FY 2007

Urban Area Security

Initiative (UASI):
NYC Urban Area

Program Guidance

NYS Office of Homeland Security

 Table of Contents

Program Overview 3

Guidance, Requirements, and New Information 3-5

Authorized Program Expenditures 6-11

Appendix A: G&T Workplan Codes 12-13

Appendix B: NYC UASI Investment Listing, 8 National 14-15

Priorities, and 37 Target Capabilities

Appendix C: Allowable Cost Matrix 16-18

Appendix D: Target Capability Linkages to HSGP 19

Funding Streams

Appendix E: Exercise Notification Form 20-21

Appendix F: OHS Contact Listing 22

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I. Program Overview

The FY 2007 UASI program provides financial assistance to address the unique
multi-discipline planning, operations, equipment, training and exercise needs of
high-threat, high-density Urban Areas, and to assist them in building and
sustaining capabilities to prevent, protect against, respond to, and recover from
threats or acts of terrorism.

The FY 2007 UASI program provides the opportunity to enhance regional

preparedness efforts. Urban Areas must employ regional approaches to overall
preparedness and are encouraged to adopt regional response structures
whenever appropriate to meet the goals identified in the Urban Area Homeland
Security Strategy and common, measurable objectives. Security and
preparedness officials at all levels should seek opportunities to leverage funding
from multiple sources whenever possible and not restrict activities to federal
funding alone. According to DHS’s FY07 HSGP grant guidance, the State
Administrative Agency (which is the Office of Homeland Security in NYS) must
ensure that the identified Urban Areas take an inclusive regional approach to the
development and implementation of the FY 2007 UASI program and involve the
contiguous jurisdictions, mutual aid partners, port authorities, rail and transit
authorities, State agencies, Citizen Corps Councils, and MMRS(s) in their
program activities.

II. General Guidance, Requirements, and New Information

Directions for Completing Application (Guidance): To complete this

application for FY07 UASI funds, grantees should review this Program Guidance
document and the Application Instructions. Finally, all budgetary and
programmatic information should be entered in the NYS Office of Homeland
Security’s electronic E-Grants system. Applications for FY07 UASI funds are due
to OHS in E-Grants by October 31, 2007.

E-Grants System (New Information): The NYS Office of Homeland Security

recently acquired its own grants management system called “E-Grants”. E-
Grants is similar in style to the older GMS system that OHS had previously
utilized from the NYS Division of Criminal Justice Services (DCJS), but this new
E-Grants tool has many new capabilities and increased functionality for users. If
you have questions about the new E-Grants tool, please consult the “Application
Instructions” document included in your award package. For questions not
addressed in the packet, please contact OHS’s Grant Hotline at (866) 837-9133.

Period of Performance (New Information): The period of performance for FY07

UASI funds is 36 months. (7/1/07-6/30/10).

Application Linkages (Requirement): All allocations and use of funds under the
UASI must support the NYC UASI’s Homeland Security Strategy and one or

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more of the UASI’s 11 Investment Justifications (Appendix B). Moreover, all
allocations under the UASI must support the National Preparedness Goal, which
includes the 8 National Priorities and the 37 Target Capabilities, and the G&T
Workplan Codes (Appendix A). For more information on the National
Preparedness Goal, please refer to
http://www.ojp.usdoj.gov/odp/assessments/hspd8.htm.

Development of Projects (Guidance): In an effort to ease the application

development process for grantees, the NYS Office of Homeland Security is
encouraging counties to develop fewer projects under the “work plan” tab in E-
Grants. For each project you develop, you will be able to list out the task(s) you
will complete in support of that project. By combining related tasks under an
overarching project, you will be able to submit a condensed application, thus
reducing your workload.

Drawdown of Funds/Interest (Requirement): Grantees and subgrantees will

be permitted to drawdown funds for up to 120 days prior to
expenditure/disbursement. Funds must be placed in an interest bearing account
and grantees/subgrantees must account for this interest earned. Local units of
government may keep interest earned on Federal grant funds up to $100 per
federal fiscal year. This maximum limit is not per award; it is inclusive of all
interest earned as a result of all Federal grant program funds received per year.
Interest earned in excess of $100 must be remitted to the NYS Office of
Homeland Security.

