FY 2009 HSGP Program Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
HOMELAND SECURITY GRANT PROGRAM
GUIDANCE AND APPLICATION KIT

NOVEMBER 2008

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: FY 2009 Homeland Security Grant Program (HSGP)
Funding Opportunity Number: DHS-09-GPD-067-1958
Federal Agency Name: FEMA Grant Programs Directorate (GPD)
Announcement Type: Initial
Dates: Completed applications must be submitted no later than 11:59 PM EDT,
March 20, 2009.
Additional overview information: The Fiscal Year (FY) 2009 HSGP contains
significant improvements based upon continued outreach to HSGP stakeholders and
partners. In addition, the risk assessments that form the basis for eligibility under HSGP
have been maintained and refined. Following are some of the key changes impacting
FY 2009 HSGP as compared to previous year programs.
HSGP Priorities
Priorities for this year continue to further narrow the focus through the risk-based
funding and the capability-based planning process that DHS began four years ago.
FY 2009 HSGP will focus on the following objectives as its highest priorities.
Priorities for all programs in HSGP:
• Addressing Capability Requirements and Measuring Progress in Achieving the
National Preparedness Guidelines
• National Priority: Strengthen Planning and Citizen Preparedness Capabilities Strengthening Preparedness Planning
SHSP Priorities:
• National Priority: Strengthen Information Sharing and Collaboration Capabilities Maximizing Information Sharing via the National Network of Fusion Centers
• National Priority: Strengthen Medical Surge and Mass Prophylaxis - Developing
and Enhancing Health and Medical Readiness and Preparedness
Capabilities
UASI Priorities:
• National Priority: Strengthen Chemical, Biological, Radiological/Nuclear, and
Explosive (CBRNE) Detection, Response, and Decontamination Capabilities Strengthening IED Attack Deterrence, Prevention, and Protection
Capabilities
• National Priority: Strengthen Chemical, Biological, Radiological/Nuclear, and
Explosive (CBRNE) Detection, Response, and Decontamination Capabilities Strengthen Preventive Radiological/Nuclear Detection Capabilities
• National Priority: Strengthen Information Sharing and Collaboration Capabilities Maximizing Information Sharing via the National Network of Fusion Centers

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•

National Priority: Strengthen Medical Surge and Mass Prophylaxis - Developing
and Enhancing Health and Medical Readiness and Preparedness
Capabilities

Law Enforcement Terrorism Prevention Activities Priorities:
• National Priority: Strengthen Chemical, Biological, Radiological/Nuclear, and
Explosive (CBRNE) Detection, Response, and Decontamination Capabilities Strengthening IED Attack Deterrence, Prevention, and Protection
Capabilities
• National Priority: Strengthen Chemical, Biological, Radiological/Nuclear, and
Explosive (CBRNE) Detection, Response, and Decontamination Capabilities Strengthen Preventive Radiological/Nuclear Detection Capabilities
• National Priority: Strengthen Information Sharing and Collaboration Capabilities Maximizing Information Sharing via the National Network of Fusion Centers
At least 25 percent of FY 2009 HSGP funding (State Homeland Security Program
[SHSP], Urban Areas Security Initiative [UASI], Metropolitan Medical Response System
[MMRS], and Citizen Corps Program [CCP]) must be collectively allocated to the
Strengthening Preparedness Planning Priority noted above through planning, training
and exercise activities (see Part I for additional information).
HSGP Allocation Methodology
In FY 2009, DHS is providing all States and Urban Areas with targeted allocations
based on the Department’s relative risk assessment in advance of the Investment
Justifications for SHSP and UASI funding. The purpose of this information is to
increase grantee program management effectiveness by identifying funding availability
in the initial stages of the grant process as well as to increase grantee accountability.
States and Urban Areas should focus their Investments based on the targeted allocation
and submit applications for up to 110 percent of the targeted allocation. Subsequently,
when determining the final allocation, DHS may increase or decrease the targeted
SHSP and UASI allocations by up to 10 percent based on the results of the
effectiveness analysis (see Part II for additional information).
Optional Cost Share
In FY 2009, there is an optional cost share that will provide a bonus in the effectiveness
analysis (see Investment Justification Outline in Part IV.B for additional information).
Personnel Costs
As directed by the Personnel Reimbursement for Intelligence Cooperation and
Enhancement (PRICE) of Homeland Security Act (Public Law 110-412), all personnel
and personnel-related costs, including those for intelligence analysts, are allowed up to
50 percent of SHSP and UASI funding without time limitation placed on the period of
time that such personnel can serve under the grant. These guidelines are not
retroactive to previous fiscal years of HSGP funding (see Part IV.E.4 for additional
information).

