OPSG Program Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
OPERATION STONEGARDEN SUPPLEMENTAL
GUIDANCE AND APPLICATION KIT

AUGUST 2009

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: FY 2009 Operation Stonegarden Supplemental (OPSG-S)
Funding Opportunity Number: DHS-09-GPD-067-2325
Federal Agency Name: Department of Homeland Security/Federal Emergency
Management Agency
Announcement Type: Initial
Dates: Completed applications must be submitted no later than 11:59 PM EDT,
August 25, 2009.
Additional overview information: The FY 2009 OPSG Supplemental funds must be
used to increase operational capabilities of Federal, State, local and tribal law
enforcement, promoting a layered, coordinated approach to law enforcement within the
U.S. Southwest Border States that border Mexico.
FY 2009 OPSG Supplemental eligible applicants include the State Administrative
Agency (SAA) within the four (4) Southwest Border States on behalf of 29 County-level
recipients of FY 2009 OPSG awards.
The following modifications to allowable spending of funds have been made to FY 2009
OPSG Supplemental:
• Funds may be used to activate reserve State, local and tribal law enforcement
personnel (cannot hire new peace officers)
• Funds may be used to pay current part time law enforcement personnel salary
bringing them to full time status
• Funds may be used for travel, per-diem and lodging to support up to six (6)
month deployment of law enforcement personnel to critical Southwest Border
locations to support operational activities
• Fuel and/or fuel mileage reimbursement cap for operation activities is removed
• Backfill costs for personnel supporting operational activities are allowable
• Use of funds to increase operational, material and technological readiness of
State, local and tribal law enforcement agencies continue to be allowable
The Personnel Reimbursement for Intelligence Cooperation and Enhancement (PRICE)
of Homeland Security Act (P. L. 110-412) established that no more than 50 percent of
the amount of the award to a grant recipient may be used for personnel costs (which
includes, but is not limited to: overtime, backfill, and increasing capability by utilizing
part-time and/or reserve law enforcement to support OPSG operational activities).
However, at the request of a grant recipient, the FEMA Administrator may waive the 50
percent personnel cap. Waiver decisions are at the discretion of the FEMA
Administrator and will be considered on a case-by-case basis.
A formal FY 2009 OPSG personnel waiver request should:

i

•
•

•
•

Be requested on official letterhead, include a written justification, and be signed
by the authorized representative of the State Administrative Agency (SAA)
Include a budget and method of calculation of personnel costs both in
percentage of the grant award and in total dollar amount. To avoid supplanting
issues, the request must also include a three-year staffing history for the
requesting entity.
Include an approved Operations Order from the Customs and Border
Protection/Office of Border Patrol (CBP/BP) Sector office which supports the
SAA’s written justification
Be forwarded electronically by the SAA to FEMA’s Grant Programs Directorate
(GPD) Program Analyst

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CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................... 4
Part III. ELIGIBILITY INFORMATION ............................................................................ 6
A.
Eligible Applicants................................................................................... 6
B.
Cost Sharing ............................................................................................ 6
C.
Restrictions .............................................................................................. 6
D.
Other ......................................................................................................... 7
Part IV. APPLICATION AND SUBMISSION INFORMATION ........................................ 8
A.
Address to Request Application Package ............................................. 8
B.
Content and Form of Application ........................................................... 8
C.
Submission Dates and Times ................................................................. 9
D.
Intergovernmental Review ...................................................................... 9
E.
Funding Restrictions ............................................................................... 9
Part V. APPLICATION REVIEW INFORMATION ........................................................ 12
A.
Review Criteria....................................................................................... 12
B.
Review and Selection Process ............................................................. 12
C.
Anticipated Announcement and Award Dates .................................... 12
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 13
A.
Notice of Award ..................................................................................... 13
B.
Administrative and National Policy Requirements ............................. 14
C.
Reporting Requirements ....................................................................... 21
Part VII. FEMA CONTACTS......................................................................................... 24

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PART I.

FUNDING OPPORTUNITY DESCRIPTION
Operation Stonegarden Supplemental (OPSG-S) provides funding to designated
localities to enhance cooperation and coordination between Federal, State, local, and
tribal law enforcement agencies in a joint mission to secure the United States
Southwest Border.
Since its inception, the intent of Operation Stonegarden has been to enhance law
enforcement preparedness and operational readiness along the borders of the United
States. In Fiscal Year (FY) 2006, the Emergency Supplemental Appropriations Act for
Defense, the Global War on Terror, and Hurricane Recovery, 2006 (Public Law 109234) provided a one-time appropriation of grant funding for use at the discretion of the
Secretary of the Department of Homeland Security (DHS) to supplement initial priority
border operations within the four Southwest Border States. As appropriated by the
Consolidated Appropriations Act, 2008 (Public Law 110-161), the FY 2008 OPSG
provided $60,000,000 for local units of government to increase coordination and local
capability in support of Departmental goals including those of the U.S. Customs and
Border Protection (CBP) outlined in the National Border Patrol Strategy. Through the
FY 2008 OPSG, 64 Operations Orders were received from 12 States by the Federal
Emergency Management Agency (FEMA). The 12 States received awards ranging
from $270,000 to $13,040,000; the Operations Orders were funded in amounts ranging
from $50,000 to $6,000,000. As appropriated by the Consolidated Security, Disaster
Assistance, and Continuing Appropriations Act of 2009 (Public Law 110-329), the FY
2009 OPSG provided $60,000,000 for local units of government at the county level or
equivalent and Federally-recognized tribes1 that applied for Federal funds through the
State Administrative Agency (SAA). In FY 2009, OPSG was enhanced to effectively
address the constantly changing threats to our borders based upon new, emerging, and
changing intelligence. Through the FY 2009 OPSG, 131 Operations Orders were
received from 32 States and territories by FEMA. Thirteen States and the territory of
Puerto Rico received awards ranging from $229,008 to $16,719,377.
As appropriated by the Supplemental Appropriations Act, 2009 (Public Law 111-32), the
FY 2009 OPSG Supplemental of $30,000,000 will support U.S. Southwest Border
States in:
•
•

Increasing capability to prevent, protect against, and respond to border
security issues
Encouraging local operational objectives and capabilities to enhance National
and State Homeland Security Strategies

1

Federally-recognized tribe has the same meaning as the term ‘Indian tribe’ in section 4(e) of the Indian
Self-Determination Act (25 U.S.C. 450b(e)).