Inter-County Coordination and Leveraged Funding (Requirement): Similar

to the FY06 UASI application, grantees are asked to describe how they
coordinated the development of their FY07 UASI application with their county’s
FY07 Law Enforcement Terrorism Prevention Plan (LETPP) and State Homeland
Security Program (SHSP) applications. Also, grantees are required to detail
what other preparedness funding (Transit Security Grant Program, EMPG,
Citizen Corps, etc.) they have leveraged in support of the projects including in
this year’s FY07 UASI application.

FY07 NIMS Implementation (Requirement): All jurisdictions in NYS are

expected to meet the FY07 NIMS implementation requirements imposed by the
federal Department of Homeland Security. Please contact NYS’s NIMS
Information Coordinator, Dan Reardon, if you have questions about NIMS
implementation. (Dan Reardon; NYS Office of Homeland Security; (315) 768-
5681; nims@security.state.ny.us)

Tribal Nations (Requirement): For recognized Tribal Nations with County

boundaries, it is expected that applications will reflect homeland security-related
concerns and interests of any recognized Tribal Nation contained in whole or in
part within the county.

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Notice of Waiver for FY07 HSGP Funds (Guidance): Jurisdictions may choose
from the following options if they do not want to accept their FY07 HSGP award:

1. Jurisdictions may request that the State retain the local unit of
government’s allocation of grant funds and spend it on their jurisdiction’s
behalf; or
2. Jurisdictions may refuse an allocation for their jurisdiction with the
understanding that the allocation will be expended by the State of New
York in direct support of other local homeland security efforts in
accordance with FY07 grant guidelines.

If your jurisdiction wishes to exercise either of the above options, please contact
the NYS Office of Homeland Security at (866) 837-9133.

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III. Authorized Program Expenditures

Planning

Urban Areas may use FY 2007 UASI funds for multi-discipline planning efforts to
prioritize needs, update preparedness strategies, allocate resources, and deliver
preparedness programs. These efforts include the collection and analysis of
intelligence and information and the development of policies, plans, procedures,
mutual aid agreements, strategies, and other publications that comply with
relevant laws, regulations, and guidance necessary to perform assigned missions
and tasks. It is explicitly permissible to use planning funds to hire government
and/or contractor personnel to conduct allowable planning activities. For a
complete list of allowable planning costs, please refer to Appendix C: Allowable
Cost Matrix.

Organizational Costs

Organizational Costs are allowable under the FY07 UASI grant, however, no
more than 25% of your UASI award may be used for the allowable organizational
costs outlined below.

• Operation overtime costs associated with increased security measures at

critical infrastructure sites during DHS-declared periods of heightened
alerts. This includes:
o Backfill and overtime expenses for staffing State or local
emergency operations centers (EOCs) and/or fusion centers.
o Hiring of contracted security for critical infrastructure sites.
o Public safety overtime
o Increased border security activities in coordination with U.S.
Customs and Border Protection (CBP), as outlined in G&T
Information Bulletin #135
(http://www.ojp.usdoj.gov/odp/docs/bulletins.htm)

Consumable costs, such as fuel expenses, are not allowed.

• Full-Time Counterterrorism Staffing Pilot: The NYS UASI has been

identified as one of seven “Tier 1” Urban Areas by DHS in FY07. As such,
the NYC UASI is eligible to participate in the FY07 Full-Time
Counterterrorism Staffing Pilot. Under this pilot, the NYPD and the Port
Authority Police Department will be able to use FY07 UASI funds to
support non-overtime (or regular time) costs for existing positions that are
currently assigned to full-time counterterrorism duties, including
intergovernmental assignments. (Counterterrorism duties include such
activities as intelligence gathering, information-sharing, and surveillance).
Costs associated with newly hired personnel or regular time for personnel