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Critical Emergency Supplies
In furtherance of DHS’ mission, critical emergency supplies, such as shelf stable food
products, water, and basic medical supplies are an allowable expense under SHSP.
Prior to allocating grant funding for stockpiling purposes, each State must have FEMA’s
approval of a viable inventory management plan, an effective distribution strategy,
sustainment costs for such an effort, and logistics expertise to avoid situations where
funds are wasted because supplies are rendered ineffective due to lack of planning (see
Part VI.B.5.13 for additional information).

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CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................. 19
Part III. ELIGIBILITY INFORMATION .......................................................................... 26
A.
Eligible Applicants................................................................................. 26
B.
Cost Sharing .......................................................................................... 26
C.
Restrictions ............................................................................................ 26
Part IV. APPLICATION AND SUBMISSION INFORMATION ...................................... 27
A.
Address to Request Application Package ........................................... 27
B.
Content and Form of Application ......................................................... 27
C.
Submission Dates and Times ............................................................... 33
D.
Intergovernmental Review .................................................................... 34
E.
Funding Restrictions ............................................................................. 34
F.
Other Submission Requirements ......................................................... 42
Part V. APPLICATION REVIEW INFORMATION ........................................................ 44
A.
Review Criteria....................................................................................... 44
B.
Review and Selection Process ............................................................. 44
C.
Anticipated Announcement and Award Dates .................................... 45
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 46
A.
Notice of Award ..................................................................................... 46
B.
Administrative and National Policy Requirements ............................. 47
C.
Reporting Requirements ....................................................................... 55
Part VII. FEMA CONTACTS......................................................................................... 59
Part VIII. OTHER INFORMATION – HSGP Allowable Costs ..................................... 63

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PART I.

FUNDING OPPORTUNITY DESCRIPTION
The Homeland Security Grant Program (HSGP) is comprised of four interconnected
grant programs:
•
•
•
•

State Homeland Security Program (SHSP)
Urban Areas Security Initiative (UASI)
Metropolitan Medical Response System (MMRS)
Citizen Corps Program (CCP)

The HSGP is one tool among a comprehensive set of measures authorized by
Congress and implemented by the Administration to help strengthen the Nation against
risks associated with potential terrorist attacks.
The purpose of this package is to provide: (1) an overview of the HSGP and (2) the
formal grant guidance and application materials needed to apply for funding under the
program. The package outlines DHS management requirements for implementation of
a successful application. The package also reflects changes called for in the
Implementing Recommendations of the 9/11 Commission Act of 2007 (Public Law 11053) (hereafter “9/11 Act”) and the Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act of 2009 (Public Law 110-329).
Table 1 provides a quick overview of the programs included in FY 2009 HSGP.
Table 1. FY 2009 Homeland Security Grant Program Overview
FY 2009 HSGP

Program Overview

State Homeland
Security Program
(SHSP)

SHSP supports the implementation of State Homeland Security
Strategies to address the identified planning, organization, equipment,
training, and exercise needs for acts of terrorism and other
catastrophic events. In addition, SHSP supports the implementation
of the National Preparedness Guidelines, the National Incident
Management System (NIMS), and the National Response Framework
(NRF).

Urban Areas
Security Initiative
(UASI) Program

UASI program funds address the unique planning, organization,
equipment, training, and exercise needs of high-threat, high-density
Urban Areas, and assist them in building an enhanced and
sustainable capacity to prevent, protect against, respond to, and
recover from acts of terrorism.

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FY 2009 HSGP
Metropolitan
Medical
Response
System (MMRS)
Program

Citizen Corps
Program (CCP)

Program Overview
The MMRS program supports the integration of emergency
management, health, and medical systems into a coordinated
response to mass casualty incidents caused by any hazard.
Successful MMRS grantees reduce the consequences of a mass
casualty incident during the initial period of a response by having
augmented existing local operational response systems before the
incident occurs.
The Citizen Corps mission is to bring community and government
leaders together to coordinate the involvement of community
members and organizations in emergency preparedness, planning,
mitigation, response, and recovery.

