Department of Homeland Security
 

The State of Arizona’s Management 

of Urban Areas Security Initiative Grants 

Awarded During Fiscal Years 

2007 through 2009 

OIG-12-61 March 2012 
Office of Inspector General 

U.S. Department of Homeland Security 

Washington, DC 20528 

Preface 

The Department of Homeland Security (DHS) Office of Inspector General (OIG) was 

established by the Homeland Security Act of 2002 (Public Law 107-296) by amendment 

to the Inspector General Act of 1978. This is one of a series of audit, inspection, and 

special reports prepared as part of our oversight responsibilities to promote economy, 

efficiency, and effectiveness within the Department. 

This report addresses the State of Arizona’s management of Urban Areas Security 

Initiative grants awarded during fiscal years 2007 through 2009. We contracted with the 

independent public accounting firm Williams, Adley & Company-DC, LLP to perform 

the audit. The contract required that Williams, Adley & Company-DC, LLP perform its 

audit according to generally accepted government auditing standards. Williams, Adley & 

Company-DC, LLP’s report identifies one reportable condition where State management 

of the grant funds could be improved, resulting in two recommendations addressed to the 

Assistant Administrator, Grant Programs Directorate. Williams, Adley & Company-DC, 

LLP is responsible for the attached auditor’s report dated February 23, 2012, and the 

conclusions expressed in the report. 

The recommendations herein have been developed to the best knowledge available to our 

office, and have been discussed in draft with those responsible for implementation. We 

trust this report will result in more effective, efficient, and economical operations. We 

express our appreciation to all of those who contributed to the preparation of this report. 

Anne L. Richards 

Assistant Inspector General for Audits 
 

February 23, 2012 

Anne L. Richards 

Assistant Inspector General for Audits 

Office of Inspector General 

U.S. Department of Homeland Security 

245 Murray Drive, SW, Building 410 

Washington, DC 20528 

Dear Ms. Richards: 

Williams, Adley & Company-DC, LLP performed an audit of the State of Arizona’s 

management of the Department of Homeland Security’s Urban Areas Security Initiative 

grants for Fiscal Years 2007 through 2009. The audit was performed in accordance with 

our Task Order No. TPD-FIG-BPA-07-013A-0001, dated September 27, 2010. This 

report presents audit results and includes recommendations to help improve the State’s 

management of the audited Urban Areas Security Initiative grants. 

We conducted our audit in accordance with applicable Government Auditing Standards. 

The audit was a performance audit as defined by Chapter 1 of the Standards and included 

a review and report of program activities with a compliance element. Although this audit 

report comments on costs claimed by the State, we did not perform a financial audit, the 

purpose of which would be to render an opinion on the State of Arizona’s financial 

statements or funds claimed in the Financial Status Reports submitted to the Department 

of Homeland Security. 

We appreciate the opportunity to have conducted this audit. Should you have any 

questions, or if we can be of any further assistance, please contact me at 202-371-1397. 

Sincerely, 

Williams, Adley & Company-DC, LLP 

Jocelyn A. Hill 

Partner 

WILLIAMS, ADLEY & COMPANY-DC, LLP 

Management Consultants/Certified Public Accountants 

1030 15th Street, NW, Suite 350 West • Washington, DC 20005 • (202) 371-1397 • Fax: (202) 371-9161 
Executive Summary ........................................................................................................... 1
 

Background ........................................................................................................................ 2
 

Results of Audit ................................................................................................................. 2
 

Urban Area Grant Management Practices Were Generally Effective, But Require 


Some Improvements ................................................................................................. 2
 

Exercise Reporting Requirements ................................................................................ 3
 

Recommendations ........................................................................................................ 4
 

Management Comments and Auditors’ Analysis ........................................................ 4
 

Appendices 

Appendix A: Purpose, Scope, and Methodology ....................................................... 6
 

Appendix B: Management Comments to the Draft Report ..................................... 10
 

Appendix C: Homeland Security Grant Program Background ............................... 14
 

Appendix D: Arizona Department of Homeland Security Organization Chart ....... 15
 

Appendix E: Report Distribution ............................................................................ 16
 

Abbreviations 

DHS Department of Homeland Security
 

FEMA Federal Emergency Management Agency
 

FY fiscal year
 

OIG Office of Inspector General
 

Table of Contents/Abbreviations 
 

OIG
 

Department of Homeland Security 

Office of Inspector General 

Executive Summary 

Public Law 110-53, Implementing Recommendations of the 9/11 

Commission Act of 2007, requires the Department of Homeland 

Security, Office of Inspector General, to audit individual states’ 

management of State Homeland Security Program and Urban 

Areas Security Initiative grants. This report responds to the 

reporting requirement for the State of Arizona and its Urban Areas 

Security Initiative grants. 