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 at all engaged in traditional public safety or non-counterterrorism duties in
these jurisdictions are ineligible.
o Within 60 days of the grant award, agencies participating in the pilot
must submit a detailed audit process to DHS to ensure that no new
personnel are being supported by the pilot; that supported
personnel are involved only in counterterrorism activities; and that
the objectives outlined in the “Counterterrorism Staffing Pilot
Program” Investment (submitted by the NYC UASI) are being
fulfilled. Findings from these audit activities must be submitted to
DHS for review on a semiannual basis.
• Up to 10% of FY07 UASI funds may be used for operational overtime
costs incurred in UASI jurisdictions during Code Yellow and higher alert
levels. The remaining 15% may be used to support costs incurred during
Code Orange and higher alert levels. Operational overtime costs incurred
at National Special Security Events (NSSEs) in UASI jurisdictions, as
designated by the Secretary of Homeland Security, are also allowed.
• Overtime costs are allowable for personnel to participate in information,
investigative, and intelligence sharing activities specifically related to
homeland security. This includes activities such as anti-terrorism task
forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security
Committees, DHS Border Enforcement Security Task Forces, and
Integrated Border Enforcement Teams.
• UASI funds may be used to hire new staff and/or contractor positions to
serve as intelligence analysts to enable information/intelligence sharing
capabilities. In order to be hired as an intelligence analyst, staff and/or
contractor personnel must meet at least one of the following criteria:
o Successfully complete training to ensure baseline proficiency in
intelligence analysis and production within six months of being
hired; and/or
o Previously served as an intelligence analyst for a minimum of two
years either in a Federal intelligence agency, the military, or State
and/or local law enforcement intelligence unit.
Note: A certificate of completion of all intelligence analyst training must
be kept of file with the NYS Office of Homeland Security. Also, costs
associated with hiring intelligence analysts are allowable only for two
years, after which grantees shall be responsible for supporting the
sustainment costs for those intelligence analysts.

Equipment

FY07 UASI funds may be used for equipment acquisition from the 21 equipment
categories listed in the FY 2007 G&T Authorized Equipment List (AEL). The AEL
is available in its entirety online through the Responders Knowledge Base (RKB)
at http://www.rkb.mipt.org. For more information on allowable equipment
categories, please refer to Appendix C: Allowable Cost Matrix.

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Training

FY 2007 UASI funds may be used to enhance the capabilities of State and local
government and non-governmental emergency preparedness and response
personnel through development of a State homeland security program.
Allowable training costs include:
• Establishment of, support for, conduct of, and attendance at preparedness
training programs within existing training academies/institutions,
universities or junior colleges. Preparedness training programs are
defined as those programs related to prevention, protection, response,
and or recovery from natural, technical, or manmade catastrophic
incidents, supporting one or more of the Target Capabilities in alignment
with the National Priorities as stated in the National Preparedness Goal.
o Examples of appropriate programs include, but are not limited to,
CBRNE terrorism, critical infrastructure protection, information and
intelligence sharing, cyber security, and citizen preparedness
through Citizen Corps Councils.
• Overtime and backfill costs associated with attendance at G&T sponsored
and approved training courses are allowable costs under the UASI grant.
• Hiring of Full or Part-Time Staff or Contractors/Consultants to support
training-related activities. (Hiring of full or part-time staff for training
program management must be included in the funding for program
management personnel expenses, which must not exceed 15% of the
total allocation—See “Personnel” section below for more details.)
• Certification/Recertification of Instructors in an allowable cost.
• Reimbursement for tuition for enrollment in higher education programs
that incorporate existing Master’s Degree curricula in homeland security
that are aligned with DHS programs and priorities is an allowable cost,
provided that:
o No more than $10,000 per person during the 36-month period of
performance may be directed to allowable higher education tuition
costs at an accredited college or university.
o Individuals are responsible for a 1/3 tuition expense matching
requirement.
o Individuals cannot qualify for tuition reimbursement from
overlapping periods of performance across different HSGP program
years.
o Individuals must successfully complete coursework at a passing
level of achievement such that they can demonstrate credits earned
towards a Master’s Degree at an accredited college or universities.
o Individuals participating in allowable higher education activities
must commit to two years of additional service to their assigned
State or local agency upon completion or education activities.
Failure to complete two years of service post-completion will result
in the grantee repaying all awarded amounts back to the federal
government.