2

•
•
•

•

Increasing coordination and collaboration among Federal, State, local and
tribal law enforcement agencies
Continuing the distinct capability enhancements required for border security
and border protection
Providing intelligence-based operations through CBP/Border Patrol (BP)
Sector Level experts to ensure safety and operational oversight of Federal,
State, local, and tribal law enforcement agencies participating in OPSG
Supplemental operational activities
Continuing to increase operational, material and technological readiness of
State, local and tribal law enforcement agencies

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PART II.

AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 OPSG Supplemental, describes the basic
distribution method used to determine final grants awards, and identifies all eligible
applicants for FY 2009 OPSG Supplemental funding.
Award Period of Performance
The period of performance of this grant is 36 months. Extensions to the period of
performance will be considered only through formal requests to FEMA with specific and
compelling justifications why an extension is required.
Available Funding
In FY 2009, the total amount of funds distributed under OPSG Supplemental will be
$30,000,000. FY 2009 OPSG Supplemental funds will be allocated based on riskbased prioritization using CBP Sector-specific border risk to include, but not limited to:
threat, vulnerability, miles of border, and other border-specific “law enforcement
intelligence” and feasibility of FY 2009 Operation Orders to designated localities within
the four Southwest Border States.
Table 1. FY 2009 OPSG Supplemental Funding State Allocations

State
Arizona
California
New Mexico
Texas
Total

Allocation
$7,223,737
$7,391,931
$2,599,002
$12,785,330
$30,000,000

Table 2. FY 2009 OPSG Supplemental Funding County-level Allocations

State
Arizona
Arizona
Arizona
Arizona
California
California
New Mexico
New Mexico
New Mexico

Operational County
Santa Cruz County
Pima County
Cochise County
Yuma County
San Diego
Imperial
Hidalgo
Grant
Luna

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Allocation
$1,539,921
$1,538,665
$1,537,409
$2,607,742
$4,992,606
$2,399,325
$661,680
$332,622
$639,077

New Mexico
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Texas
Total

Dona Ana
Zapata County
Webb County
Willacy County
Hidalgo County
Refugio County
Nueces County
Aransas County
Starr County
Cameron County
Kleberg County
San Patricio County
Yselta del Sur Pueblo Tribe
El Paso County
Jeff Davis County
Presidio County
Brewster County
Kinney County
Val Verde County
Maverick County

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$965,623
$1,413,737
$1,412,481
$300,611
$500,762
$299,356
$296,844
$293,077
$493,228
$493,228
$288,054
$288,054
$656,657
$642,844
$927,849
$921,570
$920,315
$878,991
$878,991
$878,681
$30,000,000

PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
The Governor of each State is required to designate a State Administrative Agency
(SAA) to apply for and administer the funds awarded under the FY 2009 OPSG
Supplemental. The SAA is the only entity eligible to apply to FEMA for FY 2009
OPSG Supplemental funds on behalf of the county or similar level of government
and Federally-recognized tribal governments.
To be eligible to receive FY 2009 OPSG Supplemental funding, applicants must meet
NIMS compliance requirements. The NIMSCAST will be the required means to report
FY 2008 NIMS compliance for FY 2009 preparedness award eligibility. All State and
territory grantees were required to submit their compliance assessment via the
NIMSCAST by September 30, 2008 in order to be eligible for FY 2009 preparedness
programs. The State or territory department/agency grantee reserves the right to
determine compliance reporting requirements of their sub-awardees (locals) in order to
disperse funds at the local level.
For FY 2009, there are no new NIMS compliance objectives. If FY 2008 NIMS
compliance was reported using NIMSCAST and the grantee has met all NIMS
compliance requirements, then NIMSCAST will only require an update in FY 2009.
Additional information on achieving compliance is available through the FEMA National
Integration Center (NIC) at http://www.fema.gov/emergency/nims/.
Eligible applicants include the State Administrative Agency (SAA) within the four (4)
Southwest Border States on behalf of 29 County-level recipients of FY 2009 OPSG
awards within the four (4) Southwest Border States, as listed in Tables 1 and 2 in Part
II.
B. Cost Sharing
There is no required cost sharing, matching, or cost participation for the FY 2009 OPSG
Supplemental.
C. Restrictions
Please see Part IV.E. for Management & Administration (M&A) limits and
allowable/unallowable costs guidance.

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D. Other
Federal, State, Local, and Tribal OPSG Coordination Working Group
It is recommended that Federal, State, local, and tribal partners establish and maintain
an OPSG Working Group with representation from all participating law enforcement
agencies, that is co-chaired by representatives from CBP/BP, the SAA, and participating
law enforcement agencies’ OPSG program representatives.
Coordination Requirements
After awards are announced, prospective grant recipients must amend their original FY
2009 draft Operations Orders with an embedded budget, based on actual dollar
amounts to be awarded. Those final Operations Orders will be approved by the
appropriate Sector Headquarters, and forwarded to Headquarters, Office of Border
Patrol, Washington, D.C., before funding is released.
Grantees may not begin operations or draw down any funding until the Operations
Order and embedded budget has been approved by FEMA GPD and CBP/BP
Headquarters and any existing special conditions and/or restrictions are removed. FY
2009 OPSG Supplemental activities are expected to maximize Homeland Security
Grant Program (HSGP) strategic planning efforts and integration with the State and
territory Homeland Security Strategies.