The objectives of the audit were to determine if the State of 

Arizona distributed and spent Urban Areas Security Initiative grant 

funds (1) effectively and efficiently and (2) in compliance with 

applicable federal laws and regulations. We were to also address 

the extent to which grant funds enhanced the State of Arizona’s 

ability to prevent, prepare for, protect against, and respond to 

natural disasters, acts of terrorism, and other man-made disasters. 

The audit included a review of approximately $48.5 million in 

Urban Areas Security Initiative grants awarded to the State of 

Arizona during fiscal years 2007 through 2009. 

Generally, the State of Arizona did an effective and efficient job of 

administering the program requirements, distributing grant funds, 

and ensuring that all available funds were used. The State of 

Arizona formed strategic planning working groups to ensure that 

the State strategy and the Urban Areas Security Initiative strategy 

were in alignment with the target capabilities, and to identify gaps 

in the strategy and corrective action needed to close the gaps. The 

State of Arizona monitored performance and measured 

preparedness improvement. The State of Arizona spent grant 

funds in accordance with grant requirements and State-established 

priorities, and allocated funding based on threats, vulnerabilities, 

capabilities, and priorities. 

However, we identified one area for improvement: compliance 

with exercise reporting requirements. Our recommendations call 

for the Federal Emergency Management Agency (FEMA) to 

initiate improvements which, when implemented, should help 

strengthen program management, performance, and oversight. 

FEMA concurred with the recommendations. 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 1 
 

Background 

The Homeland Security Grant Program provides federal funding to 

help state and local agencies enhance capabilities to prevent, 

protect against, respond to, and recover from terrorist attacks, 

major disasters, and other emergencies. 

The State of Arizona (State) received $95.1 million in Homeland 

Security Grant Program funds during fiscal years (FY) 2007, 2008, 

and 2009. This included $48.5 million in Urban Areas Security 

Initiative grants. Appendix A provides details on the purpose, 

scope, and methodology for this audit. 

The Governor of Arizona designated the Arizona Department of 

Homeland Security as the State Administrative Agency, the entity 

responsible for administering the Homeland Security Grant 

Program. The State Administrative Agency is responsible for 

managing the financial and reporting aspects of the grant programs 

in accordance with established federal guidelines and allocating 

funds to local, regional, and other state government agencies. 

FEMA designated the cities of Phoenix and Tucson as the Urban 

Areas for the State. The Phoenix and Tucson Urban Area Working 

Groups are responsible for the programmatic and performance 

aspects of the grant programs. The Arizona Department of 

Homeland Security organization is depicted in appendix D. 

Results of Audit 

Urban Area Grant Management Practices Were Generally 

Effective, But Require Some Improvements 

Overall, the State Administrative Agency did an efficient and effective job 

of administering the Urban Areas Security Initiative grant program 

requirements, distributing grant funds, and ensuring that all available 

funds were used. The State Administrative Agency formed strategic 

planning working groups to ensure that the State strategy and the Urban 

Areas Security Initiative strategy were in alignment with the target 

capabilities, and to identify gaps in the strategy and corrective action 

needed to close the gaps. The State Administrative Agency monitored 

performance and measured preparedness improvement. The State 

Administrative Agency spent grant funds in accordance with grant 

requirements and State-established priorities, and allocated funding based 

on threats, vulnerabilities, capabilities, and priorities. 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 2 
However, as demonstrated by the results contained in this report, 

improvements are needed with respect to compliance with exercise 

reporting requirements. 