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For more information on allowable training costs, please refer to Appendix C:
Allowable Cost Matrix.

Exercises

All exercises conducted using HSGP funding must be HSEEP compliant

(https://hseep.dhs.gov/). Please contact Catherine Lowenksi at OHS (518-
457-0554) if you are interested in conducting an exercise using FY07 HSGP
funds.

UASI funds may be used to design, develop, conduct, and evaluate exercises
that:
• Provide homeland security preparedness personnel and volunteers a
venue to practice homeland security prevention, response, and recovery
activities.
• Evaluate prevention and response plans, policy, procedures, and
protocols, including NIMS, the NRP, and State and local EOPs.
• Assess readiness of jurisdictions to prevent and response to terrorist
attacks.
• Encourage coordination with surrounding jurisdictions in prevention,
protection, response, and recovery activities.
• Implementation of the HSEEP, including developing and maintaining a
self-sustaining State Homeland Security Exercise and Evaluation Program
that is modeled on the national HSEEP.
• Grantees should also consider inclusion of law enforcement personnel in
exercise and planning activities focused on mass prophylaxis capabilities.

Allowable Exercise Costs Include:

• Funds used to design, develop, conduct an evaluate an exercise
• Hiring of Full or Part-Time Staff or Contractors/Consultants (Hiring of full
or part-time staff for exercise program management must be included in
the funding for program management personnel expenses, which must not
exceed 15% of the total allocation—See “Personnel” section below for
more details.)
• Overtime and Backfill costs associated with the design, development, and
conduction of exercises are allowable expense.

For a complete list of allowable costs associated with exercises, please refer to
Appendix C: Allowable Cost Matrix.

A Scheduled Exercise Notification Form must be submitted to the Training

and Exercise Division at the NYS Office of Homeland Security (OHS) thirty
days prior to the start of each HSEEP exercise supported with G&T funds,
including any exercise supported by the county through a sub-allocation of
its award. This notification form can now be submitted online via the Office of

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Homeland Security’s website:
http://www.security.state.ny.us/training/exercise_notification.php
A hard copy of the notification form is also included in Appendix E of this
Program Guidance document.

Personnel

Hiring, overtime, and backfill expenses are allowable under this grant only to
perform programmatic activities deemed allowable under existing guidance. Up
to 15% of UASI grant funds may be used to support the hiring of full or part-time
personnel to conduct program activities that are allowable under the FY07 HSGP
(planning, training program management, exercise program management, etc.)
Grantees may hire staff only for program management functions, not operational
duties. The ceiling on personnel costs does not apply to contractors and is in
addition to eligible M&A costs.

Grantees may request that DHS issue a waiver to increase the 15% ceiling on
program management costs. If your jurisdiction would like to request a waiver,
please contact your Program Representative at the NYS Office of Homeland
Security (OHS) (Toll Free Hotline: 866-837-9133) to discuss your request.
Waiver decisions are at the discretion of the federal Department of Homeland
Security and are considered on a case-by-case basis.

Management and Administrative (M&A)

Up to 3% of the award amount may be used to support Management and

Administrative costs associated with the implementation of the grant award.
Examples of allowable M&A costs include:
• Travel costs
• Meeting related expenses
• Authorized office equipment
• Leasing or renting of space for newly hired personnel during the period of
performance for the grant program.

For more information on allowable M&A costs, please refer to Appendix C:

Allowable Cost Matrix.

FY07 Construction and Renovation Guidance

Use of HSGP funds for construction and renovation is generally prohibited except
as outlined below. Such construction and renovation shall be strictly limited and
allowable only when it is a necessary component of a security system at critical
infrastructure facilities.