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PART IV.

APPLICATION AND SUBMISSION
INFORMATION
A. Address to Request Application Package
Applications for this supplemental funding must be submitted using the Office of Justice
Programs Grants Management System (GMS). To access GMS, please go to
https://grants.ojp.usdoj.gov/.
B. Content and Form of Application
1. On-line application. The on-line application must be completed and submitted
using GMS. The on-line application includes the following required forms and
submissions:
•
•
•
•
•

Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
Standard Form 424B Assurances (must be submitted as signed attachment)
Certification Regarding Lobbying
Standard Form LLL, Disclosure of Lobbying Activities (only required if the
applicant has engaged in lobbying activities)

The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Homeland Security Grant Program.” The CFDA number is 97.067.
2. DUNS number. The applicant must provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their application. This number is a required
field within GMS. Organizations should verify that they have a DUNS number, or
take the steps necessary to obtain one, as soon as possible. Applicants can receive
a DUNS number at no cost by calling the dedicated toll-free DUNS Number request
line at (866) 705-5711.
3. Operations Order. Upon award, the recipient must amend their original draft FY
2009 OPSG Operations Orders to include funding from the supplemental awards.
The recipient may only fund activities included in an approved FY 2009 OPSG
Operations Order submitted to DHS, and evaluated and approved through the
Federal Review process. Each local unit of government at the county level or
Federally-recognized tribal government recipient must amend their Operations Order
in coordination with State and Federal law enforcement agencies, to include, but not
limited to CBP/BP. Operations Orders that are developed at the county level should
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be inclusive of city, county, tribal, and other local law enforcement agencies that are
eligible to participate in OPSG operational activities, and the Operations Order
should address this in the Executive Summary. The details should include the
names of the agencies, the points of contact, and the individual funding requests.
Upon award, each applicant is required to submit an annual budget addressing
OPSG Supplemental related costs and expenses as part of their amended
Operations Order. This budget should be detailed and should serve to: (1) explain
how the costs were estimated, and (2) justify the need for the costs incurred. For
clarification purposes, the Operations Order may include tables describing cost and
expense elements (e.g., equipment, fuel, vehicle maintenance costs).
See Part IV of FY 2009 OPSG Guidance and Application Kit for Operations Order
Template.
C. Submission Dates and Times
Completed applications must be submitted electronically through GMS no later than
11:59 PM EDT, August 25, 2009. Late applications will neither be considered, nor
reviewed.
D. Intergovernmental Review
Executive Order 12372 requires applicants from State and local units of government or
other organizations providing services within a State to submit a copy of the application
to the State Single Point of Contact (SPOC), if one exists, and if this program has been
selected for review by the State. Applicants must contact their State SPOC to
determine if the program has been selected for State review. Executive Order 12372
can be referenced at http://www.archives.gov/federal-register/codification/executiveorder/12372.html. The names and addresses of the SPOCs are listed on OMB’s home
page available at: http://www.whitehouse.gov/omb/grants/spoc.html.
E. Funding Restrictions
1. Management and Administrative (M&A) Costs. M&A costs are not allowable
under the FY 2009 OPSG Supplemental.
2. Allowable Costs. The intent of this grant is to focus on operational aspects of
enhancing coordination between Federal, State, local, and tribal law enforcement
agencies to increase the security of the U.S. Borders. While equipment is an
allowable expense, the FY 2009 OPSG Supplemental is not intended to be an
equipment-centric grant.
•

Operational Overtime. Operational overtime costs associated with law
enforcement activities, in support of border law enforcement agencies for
increased border security enhancement. Per the PRICE of Homeland

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•
•

•
•
•
•

•
•

Security Act (Public Law 110-412), all grantees are allowed to utilize up to 50
percent of their FY 2009 OPSG Supplemental funding for personnel related
costs, which include overtime activities. At the request of a grant recipient,
the FEMA Administrator may waive the 50 percent personnel cap. Waiver
decisions are at the discretion of the FEMA Administrator and will be
considered on a case-by-case basis. A formal FY09 OPSG Supplemental
personnel waiver request should:
o Be requested on official letterhead, include a written justification,
and be signed by the authorized representative of the State
Administrative Agency (SAA)
o Include a budget and method of calculation of personnel costs both
in percentage of the grant award and in total dollar amount. To
avoid supplanting issues, the request must also include a threeyear staffing history for the requesting entity.
o Include an approved Operations Order from the Customs and
Border Protection/Office of Border Patrol (CBP/BP) Sector office
which supports the SAA’s written justification
o Be forwarded electronically by the SAA to FEMA’s Grant Programs
Directorate (GPD) Program Analyst
Part Time Personnel. FY 2009 OPSG Supplemental funds may be used to
pay additional current part time law enforcement personnel salaries in order
to bring them to full time status.
Travel, Per Diem and Lodging. Travel and per diem costs associated with
the deployment/redeployment of personnel to border areas and for travel
associated with law enforcement entities assisting other local jurisdictions in
law enforcement activities. In addition, costs to support up to six (6) month
deployment of law enforcement personnel to critical Southwest Border
locations to support operational activities (travel costs must be in accordance
with applicable travel regulations).
Vehicle and Equipment Rentals
Vehicle/Equipment Maintenance
Fuel Cost and/or Mileage Reimbursement. The reimbursement cap for
operational activities is removed under FY 2009 Supplemental.
Equipment. FY 2009 OPSG Supplemental funds may also be used for
equipment replacement costs and acquisition of equipment listed under the
Urban Areas Security Initiative (UASI) and Law Enforcement Terrorism
Prevention equipment categories found in the Authorized Equipment List
(AEL). The FY 2009 AEL is available in its entirety online through the
Responder Knowledge Base (RKB) at https://www.rkb.us/
Activate Reserve State, local, and tribal law enforcement personnel
Backfill. Costs associated with backfill for personnel supporting operational
activities.