Exercise Reporting Requirements 

The State Administrative Agency and the Urban Area Working Groups for 

the Phoenix and Tucson Urban Areas were unable to provide 

documentation to support that all After Action Reports and Improvement 

Plans for FEMA-supported exercises were completed and submitted to 

FEMA within 60 days. The Phoenix and Tucson Urban Area Working 

Groups are responsible for the performance aspects of the Urban Areas 

Security Initiative program. The subgrantee hosting the exercise is 

responsible for preparing and submitting the After Action Report and 

Improvement Plan to the respective Urban Area, but none of the 

subgrantees retained records documenting the completion of the program 

requirement to submit the After Action and Improvement Plans to FEMA. 

The Homeland Security Grant Program Guidance Application Kit for 

FYs 2007 to 2009 states that the exercises implemented with grant funds 

should be threat-based 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. Grant recipients must report on scheduled exercises and 

ensure that an After Action Report and Improvement Plan are prepared for 

each exercise conducted with FEMA support (grant funds or direct 

support) and submitted to FEMA within 60 days following completion of 

the exercise. 

The Arizona Department of Homeland Security does not have procedures 

in place to ensure that After Action Reports and Improvement Plans are 

prepared. These reports are a critical management tool that documents 

weaknesses identified by exercises and provides a basis to track corrective 

actions needed to improve the first responders’ capability to respond to all 

hazard events. This could hamper FEMA, the State Administrative 

Agency and the Urban Area Working Groups’ ability to properly assess 

capability gaps and corrective actions needed to enhance the State’s first 

responder capabilities. Also, Urban Areas Security Initiative program 

resources could be wasted repeating exercises or conducting exercises that 

do not focus on the Urban Area’s preparedness deficiencies. 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 3 
Recommendations

We recommend that the Assistant Administrator, Grant Programs 

Directorate, direct the State Administrative Agency to:

Recommendation #1: Submit After Action Reports and 

Improvement Plans for those exercises where it has not already 

done so, or question the costs associated with exercises for which 

the State Administrative Agency does not produce the required 

report. 

Recommendation #2: Develop and implement policies and 

procedures to prepare After Action Reports and Improvement 

Plans and submit those reports to FEMA within 60 days following 

completion of the exercise. 

Management Comments and Auditors’ Analysis

FEMA officials concurred with the recommendations. The

officials said that the corrective actions outlined by the Arizona

Department of Homeland Security in their response to this report 

sufficiently address the intent of both recommendations. 

According to FEMA, the State has verified its timely submission 

of all relevant After Action reports and Improvement Plans. 

State of Arizona officials did not agree with the nature of the 

finding reported. State officials said that all Exercise After Action 

Reports and Improvement Plans were submitted to FEMA. The 

officials also stated that they will implement enhancements to

policies and procedures for the FY 2011 funding cycle to improve 

monitoring and tracking of Exercise After Action Reports and 

Improvement Plans. Specifically, the State will take the following

actions: 

 Request exercise hosts to post all exercises within 180 days 

of completion, 

 Email copies of the reports to County, State, and FEMA 

Regional and headquarters officials, and

 Incorporate into the grant closeout process the validation of 

reports in subgrantee files. 

The actions taken by FEMA and the State are responsive to 

address the intent of recommendation 1, which is considered 

resolved and closed. The actions proposed by FEMA and the 

State, when fully implemented, will address the conditions 

The State of Arizona’s Management of Urban Areas Security 

Initiative Grants Awarded During Fiscal Years 2007 through 2009 

Page 4
identified during the audit. Recommendation 2 is considered 

resolved, and will remain open pending implementation of the 

proposed corrective actions beginning with the FY 2011 funding 

cycle. 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 5
 
 

Appendix A 

Purpose, Scope, and Methodology 

The objective of this audit was to determine whether the State 

distributed and spent Urban Areas Security Initiative grant funds 

strategically, effectively, and in compliance with laws, regulations, 

and guidance. The goal of this audit was to identify problems and 

solutions in order to assist FEMA and the State to improve the 

nation’s ability to prevent and respond to all hazards on a local as 

well as a statewide level. 

The scope of this audit included the plans developed by the State to 

improve preparedness and all hazards response, the goals set 

within those plans, the measurement of progress towards the goals, 

and the assessments of performance improvement that result from 

this activity. Further, the scope included the assessment of these 

activities within the context of risk to determine if the State’s plans 

produced strategic performance improvements related to the 

highest areas of risk rather than merely producing improvements in 

a broader sense. 