• Project construction and renovation not exceeding $1,000,000 is

allowable, as deemed necessary by the Assistant Secretary of G&T under

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 the UASI grant. UASI funds may be used for construction and renovation
projects only when those projects specifically address enhanced security
at critical infrastructure facilities. The following actions and improvements
are considered to constitute construction and renovation, and must follow
the approval process outlined below:
o Construction and/or renovation to guard facilities
o Any construction or renovation efforts that change or expand the
footprint of a facility or structure, include security enhancements to
improve perimeter security.
• The following actions and improvements are allowable as non-
construction activities under specific HSGP program guidance and must
comply with National Environmental Policy Act (NEPA) and other relevant
provisions:
o Improved lighting
o Fencing
o Closed-circuit television (CCTV) systems
o Motion detection systems
o Barriers, doors, gates and related security enhancements.
• In addition, the erection of communication towers that are included in a
jurisdiction’s interoperable communications plans are allowed, subject to
all applicable laws, regulations, and licensing provisions.

Construction Approval Process for SHSP, LETPP, and UASI

In order for grantees to draw down funds for construction and renovation costs
under SHSP, LETPP, and UASI grants, grantees must provide to G&T:

• A description of the facility, asset location, whether the infrastructure is

publicly or privately owned, and the construction or renovation project.
• Certification that a facility vulnerability assessment has been conducted
for the facility.
• An outline addressing how the construction or renovation project will
address the identified vulnerabilities from the assessment.
• Consequences of not implemented the construction or renovation project.

Written approval must be provided by G&T prior to the use of any HSGP funds
from construction or renovation.

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 Appendix A: G&T Workplan Codes

01. Establish/enhance a terrorism intelligence/early warning system, center, or

task force
02. Establish/enhance a agro-terrorism preparedness capabilities
03. Establish/enhance cyber security program
04. Establish/enhance emergency operations center
05. Establish/enhance regional response teams
06. Establish/enhance sustainable homeland security training program
07. Administer and manage the FY07 Homeland Security Grant
08. Establish/enhance sustainable Homeland Security Planning Program
09. Establish/enhance citizen awareness of emergency preparedness,
prevention and response measures
10. Establish/enhance citizen / volunteer initiatives
11. Adopt and implement NIMS to include integration of core concepts into
plans and procedures
12. Assess vulnerability of and/or harden/protect critical infrastructure and key
assets
13. Build/enhance a pharmaceutical stockpile and/or distribution network
14. Develop/enhance interoperable communications system
15. Enhance capability to support international border and waterway security
16. Establish/enhance a public health surveillance system
17. Establish/enhance Citizen Corps Councils
18. Establish/enhance explosive ordnance disposal units/bomb squads
19. Establish/enhance public-private emergency preparedness program
20. Establish/enhance sustainable homeland security exercise program
21. Manage, update and/or implement the State Homeland Security Strategy
22. Manage, update and/or implement the Urban Area Homeland Security
Strategy
23. Develop/enhance plans, procedures, and protocols
24. Develop/enhance homeland security / emergency management
organization and structure
25. Enhance integration of metropolitan area public health / medical and
emergency management capabilities
26. Establish/enhance mass care shelter and alternative medical facilities
operations
27. Establish/enhance emergency plans and procedures to reflect the
National Response Plan
28. Develop/enhance state and local geospatial data system/Geographic
Information System (GIS)
29. Enhance capabilities to recover from all-hazards events
30. Enhance capabilities to respond to all-hazards events.