3. Unallowable Costs. Unallowable costs include costs associated with staffing and
general IT computing equipment and hardware, such as personal computers, faxes,
copy machines, modems, etc. The FY 2009 OPSG Supplemental is not intended as

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a hiring program. Therefore, applying funds toward hiring full-time or permanent
sworn public safety officers is also unallowable. FY 2009 OPSG Supplemental
funding shall not be used to supplant inherent routine patrols and law enforcement
operations or activities not directly related to providing enhanced coordination
between local and Federal law enforcement agencies. Applicants should contact
their FEMA Program Analyst at (800) 368-6498 for guidance and clarification.
Finally, construction and/or renovation costs are prohibited under this grant
application.

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PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
This section summarizes the core process and priorities used to assess applications
under the FY 2009 OPSG Supplemental. The FY 2009 OPSG Supplemental used riskbased prioritization using CBP Sector-specific border risk to include, but not limited to:
threat, vulnerability, miles of border, and other border-specific “law enforcement
intelligence.” Each applicant’s final funding allocation was determined by using a
combination of the results of the risk analysis and feasibility of FY 2009 OPSG
Operation Orders.
B. Review Process
The following process will be used to provide final approval to Operation Orders
submitted under the FY 2009 OPSG Supplemental:
FEMA will verify compliance with all administrative and eligibility criteria identified in the
application kit.
CBP/BP Sector Headquarters will provide a review for completeness and adherence to
programmatic guidelines, as well as consideration of need and impact.
CBP/BP Headquarters and FEMA will evaluate the Operations Order on allowability and
the anticipated feasibility of activities.
Upon award, the recipient may only fund activities included in an approved FY 2009
Supplemental Updated Operations Order submitted to DHS, and evaluated and
approved through the Federal review process.
C. Anticipated Announcement and Award Dates
FEMA will evaluate and act on applications as quickly as possible following the close of
the application period. Awards will be made on or before September 30, 2009.

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PART VI.

AWARD ADMINISTRATION INFORMATION
A. Notice of Award
Upon approval of an application, the grant will be awarded to the grant recipient. The
date that this is done is the “award date.” Notification of award approval is made
through the Grants Management System (GMS). Once an award has been approved, a
notice is sent to the authorized grantee official. Follow the directions in the notification
and log into GMS to access the award documents. The authorized grantee official
should carefully read the award and special condition documents. If you do not receive
a notification, please contact your Program Analyst for your award number. Once you
have the award number, contact the GMS Help Desk at (888) 549-9901, option 3, to
obtain the username and password associated with the new award.
Awards made to SAAs for the FY 2009 OPSG Supplemental carry additional passthrough requirements. Pass-through is defined as an obligation on the part of the
States to make funds available to local units of government, combinations of local units,
or other specific groups or organizations. The State’s pass-through period must be met
within 45 days of the award date for the FY 2009 OPSG Supplemental.2 Four
requirements must be met to pass-through grant funds:
•
•
•
•

There must be action to establish a firm commitment on the part of the awarding
entity
The action must be unconditional (i.e., no contingencies for availability of SAA
funds) on the part of the awarding entity
There must be documentary evidence of the commitment
The award terms must be communicated to the official grantee

FEMA will track the congressionally-mandated obligation of funds to local units of
government through each State’s Initial Strategy Implementation Plan. In addition,
FEMA strongly encourages the timely obligation of funds from local units of government
to other subgrantees, as appropriate.
The period of performance is 36 months. Any unobligated funds will be deobligated at
the end of the 90 day close-out period. Extensions to the period of performance will be
considered only through formal requests to FEMA with specific and compelling
justifications why an extension is required.

2

For purposes of the FY 2009 OPSG Supplemental, receipt of funds means the date on which funds are available for expenditure
(e.g., all special conditions prohibiting obligation, expenditure and draw down have been removed).

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B. Administrative and National Policy Requirements
1. State Preparedness Report. The Post-Katrina Emergency Management Reform
Act of 2006 (Public Law 109-295) requires any State that receives Federal
preparedness assistance to submit a State Preparedness Report to DHS. FEMA will
provide additional guidance on the requirements for updating State Preparedness
Reports. Receipt of this report is a prerequisite for applicants to receive any
FY 2009 DHS preparedness grant funding.
2. Standard Financial Requirements. The grantee and any subgrantee shall comply
with all applicable laws and regulations. A non-exclusive list of regulations
commonly applicable to DHS grants are listed below:
2.1 -- Administrative Requirements.
• 44 CFR Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments
• 2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Non-Profit Organizations (OMB Circular A-110)
2.2 -- Cost Principles.
• 2 CFR Part 225, Cost Principles for State, Local, and Indian tribal
Governments (OMB Circular A-87)
• 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular
A-21)
• 2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB
Circular A-122)
• Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles
and Procedures, Contracts with Commercial Organizations
2.3 -- Audit Requirements.
• OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations
2.4 -- Duplication of Benefits. There may not be a duplication of any federal
assistance, per A-87, Basic Guidelines Section C.3 (c), which states: Any cost
allocable to a particular Federal award or cost objective under the principles
provided for in this Circular may not be charged to other Federal awards to
overcome fund deficiencies, to avoid restrictions imposed by law or terms of the
Federal awards, or for other reasons. However, this prohibition would not
preclude governmental units from shifting costs that are allowable under two or
more awards in accordance with existing program agreements.
3. Non-supplanting Requirement. Grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Applicants or grantees may be required to supply documentation