Together, the entire Homeland Security Grant Program and its five 

interrelated grant programs fund a range of preparedness activities, 

including planning, organization, equipment purchase, training, 

exercises, and management and administration costs. Because of 

the interrelationship of these grant programs, all were considered 

when evaluating the planning cycle and the effectiveness of the 

overall grant program. However, only Urban Areas Security 

Initiative funding, and equipment and programs supported by the 

grant funding, were reviewed for compliance. State Homeland 

Security Program grants were addressed in the Department of 

Homeland Security (DHS) Office of Inspector General (OIG) 

report “The State of Arizona’s Management of State Homeland 

Security Grants Awarded During Fiscal Years 2004 through 

2006,” OIG-08-99, September 2008. 

The scope of the audit included the Urban Areas Security Initiative 

grant awards for FYs 2007, 2008, and 2009 as shown in the 

following table: 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 6 
Appendix A 

Purpose, Scope, and Methodology 

Homeland Security Grant Program Awards 

FYs 2007 through 2009

Funded Activity FY 2007 FY 2008 FY 2009 Total 

Urban Areas

Security Initiative $16,820,000 $16,315,500 $15,335,150 $48,470,650

State Homeland 

Security Program $9,120,000 $13,400,000 $13,086,500 $35,606,500

Law Enforcement 

Terrorism Prevention 

Program 

$6,520,000 Not

Applicable 

Not

Applicable $6,520,000

Citizen Corps 

Program $281,549 $291,932 $290,414 $863,895

Metropolitan

Medical Response $1,032,581 $1,284,884 $1,284,884 $3,602,349

System Program 

Grand Total $33,774,130 $31,292,316 $29,996,948 $95,063,394

Source: Federal Emergency Management Agency 

Within the State of Arizona, the State Administrative Agency 

subawarded Urban Areas Security Initiative funds to two urban 

areas that consist of Tucson and its surrounding counties, cities and 

towns, and Phoenix and its surrounding counties and cities; and 

seven state agencies. In accordance with the audit guide, we 

visited the following subgrantees: 

State Agencies

Arizona Department of Agriculture 

Arizona Department of Corrections 

Arizona Department of Homeland Security (State 

Administrative Agency) 

Arizona Department of Public Safety 

Arizona Department of Transportation 

Arizona Government Information Technology Agency 

Arizona Radiation Regulatory Agency 

Tucson Urban Area 

Marana Police Department

Northwest Valley Fire Department 

Oro Valley Police Department

Pima County Office of Emergency Management

Pima County Sheriff’s Department 

Sahuarita Police Department

Tucson Fire Department

Tucson Police Department 

The State of Arizona’s Management of Urban Areas Security 

Initiative Grants Awarded During Fiscal Years 2007 through 2009 

Page 7
Appendix A 

Purpose, Scope, and Methodology 

Phoenix Urban Area

Buckeye Police Department

Gilbert Fire Department

Gilbert Police Department 

Glendale Fire Department 

Glendale Police Department

Goodyear Fire Department

Goodyear Police Department 

Maricopa County Sheriff’s Department 

Mesa Fire Department

Mesa Police Department

Phoenix Office of Emergency Management

Phoenix Fire Department

Phoenix Police Department 

Peoria Fire Department

Peoria Police Department 

Scottsdale Fire Department

Surprise Fire Department

Tempe Fire Department

Tempe Police Department 

The team reviewed a sample of the Urban Areas Security 

Initiative’s expenditures representing 80% of the dollar value 

expended for each grant year to determine the sufficiency of 

internal controls. 

To ensure compliance with DHS OIG sample selection 

requirements, we selected 27 first responders and 7 state agencies

per grant year. Based on our review of the listing of subrecipients 

(after totaling the expenditures per recipient for the grant year) we 

selected 100% of the subrecipients in the Tucson Urban Area to 

visit. For the Phoenix Urban Area, we selected 100% of the state

agencies and the 19 local recipients with the largest expenditures 

for each grant year to visit. 