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31. Enhance capability to perform post-incident structural damage and
mitigation assessment.
32. Enhance capability to restore lifelines post incident
33. Enhance capability to support economic and community recovery
34. Establish/enhance fusion center
35. Manage, update and/or implement the Regional Transit Security Strategy
36. Transit Security Grant Program – BUS
37. Transit Security Grant Program – FERRY
38. Transit Security Grant Program – RAIL

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 Appendix B:

FY07 NYC UASI Investment Justifications, 8 National Priorities,

and 37 Target Capabilities

I. FY07 NYC UASI Investment Justifications

1. Citizen Preparedness/CERT Program

2. Fire Services Tiered Response Training
3. Lower Manhattan Security Initiative
4. Regional National Incident Management System
5. Counter-Terrorism Staffing Pilot Program
6. Critical Infrastructure Protection
7. Enhance the Public Health Response Capacity
8. Public Safety Interoperable Communications
9. Regional Catastrophic Planning, Training, Equipment, and Exercises
10. CBRNE Detection
11. Joint Operations Center

II. 8 National Priorities

1. Implement the National Incident Management System (NIMS) and the

National Response Plan (NRP)
2. Expanded Regional Collaboration
3. Implement the Interim National Infrastructure Protection Plan (NIPP)
4. Strengthen Information Sharing and Collaboration Capabilities
5. Strengthen Interoperable Communications Capabilities
6. Strengthen CBRNE Detection, Response, and Decontamination
Capabilities
7. Strengthen Medical Surge and Mass Prophylaxis Capabilities
8. Strengthen Planning and Citizen Preparedness Capabilities

III. 37 Target Capabilities

1. Planning
2. Communications
3. Risk Management
4. Community Preparedness and Participation
5. Information Gathering and Recognition of Indicators and Warnings
6. Intelligence Analysis and Production
7. Intelligence/Information Sharing and Dissemination
8. Law Enforcement Investigation and Operations
9. CBRNE Detection
10. Critical Infrastructure Protection (CIP)

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11. Food and Agricultural Safety and Defense
12. Epidemiological Surveillance and Investigation
13. Public Health Laboratory Testing
14. Structural Damage and Mitigation Assessment
15. Restoration of Lifelines
16. Economic and Community Recovery
17. Onsite Incident Management
18. Emergency Operations Center Management
19. Critical Resource Logistics and Distribution
20. Volunteer Management and Donations
21. Responder Safety and Health
22. Public Safety and Security Response
23. Animal Health Emergency Support
24. Environmental Health
25. Explosive Device Response Operations
26. Firefighting Operations/Support
27. WMD/HazMat Response and Decontamination
28. Citizen Protection: Evacuation and/or In-Place Protection
29. Isolation and Quarantine
30. Urban Search and Rescue
31. Emergency Public Information and Warning
32. Triage and Pre-Hospital Treatment
33. Medical Surge
34. Medical Supplies Management and Distribution
35. Mass Prophylaxis
36. Mass Care (Sheltering, Feeding, and Related Services)
37. Fatality Management

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 Appendix C:
Allowable Cost Matrix

SHSP UASI LETPP MMRS CCP

Allowable Planning Costs
Public education & outreach develop and
implement homeland security programs & adopt
ongoing DHS National Initiatives Y Y Y Y Y
Develop and enhance plans and protocols Y Y Y Y Y
Develop and conduct assessments Y Y Y Y Y
Establish, enhance, or evaluate Citizen Corps
related volunteer programs Y Y Y Y Y
Hiring of full- or part-time staff or contractors/
consultants to assist with planning activities
(not for the purpose of hiring public safety
personnel fulfilling traditional public safety duties Y Y Y Y Y
Conferences to facilitate planning activities Y Y Y Y Y
Materials required to conduct planning activities Y Y Y Y Y
Travel/per diem related to planning activities Y Y Y Y Y
Overtime and backfill costs (IAW operational Cost
Guidance) Y Y Y Y Y
Other project areas with prior approval from G&T Y Y Y Y Y
Allowable Organizational Activities
Overtime for information, investigative, & intelligence
sharing activities (up to 25 percent of the allocation) Y Y
Reimbursement for select operational expenses
associated with increased security measures at
critical infrastructure sites incurred during periods
of DHS-declared Code Orange Y Y
Hiring of full- or part-time staff or contractors for
emergency management activities Y
Hiring of contractors/consultants for participation
in information/intelligence analysis & sharing groups
or fusion center activities (limited to 25 percent of the
allocation) Y Y
Allowable Equipment Categories
Personal Protective Equipment Y Y Y Y
Explosive Device Mitigation & remediation Equipment Y Y Y
CBRNE Operational Search & Rescue Equipment Y Y Y Y
Information Technology Y Y Y Y Y
Cyber Security Enhancement Equipment Y Y Y Y Y
Interoperable Communications Equipment Y Y Y Y
Detection Equipment Y Y Y
Decontamination Equipment Y Y Y
Medical Supplies & Limited Pharmaceuticals Y Y Y Y
Power Equipment Y Y Y Y Y
CBRNE Reference Materials Y Y Y Y Y