14

certifying that a reduction in non-Federal resources occurred for reasons other than
the receipt or expected receipt of Federal funds.
4. Technology Requirements.
4.1 -- National Information Exchange Model (NIEM). FEMA requires all
grantees to use the latest NIEM specifications and guidelines regarding the use
of Extensible Markup Language (XML) for all grant awards. Further information
about the required use of NIEM specifications and guidelines is available at
http://www.niem.gov.
4.2 -- Geospatial Guidance. Geospatial technologies capture, store, analyze,
transmit, and/or display location-based information (i.e., information that can be
linked to a latitude and longitude). FEMA encourages grantees to align any
geospatial activities with the guidance available on the FEMA website at
http://www.fema.gov/grants.
4.3 -- 28 CFR Part 23 guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 CFR Part
23, Criminal Intelligence Systems Operating Policies, if this regulation is
determined to be applicable.
5. Administrative Requirements.
5.1 -- Freedom of Information Act (FOIA). FEMA recognizes that much of the
information submitted in the course of applying for funding under this program or
provided in the course of its grant management activities may be considered law
enforcement sensitive or otherwise important to national security interests. While
this information under Federal control is subject to requests made pursuant to the
Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning
the release of information of this nature are made on a case-by-case basis by the
FEMA FOIA Office, and may likely fall within one or more of the available
exemptions under the Act. The applicant is encouraged to consult its own State
and local laws and regulations regarding the release of information, which should
be considered when reporting sensitive matters in the grant application, needs
assessment and strategic planning process. The applicant may also consult
FEMA regarding concerns or questions about the release of information under
State and local laws. The grantee should be familiar with the regulations
governing Sensitive Security Information (49 CFR Part 1520), as it may provide
additional protection to certain classes of homeland security information.
5.2 -- Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002 (Public
Law 107-296) (CII Act), created a new framework, which enables State and local
jurisdictions and members of the private sector to voluntarily submit sensitive
information regarding critical infrastructure to DHS. The Act also provides
statutory protection for voluntarily shared CII from public disclosure and civil

15

litigation. If validated as PCII, these documents can only be shared with
authorized users who agree to safeguard the information.
PCII accreditation is a formal recognition that the covered government entity has
the capacity and capability to receive and store PCII. DHS encourages all SAAs
to pursue PCII accreditation to cover their State government and attending local
government agencies. Accreditation activities include signing a memorandum of
agreement (MOA) with DHS, appointing a PCII Officer, and implementing a selfinspection program. For additional information about PCII or the accreditation
process, please contact the DHS PCII Program Office at [email protected].
5.3 -- Compliance with Federal civil rights laws and regulations. The
grantee is required to comply with Federal civil rights laws and regulations.
Specifically, the grantee is required to provide assurances as a condition for
receipt of Federal funds that its programs and activities comply with the following:
•

Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. 2000 et.
seq. – no person on the grounds of race, color, or national origin will be
excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination in any program or activity receiving Federal
financial assistance.

•

Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794
– no qualified individual with a disability in the United States, shall, by
reason of his or her disability, be excluded from the participation in, be
denied the benefits of, or otherwise be subjected to discrimination in any
program or activity receiving Federal financial assistance.

•

Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
1681 et. seq. – discrimination on the basis of sex is eliminated in any
education program or activity receiving Federal financial assistance.

•

The Age Discrimination Act of 1975, as amended, 20 U.S.C. 6101 et. seq.
– no person in the United States shall be, on the basis of age, excluded
from participation in, denied the benefits of or subjected to discrimination
under any program or activity receiving Federal financial assistance.

Grantees must comply with all regulations, guidelines, and standards adopted
under the above statutes. The grantee is also required to submit information, as
required, to the DHS Office for Civil Rights and Civil Liberties concerning its
compliance with these laws and their implementing regulations.
5.4 -- Services to limited English proficient (LEP) persons. Recipients of
FEMA financial assistance are required to comply with several Federal civil rights
laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws
prohibit discrimination on the basis of race, color, religion, natural origin, and sex

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in the delivery of services. National origin discrimination includes discrimination
on the basis of limited English proficiency. To ensure compliance with Title VI,
recipients are required to take reasonable steps to ensure that LEP persons have
meaningful access to their programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where
necessary. The grantee is encouraged to consider the need for language
services for LEP persons served or encountered both in developing their
proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional information,
see http://www.lep.gov.
5.5 -- Integrating individuals with disabilities into emergency planning.
Section 504 of the Rehabilitation Act of 1973, as amended, prohibits
discrimination against people with disabilities in all aspects of emergency
mitigation, planning, response, and recovery by entities receiving financial
assistance from FEMA. In addition, Executive Order 13347, Individuals with
Disabilities in Emergency Preparedness signed in July 2004, requires the
Federal Government to support safety and security for individuals with disabilities
in situations involving disasters, including earthquakes, tornadoes, fires, floods,
hurricanes, and acts of terrorism. Executive Order 13347 requires the Federal
government to encourage consideration of the needs of individuals with
disabilities served by State, local, and tribal governments in emergency
preparedness planning.
FEMA has several resources available to assist emergency managers in
planning and response efforts related to people with disabilities and to ensure
compliance with Federal civil rights laws:
•

Comprehensive Preparedness Guide 301 (CPG-301): Interim
Emergency Management Planning Guide for Special Needs
Populations: CPG-301 is designed to aid tribal, State, territorial, and
local governments in planning for individuals with special needs. CPG301 outlines special needs considerations for: Developing Informed
Plans; Assessments and Registries; Emergency Public
Information/Communication; Sheltering and Mass Care; Evacuation;
Transportation; Human Services/Medical Management; Congregate
Settings; Recovery; and Training and Exercises. CPG-301 is available
at http://www.fema.gov/pdf/media/2008/301.pdf.