We conducted this performance audit between October 2010 and 

May 2011 pursuant to the Inspector General Act of 1978, as

amended, and according to generally accepted government

auditing standards. Those standards require that we plan and 

perform the audit to obtain sufficient, appropriate evidence to 

provide a reasonable basis for our findings and conclusions based 

upon our audit objectives. We believe that the evidence obtained 

provides a reasonable basis for our findings and conclusions based 

upon our audit objectives. 

The State of Arizona’s Management of Urban Areas Security 

Initiative Grants Awarded During Fiscal Years 2007 through 2009 

Page 8
Appendix A 

Purpose, Scope, and Methodology 

Although this audit included a review of costs claimed, we did not 

perform a financial audit of those costs. This was a performance 

audit as defined by Chapter 1 of the Standards and included a 

review and report of program activities with a compliance element. 

Williams, Adley & Company-DC, LLP was not engaged to and did 

not perform a financial statement audit, the objective of which 

would be to express an opinion on specified elements, accounts, or 

items. 

Accordingly, Williams, Adley & Company-DC, LLP was neither 

required to review, nor express an opinion on, the costs claimed for 

the grant programs included in the scope of the audit. Had 

Williams, Adley & Company-DC, LLP been required to perform 

additional procedures, or conduct an audit of financial statements 

in accordance with generally accepted auditing standards, other 

matters might have come to their attention that would have been 

reported. This report relates only to the programs specified and 

does not extend to any financial statements of the State of Arizona. 

While the audit work was performed and the report was prepared 

under contract, the audit results are being reported by the DHS 

Office of the Inspector General to appropriate FEMA and State of 

Arizona officials. 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 9 
Appendix B 

Management Comments to the Draft Report 

Page 10
 

tJ.S. l)eplIrtlllcnt of llomelllnd Seeurif)

Washillgtoll, DC 20472

FEMA

JAN 23 2012

MEMORANDUM FOR: Anne. L. Richards

Assistant Inspector General for Audits

Office ofInspector General

FROM: David J. KaufmafiA /--

Director ·vfV

FEMA Office of Policy and Program Analysis

SUBJECT: Comments to OIG Draft Report, The State qjArizo17a "s Management

(~I'Urban Areas Sccuri(v Initiative Grants Aww;ded During Fiscal

Years 2007 through 2009

Thank you for the opportunity to comment on the draft report. The findings in the report will be used

to strengthen the eft'ectiveness and efficiency of how we execute and measure our programs. We

recognize the need to continue to improve the process, including addressing the recommendations

mised in this report. Our responses to the recommt.--ndations arc as follows:

Recommendation #1: We reCOn1nK11d that the Assistant Administrator, Grant. Programs

Directorate, direct the State Administrative Agency to submit outstanding After Action Reports and

Improvement Plans for those exercises where it has not already done so or question the costs

associat.ed \vith exercises f()r which the State Administrative Agency docs not produce the required

report.

Recommendation #2: \Ve recommend that the Assistant Administrator, Grant Programs

Directorate, direct the State Administrative Agency to develop and implement internal polic-ies and

procedures to prepare, track and account for the submissions ofAfter Action Reports (AARS) and

Improvement Plans (IPs) to FEMA., within the required number of days as stated in the applicable

year's grant guidance and application kit. following completion ofthe exercise.

FEl\lA Respouse: FE;\!A concurs with both recommendations.

FEMA believes t'hat corr'-'Ctivc act.ions outlined by the J\rizona Department ofHomeland Security

(AZDOHS) in its response to the subject report sufficiently address tile inte-nt of both

recommendations. The AZDOHS has verified its timely submission of all relevant A..:\Rs!£Ps into

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 
Appendix B 

Management Comments to the Draft Report 

Page 11
 

the HSEEP Toolkit for the period 2002-2012. AZDOHS also indicated that it wil.! take the following

actions to improve the monitoring and tracking offuture AAR and lP reporting:

• Require exercise hosts/lead agencies to post nil exercises, documentation, and AARs/IPs via

the HSEEP Toolkit \\·;lhin 180 days of conlpletion.

• E-mail copies of the rcports to the County Emergency Manager, AZDOHS. FEMA Region

and DH he'ddquartcrs.

• AZDHS will obtain access to HSEEP in order to track compliance

• The AZDOHS closeout process will incorporate a validation to ensure that AARs!1Ps are

includ(.--d in the subgrantee file.