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CBRNE Incident Response Vehicles Y Y Y Y
Terrorism Incident Prevention Equipment Y Y Y
Physical Security Enhancement Equipment Y Y Y
Inspection & Screening Systems Y Y Y
Agriculture Terrorism Prevention, Response, &
Mitigation Equipment Y Y Y
CBRNE Response Watercraft Y Y Y
CBRNE Aviation Equipment Y Y
CBRNE Logistical Support Equipment Y Y Y Y
Intervention Equipment Y Y Y
Other Authorized Equipment Y Y Y Y Y
Allowable Training Costs
Overtime & backfill for emergency preparedness
& response personnel attending G&T-sponsored &
approved training classes & technical assistance
programs Y Y Y Y Y
Overtime & backfill expenses for part-time & volunteer
emergency response personnel participating in G&T
training Y Y Y Y Y
Training workshops & conferences Y Y Y Y Y
Full- or part-time staff or contractors/consultants Y Y Y Y Y
Travel Y Y Y Y Y
Supplies Y Y Y Y Y
Tuition for higher education Y Y Y Y Y
Other items Y Y Y Y Y
Allowable Exercise Related Costs
Design, Develop, Conduct & Evaluate an Exercise Y Y Y Y Y
Exercise planning workshop Y Y Y Y Y
Full- or part-time staff or contractors/consultants
Overtime & backfill costs, including expenses for
part-time & volunteer emergency response personnel
participating in G&T exercises Y Y Y Y Y
Implementation of HSEEP Y Y Y Y Y
Travel Y Y Y Y Y
Supplies Y Y Y Y Y
Other Items Y Y Y Y Y
Allowable Management & Admin. Costs
Hiring of full- or part-time staff or contractors/
consultants to assist with the management of the
respective grant program, application requirements,
compliance with reporting & data collection
requirements Y Y Y Y Y
Development of operating plans for information
collection
& processing necessary to respond to G&T data calls Y Y Y Y Y
Overtime and backfill costs Y Y Y Y Y
Travel Y Y Y Y Y
Meeting related expenses Y Y Y Y Y
Authorized office equipment Y Y Y Y Y
Recurring expenses such as those associated with cell

17
phones & faxes during the period of performance of the
grant program Y Y Y Y Y
Leasing or renting of space for newly hired personnel
during the period of performance of the grant program Y Y Y Y Y