•

Guidelines for Accommodating Individuals with Disabilities in
Disaster: The Guidelines synthesize the array of existing accessibility
requirements into a user friendly tool for use by response and recovery
personnel in the field. The Guidelines are available at
http://www.fema.gov/oer/reference/.

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•

Disability and Emergency Preparedness Resource Center: A webbased “Resource Center” that includes dozens of technical assistance
materials to assist emergency managers in planning and response efforts
related to people with disabilities. The “Resource Center” is available at
http://www.disabilitypreparedness.gov.

•

Lessons Learned Information Sharing (LLIS) resource page on
Emergency Planning for Persons with Disabilities and Special
Needs: A true one-stop resource shop for planners at all levels of
government, non-governmental organizations, and private sector entities,
the resource page provides more than 250 documents, including lessons
learned, plans, procedures, policies, and guidance, on how to include
citizens with disabilities and other special needs in all phases of the
emergency management cycle.
LLIS.gov is available to emergency response providers and homeland
security officials from the Federal, State, and local levels. To access
the resource page, log onto https://www.llis.gov and click on
Emergency Planning for Persons with Disabilities and Special Needs
under Featured Topics. If you meet the eligibility requirements for
accessing Lessons Learned Information Sharing, you can request
membership by registering online.

5.6 -- Compliance with the National Energy Conservation Policy and Energy
Policy Acts. In accordance with the Consolidated Security, Disaster Assistance,
and Continuing Appropriations Act, 2009 (Public Law 110-329), grant funds must
comply with the following two requirements:
•

None of the funds made available shall be used in contravention of the
Federal buildings performance and reporting requirements of
Executive Order 13123, part 3 of title V of the National Energy
Conservation Policy Act (42 USC 8251 et. Seq.), or subtitle A of title I
of the Energy Policy Act of 2005 (including the amendments made
thereby).

•

None of the funds made available shall be used in contravention of
section 303 of the Energy Policy Act of 1992 (42 USC13212).

5.7 -- Environmental and Historic Preservation Compliance. FEMA is
required to consider the potential impacts to the human and natural environment
of projects proposed for FEMA funding. FEMA, through its Environmental and
Historic Preservation (EHP) Program, engages in a review process to ensure that
FEMA-funded activities comply with various Federal laws including: National
Environmental Policy Act, National Historic Preservation Act, Endangered
Species Act, and Executive Orders on Floodplains (11988), Wetlands (11990)
and Environmental Justice (12898). The goal of these compliance requirements

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is to protect our nation’s water, air, coastal, wildlife, agricultural, historical, and
cultural resources, as well as to minimize potential adverse effects to children
and low-income and minority populations.
The grantee shall provide any information requested by FEMA to ensure
compliance with applicable Federal EHP requirements. Any project with the
potential to impact EHP resources cannot be initiated until FEMA has completed
its review. Grantees may be required to provide detailed information about the
project, including the following: location (street address or map coordinates);
description of the project including any associated ground disturbance work,
extent of modification of existing structures, construction equipment to be used,
staging areas, access roads, etc.; year the existing facility was built; natural,
biological, and/or cultural resources present in the project vicinity; visual
documentation such as site and facility photographs, project plans, maps, etc;
and possible project alternatives.
For certain types of projects, FEMA must consult with other Federal and State
agencies such as the U.S. Fish and Wildlife Service, State Historic Preservation
Offices, and the U.S. Army Corps of Engineers, as well as other agencies and
organizations responsible for protecting natural and cultural resources. For
projects with the potential to have significant adverse effects on the environment
and/or historic properties, FEMA’s EHP review and consultation may result in a
substantive agreement between the involved parties outlining how the grantee
will avoid the effects, minimize the effects, or, if necessary, compensate for the
effects.
Because of the potential for significant adverse effects to EHP resources or
public controversy, some projects may require an additional assessment or
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
result of the EHP review. Any change to the approved project scope of work will

19

require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation
Office. Any construction activities that have been initiated without the
necessary EHP review and approval will result in a non-compliance finding
and will not eligible for FEMA funding.
For more information on FEMA’s EHP requirements, SAAs should refer to
FEMA’s Information Bulletin #271, Environmental Planning and Historic
Preservation Requirements for Grants, available at
http://ojp.usdoj.gov/odp/docs/info271.pdf. Additional information and resources
can also be found at http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm.
5.8 -- Royalty-free License. Applicants are advised that FEMA reserves a
royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or
otherwise use, and authorize others to use, for Federal government purposes: (a)
the copyright in any work developed under an award or sub-award; and (b) any
rights of copyright to which an award recipient or sub-recipient purchases
ownership with Federal support. Award recipients must agree to consult with
FEMA regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
5.9 – Department of Homeland Security/Federal Emergency Management
Agency. Applicants are advised that all publications created with funding under
any grant award shall prominently contain the following statement: "This
document was prepared under a grant from U.S. Department of Homeland
Security. Points of view or opinions expressed in this document are those of the
authors and do not necessarily represent the official position or policies of FEMA
or the U.S. Department of Homeland Security.
5.10 -- Equipment Marking. Applicants are advised that, when practicable, any
equipment purchased with grant funding shall be prominently marked as follows:
"Purchased with funds provided by the U.S. Department of Homeland Security."
5.11 -- Disadvantaged Business Requirement. Applicants are advised that, to
the extent that recipients of a grant use contractors or subcontractors, such
recipients shall use small, minority, women-owned or disadvantaged business
concerns and contractors or subcontractors to the extent practicable.
5.12 -- National Preparedness Reporting Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. For
grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and
complying with these national preparedness reporting requirements. FEMA will
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work with grantees to develop tools and processes to support this requirement.
FEMA anticipates using this information to inform future-year grant program
funding decisions. Award recipients must agree to cooperate with any
assessments, national evaluation efforts, or information or data collection
requests, including, but not limited to, the provision of any information required
for the assessment or evaluation of any activities within their grant agreement.
This includes any assessments, audits, or investigations conducted by the
Department of Homeland Security, Office of the Inspector General, or the
Government Accountability Office.
C. Reporting Requirements
Reporting requirements must be met throughout the life of the grant (refer to the
program guidance and the special conditions found in the award package for a full
explanation of these requirements. Please note that FEMA Payment and Reporting
System (PARS) contains edits that will prevent access to funds if reporting requirements
are not met on a timely basis.
1. Financial Status Report (FSR) -- required quarterly. Obligations and
expenditures must be reported on a quarterly basis through the FSR, which is due
within 30 days of the end of each calendar quarter (e.g., for the quarter ending
March 31, FSR is due no later than April 30). A report must be submitted for every
quarter of the period of performance, including partial calendar quarters, as well as
for periods where no grant activity occurs. Future awards and fund draw downs may
be withheld if these reports are delinquent. The final FSR is due 90 days after the
end date of the performance period.
FSRs must be filed online through the PARS.
Reporting periods and due dates:
• October 1 – December 31; Due January 30
• January 1 – March 31; Due April 30
• April 1 – June 30; Due July 30
• July 1 – September 30; Due October 30
2. Categorical Assistance Progress Report (CAPR). Following an award, the
awardees will be responsible for providing updated obligation and expenditure
information on a semi-annual basis. The applicable SAAs are responsible for
completing and submitting the CAPR reports. Awardees should include a statement
in the narrative field of the CAPR that reads: See BSIR.
The CAPR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 though December 31). Future awards and fund drawdowns may be
withheld if these reports are delinquent.