FEMA believes that these actions satisfy the intent ofthe recommendations and requests that

both be resolved and closed.

Again, we thank you for the opportunity to review your report. If you have furtht.'!' questions,

please do not hesitate to call Gina A. Norton, FEMA Audit Liaison Office, 202-646-4287.

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 
Appendix B 

Management Comments to the Draft Report 

Page 12
 

State of Arizona

Department of Homeland Security

Governor Janice K. Brewer Director Gilbert M, Orrantla

December 16, 2011

Ms. Jocelyn HIli

Williams, Adley & Company

1250 H. Street Suite 1150

Washington, D.C. 20005

Dear Ms. Hill:

The Arizona Department of Homeland Security (AZDOHS) appreciates the opportunity to comment on this

report. We appreciate the Office of the Inspector General's (OIG) interest in our programs. We have provided a

response for the Audit recommendation.

Finding: Exercise Reporting Requirements: The State Administrative Agency and the Urban Area

Working Groupsfor the Phoenix and Tucson Urban Areas were unable to provide documentation to

support that 0/1 AfterAction Reports and Improvement Plans for FEMA-supported exercises were

completed and submitted to FEMA within 60 days.

AZDOHS disagrees that this should be a finding; based upon the removal of the online access to the secure

FEMA Preparedness Portal on September 14, 2009. This was the location where all of Arizona's 2007-2009 After

Action Report (AAR)/lmprovement Plans (IP) were uploaded to FEMA. Neither FEMA nor the Phoenix and

Tucson UASls have support documentation that these AARs were uploaded within the 90-day requirement

because the Portal was dismantled. The Phoenix and Tucson UASls do have copies of FFY 2007-2009 VASI grant

funded Exercise AAR/IPs.

The FFY 2011 Grant Guidance states, "Grantees must develop After Action Report/Improvement Plans (AAR/IPs)

following the completion of exercises funded under this program; the use of HSEEP is strongly encouraged.

MR/IPs are to be submitted to hseep@dhs.gov. Grantees may use systems such as the HSEEP Corrective Action

Program (CAP) for the tracking of corrective actions. Grantees may also share their AAR/IPs via lessons learned

Information Sharing (lllS.gov)."

However, per direction from the NED (National Exercise Division), Arizona began uploading the AAR/IP's to the

HSEEP Toolkit where the exercise is required to be posted if Federal funds are being used to support the

exercise. A comprehensive list of Arizona's exercises for 2002-2012 Is posted in the HSEEP Toolkit. All AAR's

were uploaded within 90-days after the completion of exercises. Currently the HSEEP Toolkit does not have a

Summary Report for State use to validate time of completion. The AZDOHS plans to submit a request to FEMA

recommending they consider adding a field or columns in the HSEEP Toolkit to allow the State Administrative

Agencies (SAA) the ability to track by funding source and to monitor timely submissions ofAAR/IPs.

1700 West Washington Street Phoenix. Arizona 85007

Office: (602) 542-7030 Fax: (602) 364-1521 www.azdQhs.gov

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 
Appendix B 

Management Comments to the Draft Report 

Page 13
 

The AZOOHS will imp~nt the followins process en~ncemef"lts for the FfY2011 fundi,. cyde to improve

monltorinl 'nd ~reExerciseAAA/lPs.

• Require exercise hosb/Il!ad i1gencies to post ,11 tllerdses, docuffleflL1tion..nd AAlVIPs

.... the HSEEP Toolkit within 90 days of completion of the event. ThiJ wil be the pri~ry

~thod used 10 tndt AAR completion.

• In Jddition to u~ircMRs in the HSEEP T~ ellefdse hosts will be requi~ lO

e~il the AAR to the COunty Emergency Mill\ilief, HMA RtJion IX Exercise POe,.nd the

HSlEP@dhs,goy ema~ Jddtess per &filnt guidJlICl! with , toUrtny copy to the AZOOHS

Stntegic pt,nner.nd ADEM EJtert:r;e Officer.

• The AZOOHS SIntegic pt,/1IIll!D will ,Iso obtain JCCeSS to the HSEEP Toolkit in ord@orlO

tract c.ompliJnce with AAR report..boise<! on the fundi<1& SOUIU! indicated.