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 Appendix D:
Target Capability Linkages to HSGP Funding Streams1
SHSP UASI LETPP MMRS CCP
Common Target Capabilities
Planning Y Y Y Y *
Community Preparedness and Participation Y Y Y Y Y
Communications Y Y Y Y *
Risk Management Y Y *
PREVENT Mission Area Target Capabilities
Info Gathering & Recognition of Indicators & Warnings Y Y Y Y *
Law Enforcement Investigation & Operations Y Y Y *
Intelligence Analysis & Production Y Y Y *
CBRNE Detection Y Y Y Y *
Intelligence/Information Sharing & Dissemination Y Y Y *
PROTECT Mission Area Target Capabilities
Critical Infrastructure Protection Y Y Y *
Epidemiological Surveillance & Investigation Y Y Y
Public Health Laboratory Testing Y Y Y
Food & Agriculture Safety & Defense Y Y Y
RESPOND Mission Area Target Capabilities
Onsite Incident Management Y Y *
Citizen Protection: Evacuation and/or In-Place Protection Y Y Y *
Emergency Operations Center Management Y Y *
Isolation & Quarantine Y Y Y *
Critical Resource Logistics & Distribution Y Y Y *
Urban Search & Rescue Y Y Y *
Volunteer Management & Donations Y Y *
Emergency Public Information & Warning Y Y Y *
Responder Safety & Security Response Y Y Y *
Triage & Pre-Hospital Treatment Y Y Y *
Public Safety & Security Response Y Y Y *
Medical Surge Y Y Y *
Animal Health Emergency Support Y Y *
Medical Supplies Management & Distribution Y Y Y *
Environmental Health Y Y Y *
Mass Prophylaxis Y Y Y *
Explosive Device Response Operations Y Y *
Mass Care Y Y Y *
Firefighting Operations/Support Y Y Y *
Fatality Management Y Y Y *
WMD/Hazardous Materials Response & Decontamination Y Y Y *
RECOVER Mission Area Target Capabilities
Structural Damage & Mitigation Assessment Y Y *
Economic & Community Recovery Y Y *
Restoration of Lifelines Y Y *

1
A * denotes a supporting capability, while a “Y” denotes a direct role.

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 Appendix E:
SCHEDULED EXERCISE NOTIFICATION FORM
FY 2007 UASI Award _________________

All counties must submit this Scheduled Exercise Notification Form to the
Exercise Division at the NYS Office of Homeland Security (OHS) thirty (30)
days prior to the start of each exercise supported with HSEEP funds
including any exercise supported by the county through a sub-allocation of
its HSEEP grant award.

County:_________________________________________________________
Implementing Jurisdiction: _________________________________________
(County or Municipality)
Exercise Lead/Coordinating Agency: ________________________________
Individual Exercise Manager/Coordinator:
Name: ______________________________
Phone Number: _____________________
E-mail Address: ________________________
Exercise Type ____________________________________________________
Exercise Location: ________________________________________________
Exercise Duration: ________________________________________________
Exercise Start Date: ___________________ Exercise Start Time:_________
Exercise End Date: ___________________ Exercise End Time: ________

Participating Agencies:
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________

Estimated Number Of Participants: _______________

Submitting Official:
Name: ___________________________
Title: _____________________________

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Signature: __________________________________________
Date: ___________________
Submit To:
Via Mail: NYS Office of Homeland Security
Attn. Catherine Lowenski
Training and Exercise Division
State Campus – Building 7A
1220 Washington Avenue
Albany, New York 12242

Via Fax: (518) 485-8469

Via Email: exercises@security.state.ny.us

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 Appendix F:

NYS Office of Homeland Security:

Contacts for Grant-Related Issues

Toll-Free Hotline for Grant Issues: 866-837-9133

Contracts Unit: Shelley Wahrlich, Contracts Manager
Office #: (518) 485-7241
Email: swahrlich@security.state.ny.us

Critical Infrastructure Protection: Brian Wright

Office #: (518) 457-8495
Email: cip@security.state.ny.us

Exercises: Catherine Lowenski, Exercise Coordinator

Office #: (518) 457-0554
Email: exercises@security.state.ny.us

NIMS: Dan Reardon, NYS NIMS Information Coordinator

Office #: (315) 768-5687
Email: nims@security.state.ny.us

Program and Planning Unit: Ann Marie Olson, Manager

Office #: (518) 457-8967
Email: amolson@security.state.ny.us

Purchasing: Earl Knowles, Purchasing Agent

Office #: (518) 457-5638
Email: eknowles@security.state.ny.us

TCMax Inventory Program and Training: Hans Hallman, Program Leader

Office #: (518) 452-0858
Email: hhallman@security.state.ny.us

Training: Cliff Parker, Training Coordinator

Office #: (518) 408-1676
Email: training@security.state.ny.us

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