21

CAPRs must be filed online at https://grants.ojp.usdoj.gov. Guidance and
instructions can be found at https://grants.ojp.usdoj.gov/gmsHelp/index.html.
Required submission: CAPR (due semi-annually).
3. Initial Strategy Implementation Plan (ISIP). Following an award, the awardees will
be responsible for providing updated obligation and expenditure information to meet
the pass-through requirement. The applicable SAAs are responsible for completing
and submitting the ISIP online.
Required submission: ISIP (due within 45 days of the award date).
4. Biannual Strategy Implementation Reports (BSIR). Following an award, the
awardees will be responsible for providing updated obligation and expenditure
information on a semi-annual basis. The applicable SAAs are responsible for
completing and submitting the BSIR reports which is a component of the CAPR.
The BSIR submission will satisfy the narrative requirement of the CAPR. SAAs are
still required to submit the CAPR with a statement in the narrative field that reads:
See BSIR.
The BSIR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 though December 31). Updated obligations and expenditure
information must be provided with the BSIR to show progress made toward meeting
strategic goals and objectives. Future awards and fund drawdowns may be withheld
if these reports are delinquent.
Required submission: BSIR (due semi-annually).
5. Financial and Compliance Audit Report. Recipients that expend $500,000 or
more of Federal funds during their fiscal year are required to submit an organizationwide financial and compliance audit report. The audit must be performed in
accordance with the U.S. General Accountability Office, Government Auditing
Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A133, Audits of States, Local Governments, and Non-Profit Organizations, located at
http://www.whitehouse.gov/omb/circulars/a133/a133.html. Audit reports are
currently due to the Federal Audit Clearinghouse no later than nine months after the
end of the recipient’s fiscal year. In addition, the Secretary of Homeland Security
and the Comptroller General of the United States shall have access to any books,
documents, and records of recipients of FY 2009 OPSG Supplemental assistance
for audit and examination purposes, provided that, in the opinion of the Secretary or
the Comptroller, these documents are related to the receipt or use of such
assistance. The grantee will also give the sponsoring agency or the Comptroller,
through any authorized representative, access to, and the right to examine all
records, books, papers or documents related to the grant.

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The State shall require that sub-grantees comply with the audit requirements set
forth in OMB Circular A-133. Recipients are responsible for ensuring that subrecipient audit reports are received and for resolving any audit findings.
Monitoring
Grant recipients will be monitored periodically by FEMA staff, both programmatically
and financially, to ensure that the project goals, objectives, performance requirements,
timelines, milestone completion, budgets, and other related program criteria are being
met. Programmatic monitoring may also include the Regional Federal Preparedness
Coordinators, when appropriate, to ensure consistency of project investments with
Regional and National goals and policies, as well as to help synchronize similar
investments ongoing at the Federal, State, and local levels.
Monitoring will be accomplished through a combination of office-based reviews and onsite monitoring visits. Monitoring will involve the review and analysis of the financial,
programmatic, performance and administrative issues relative to each program and will
identify areas where technical assistance and other support may be needed.
The recipient is responsible for monitoring award activities, to include sub-awards, to
provide reasonable assurance that the Federal award is administered in compliance
with requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining of adequate financial records, and
refunding expenditures disallowed by audits.
Grant Close-Out Process
Within 90 days after the end of the period of performance, grantees must submit a final
FSR and final CAPR detailing all accomplishments throughout the project. After these
reports have been reviewed and approved by FEMA, a close-out notice will be
completed to close out the grant. The notice will indicate the project as closed, list any
remaining funds that will be deobligated, and address the requirement of maintaining
the grant records for three years from the date of the final FSR. The grantee is
responsible for returning any funds that have been drawndown but remain as
unliquidated on grantee financial records.
Required submissions: (1) final SF-269a, due 90 days from end of grant period;
and (2) final CAPR, due 90 days from the end of the grant period.

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PART VII.

