has been earned, but not yet paid) is an

example of an accrued expense. Line 10d is the total of your unpaid

obligations to date.

Line 10e is your share of these unpaid obligations. Line 10f is the Federal

share of unpaid obligations. The total of lines 10e and 10f should equal

the amount on line 10d.

Line 10g is the total Federal share of your cash outlays and unpaid

obligations regardless of whether you have received reimbursement. It will

be the total of Column III, Lines 10c and 10f. Line 10h is the total amount of

your award. Change this amount only if you have received a supplemental

award. Line 10i is the amount of your total award which has not either been
B-3

expended through a cash outlay or encumbered by an unpaid obligation. It

is the difference between Column III, Lines 10h minus 10g equals Line

10i.

11.Please refer to your award documents to complete this section. This section

will only be completed if you have a Negotiated Indirect Cost Rate with your

cognizant agency.

Line 11a Indicate the type of rate that you have. Line 11b is the indirect cost

rate in effect during this current reporting period. Line 11c is the amount of

the base against which the cost rate is applied. Line 11d is the total amount

of indirect costs charged during this current reporting period. Line 11e is the

Federal Government share of the amount reported on Line 11d. Note: If

more than one rate was in effect during this reporting period, attach a

schedule showing all applicable rates amounts for Line 11b through 11e

12.Line 12A is the cumulative amount of Federal funds your State agency has

passed-through to local units of government, other specified groups or

organizations as directed by the legislation of the program.

Line 12B is the cumulative amount of Federal funds subgranted including

amounts subgranted to State agencies and amounts reported on Line 12A.

Line 12C is the cumulative Federal portion of forfeited assets to be used in

this grant whether the assets were forfeited as a result of this grant or another

grant.

Line 12D is the cumulative Federal portion of program income earned from

other than forfeited assets. This is income from sources such as registration

fees, tuition, and royalties. This amount should not be included in Box 10.

Line 12E is the cumulative amount of program income from all sources,

including forfeited assets and interest earned, which have been expended by

your organization. This amount should not be included in Box 10.

Line 12F is the balance of unexpended program income

(12C + 12D - 12E).

13.Along with your printed name and telephone number, please remember to

sign and date the FSR. It will not be processed without signature.

*If you need any assistance with completing this form, contact the OC Customer

Service Center at 1-800-458-0786 or email us at askoc@ojp.usdoj.gov.
APPENDIX C

Customer Support
C-1

Appendix C: Customer Support

To assist grantees with program activities, ODP has established a number of

support programs. These include: 1) the ODP Help Line; 2) Applicant Assistance

Services; 3) the Equipment Purchase Assistance Program; and, 4) the Domestic

Preparedness Equipment Technical Assistance Program (DPETAP). The

Centralized Scheduling Information Desk (CSID) Help Line (1-800-368-6498 –

askcsd@ojp.usdoj.gov) provides grantees with answers to non-emergency

technical questions. Likewise, ODP Applicant Assistance Services are designed

to provide grantees with assistance in completing and submitting their applications

to meet the required deadlines. The Equipment Purchase Assistance Program

provides ODP grantees with access to prime vendors through memoranda of

agreement with the Defense Logistics Agency and the Marine Corps Systems

Command. Finally, the DPETAP program provides on-site training in the use and

maintenance of specialized response equipment. Additional information on each of

these programs can be found on the ODP web site located at:

http://www.ojp.usdoj.gov/odp, or by contacting your ODP Preparedness Officer.
SL000646