• The AZOOHS w~nt doseout proc::ess will.1so lncorponte. wlidJtion to m~.copy

orthe MR/IPs ,re included in the $Ubgnntee file.

We 'wKii!te the work completed by yolK office to .ssisI the St,te of Arlrof\il In improvlog the maf\ilgement of

homelilnd SKUrity granu. AZOOHS is "tire this opportunity lO enhilnce its elll!rcise prognm 'nd reportinc

requitemenu.

P\e.se.dYise if we an provide further information ordarif1Ciltion.

Sincerely.

~Jli)~ Gilbert M. Ornntla

Dlrect:or

GMO!lIh

cc: Michael Sivev, Olreaor, Grants Management. Office of tile Inspector General

Anne t. Richards. Assistant Inspel;tor General for Audits. Offlce of the Inspector General

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 
Appendix C 

Homeland Security Grant Program Background 

The Homeland Security Grant Program provides federal funding to 

help state and local agencies enhance their capabilities to prevent, 

protect against, respond to, and recover from terrorist attacks, 

major disasters, and other emergencies. The Homeland Security 

Grant Program encompasses several interrelated federal grant

programs that together fund a range of preparedness activities, 

including planning, organization, equipment purchase, training, 

and exercises, as well as management and administration costs.

Programs include: 

State Homeland Security Program provides financial 

assistance directly to each of the states and territories to

prevent, respond to, and recover from acts of terrorism and 

other catastrophic events. The program supports the 

implementation of the State Homeland Security Strategy to

address the identified planning, equipment, training, and 

exercise needs. 

Urban Areas Security Initiative provides financial assistance

to address the unique planning, equipment, training, and 

exercise needs of high risk urban areas, and to assist in building 

an enhanced and sustainable capacity to prevent, respond to, 

and recover from threats or acts of terrorism and other

disasters. Allowable costs for the urban areas are consistent 

with the State Homeland Security Program. Funding is 

expended based on the Urban Area Homeland Security 

Strategies.

In addition, the Homeland Security Grant Program includes other 

interrelated grant programs with similar purposes. Depending on 

the fiscal year these include: 

Metropolitan Medical Response System 

Citizen Corps Program 

Law Enforcement Terrorism Prevention Program 

(through FY 2007) 

The State of Arizona’s Management of Urban Areas Security 

Initiative Grants Awarded During Fiscal Years 2007 through 2009 

Page 14
Appendix D 

Arizona Department of Homeland Security Organization Chart 

Source: Arizona Department of Homeland Security 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 15
 
Appendix E 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chief of Staff 

General Counsel 

Executive Secretariat 

Director, GAO/OIG Liaison Office 

Assistant Secretary for Office of Policy 

Assistant Secretary for Office of Public Affairs 

Assistant Secretary for Office of Legislative Affairs 

Federal Emergency Management Agency 

Administrator 

Assistant Administrator, Grant Programs Directorate 

Federal Emergency Management Agency Audit Liaison 

Grant Programs Directorate Audit Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees, as 

appropriate 

The State of Arizona’s Management of Urban Areas Security
 

Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 16
 
 

 

ADDITIONAL INFORMATION AND COPIES 

To obtain additional copies of this report, please call the Office of Inspector General 

(OIG) at (202)254-4100, fax your request to (202)254-4305, or e-mail your request to 

our OIG Office of Public Affairs at DHS-OIG.OfficePublicAffairs@dhs.gov. For 

additional information, visit our OIG website at www.oig.dhs.gov or follow us on Twitter 

@dhsoig. 

OIG HOTLINE 

To report alleged fraud, waste, abuse or mismanagement, or any other kind of criminal 

or noncriminal misconduct relative to Department of Homeland Security programs and 

operations: 

• Call our Hotline at 1-800-323-8603 

• Fax the complaint directly to us at (202)254-4292 

• E-mail us at DHSOIGHOTLINE@dhs.gov; or 

• Write to us at: 

DHS Office of Inspector General/MAIL STOP 2600, 

Attention: Office of Investigation - Hotline, 

245 Murray Drive SW, Building 410 

Washington, DC 20528 

The OIG seeks to protect the identity of each writer and caller.