FEMA CONTACTS
This section describes several resources that may help applicants in completing a
FEMA grant application. During the application period FEMA will identify multiple
opportunities for a cooperative dialogue between the Department and applicants. This
commitment is intended to ensure a common understanding of the program objectives
and administrative requirements associated with the FY 2009 OPSG Supplemental and
to help in submission of projects that will have the highest impact on reducing risks.
1. Centralized Scheduling & Information Desk (CSID) Help Line. CSID is a nonemergency resource for use by emergency responders across the nation. CSID is a
comprehensive coordination, management, information, and scheduling tool
developed by DHS through FEMA for homeland security terrorism preparedness
activities. CSID provides general information on all FEMA grant programs and
information on the characteristics of CBRNE, agro-terrorism, defensive equipment,
mitigation techniques, and available Federal assets and resources.
CSID maintains a comprehensive database containing key personnel contact
information for homeland security terrorism preparedness programs and events.
These contacts include personnel at the Federal, State and local levels. CSID can
be contacted at (800) 368-6498 or [email protected]. CSID hours of operation are
from 8:00 am–6:00 pm (EST), Monday-Friday.
2. Grant Programs Directorate (GPD). FEMA GPD will provide fiscal support,
including pre- and post-award administration and technical assistance, to the grant
programs included in this solicitation. Additional guidance and information can be
obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to
[email protected].
3. GSA’s State and Local Purchasing Programs. The U.S. General Services
Administration (GSA) offers two efficient and effective procurement programs for
State and local governments to purchase products and services to fulfill homeland
security and other technology needs. The GSA Schedules (also referred to as the
Multiple Award Schedules and the Federal Supply Schedules) are long-term,
indefinite delivery, indefinite quantity, government-wide contracts with commercial
firms of all sizes.
•

Cooperative Purchasing Program
Cooperative Purchasing, authorized by statute, allows State and local
governments to purchase a variety of supplies (products) and services under

24

specific GSA Schedule contracts to save time, money, and meet their
everyday needs and missions.
The Cooperative Purchasing program allows State and local governments to
purchase alarm and signal systems, facility management systems, firefighting
and rescue equipment, law enforcement and security equipment, marine craft
and related equipment, special purpose clothing, and related services off of
Schedule 84 and Information Technology products and professional services
off of Schedule 70 and the Consolidated Schedule (containing IT Special Item
Numbers) only. Cooperative Purchasing for these categories is authorized
under Federal law by the Local Preparedness Acquisition Act (Public Law
110-248) and Section 211 of the E-Government Act of 2002 (Public Law 107347).
Under this program, State and local governments have access to GSA
Schedule contractors who have voluntarily modified their contracts to
participate in the Cooperative Purchasing program. The U.S. General
Services Administration provides a definition of State and local governments
as well as other vital information under the frequently asked questions section
on its website at http://www.gsa.gov/cooperativepurchasing.
•

Disaster Recovery Purchasing Program
GSA plays a critical role in providing disaster recovery products and services
to Federal agencies. Now State and Local Governments can also benefit
from the speed and savings of the GSA Federal Supply Schedules.
Section 833 of the John Warner National Defense Authorization Act for Fiscal
Year 2007 (Public Law 109-364) amends 40 U.S.C. §502 to authorize GSA to
provide State and Local governments the use of ALL GSA Federal Supply
Schedules for purchase of products and services to be used to facilitate
recovery from a major disaster declared by the President under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act or to facilitate
recovery from terrorism or nuclear, biological, chemical, or radiological
attack.

GSA provides additional information on the Disaster Recovery Purchasing Program
website at http://www.gsa.gov/disasterrecovery.
State and local governments can find a list of contractors on GSA’s website,
http://www.gsaelibrary.gsa.gov, denoted with a
or
symbol.
Assistance is available from GSA on the Cooperative Purchasing and Disaster
Purchasing Program at the local and national levels. For assistance at the local
level, visit http://www.gsa.gov/csd to find a local customer service director in your
area. For assistance at the national level, contact Tricia Reed at
[email protected], (571) 259-9921. More information is available on all GSA
State and local programs at: www.gsa.gov/stateandlocal.

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4. Homeland Security Preparedness Technical Assistance Program. The
Homeland Security Preparedness Technical Assistance Program (HSPTAP)
provides direct support assistance on a first-come, first-served basis (and subject to
the availability of funding) to eligible organizations to enhance their capacity and
preparedness to prevent, protect against, respond to, and recover from terrorist and
all hazard threats. In addition to the risk assessment assistance already being
provided, FEMA also offers a variety of other direct support assistance programs.
More information can be found at http://www.fema.gov/about/divisions/pppa_ta.shtm.
5. Lessons Learned Information Sharing (LLIS) System. LLIS is a national, online,
secure website that houses a collection of peer-validated lessons learned, best
practices, AARs from exercises and actual incidents, and other relevant homeland
security documents. LLIS facilitates improved preparedness nationwide by providing
response professionals with access to a wealth of validated front-line expertise on
effective planning, training, equipping, and operational practices for homeland
security.
The LLIS website also includes a national directory of homeland security officials, as
well as an updated list of homeland security exercises, events, and conferences.
Additionally, LLIS includes online collaboration tools, including secure email and
message boards, where users can exchange information. LLIS uses strong
encryption and active site monitoring to protect all information housed on the
system. The LLIS website is https://www.llis.gov.
6. Information Sharing Systems. FEMA encourages all State, regional, local, and
tribal entities using FY 2009 funding in support of information sharing and
intelligence fusion and analysis centers to leverage available Federal information
sharing systems, including Law Enforcement Online (LEO) and the Homeland
Security Information Network (HSIN). For additional information on LEO, contact the
LEO Program Office at [email protected] or (202) 324-8833. For additional
information on HSIN and available technical assistance, contact the HSIN Help Desk
at (703) 674-3003.

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