Federal Investment Strategy
The HSGP is an important part of the Administration’s larger, coordinated effort to
strengthen homeland security preparedness. The HSGP implements objectives
addressed in a series of post-9/11 laws, strategy documents, plans, and Homeland
Security Presidential Directives (HSPDs).
DHS expects our State, local, and tribal partners – including recipients of HSGP
grants – to be familiar with this national preparedness architecture and to
incorporate elements of this architecture into their planning, operations and
investments. Additional information may be found at:
http://www.dhs.gov/xprepresp/publications.
Funding Priorities
Based upon ongoing intelligence analysis, extensive security reviews, and
Congressional direction, DHS has once again focused the bulk of its available grant
dollars on risk-based investment. Risk will be evaluated at the Federal level using a
risk analysis model developed by DHS in conjunction with other Federal entities.
Risk is defined as the product of three principal variables:
•
•
•

Threat – the likelihood of an attack occurring
Vulnerability – the relative exposure to an attack
Consequence – the expected impact of an attack

The risk model used to allocate HSGP funds considers the potential risk of terrorism
to people, critical infrastructure, and economic security to estimate the relative risk of
terrorism faced by a given area. In evaluating risk, DHS considers the populations in
a particular area that could be at risk, the concentration of people in the area, and
specific characteristics of their location that might contribute to risk, such as
Intelligence Community assessments of threat, proximity to nationally critical
infrastructure, and the economic impact of an attack. In considering threat, DHS
uses the Intelligence Community’s best assessment of areas of the country and
potential targets most likely to be attacked. For vulnerability and consequence, DHS

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considers the expected impact and consequences of successful attacks occurring in
specific areas to people, the economy, nationally critical infrastructure, and national
security facilities.
DHS places a very high priority on ensuring that all HSGP applications reflect robust
regional coordination and demonstrate an investment strategy that institutionalizes
regional integration. This priority is a core component in the Department’s statewide
grant programs and UASI.
HSGP Priorities
Priorities for this year continue to further narrow the focus through the risk-based
funding and the capability-based planning process that DHS began four years ago.
FY 2009 HSGP will focus on the following objectives as its highest priorities.
1. Addressing Capability Requirements and Measuring Progress in Achieving
the National Preparedness Guidelines. DHS will continue in FY 2009 to tie
together the performance of preparedness programs (via grants, training,
exercises, technical assistance, planning, etc.) with established priorities and
objectives of the National Preparedness Guidelines, target capabilities, and joint
Federal-State assessments. The preparedness cycle allows for adjustments
based upon evolving risks and capabilities. The Target Capability List (TCL)
Implementation Project is in the process of updating target capabilities into
usable frameworks with performance classes and objectives to guide evaluations
and assessments. The Comprehensive Assessment System (CAS) is under
development to assess compliance with the broad national preparedness system
as described under Subtitle C of the Post-Katrina Emergency Management
Reform Act of 2006 (Public Law 109-295) (PKEMRA), including NIMS, the NRF,
the TCL, and the performance of training, exercises, and operations.
Measuring Progress: As part of the FY 2009 HSGP Investment Justifications,
applicants are also asked to establish specific capability-based outcomes
associated with all proposed Investments. Proposals should be aligned with the
National Priorities of the National Preparedness Guidelines and must outline
measurable outcomes that will be tracked and accomplished during
implementation. Grantees should reference the TCL, dated September 2007, the
supplemental Target Capability Implementation Frameworks, where appropriate,
and applicable national plans and strategies to develop concrete, measurable
outcomes, and milestones, while preserving the necessary flexibility to meet
unique State and Urban Area operational requirements outlined in their SPR or
Urban Area homeland security strategy. After funds are awarded, grantees are
required to report on progress made toward achieving the identified outcomes for
each Investment as part of the regular grant reporting process. Performance
measure data submitted through grant reporting will be reviewed and validated
through programmatic monitoring by DHS.

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These outcomes should support both capability development and strategic,
operational, and tactical-level planning. For interoperable emergency
communications-related Investments, applicants should demonstrate how the
outcomes support implementation of their respective Statewide Communication
Interoperability Plan (SCIP) and align to the objectives of the National
Emergency Communications Plan (NECP).1 The outcomes should include a
minimum number of quantitative and qualitative measures necessary to
demonstrate achievement with regard to developing and enhancing health and
medical readiness and preparedness capabilities. These measures should be
drawn, where applicable, from the TCL and from supplemental Target Capability
Implementation Frameworks.
2. National Priority: Strengthen Planning and Citizen Preparedness
Capabilities.
Strengthening Preparedness Planning. This provision also supports the
Planning Annex to HSPD-8, National Preparedness. State and local jurisdictions
must engage in comprehensive national and regional planning processes that
seek to enhance emergency management capabilities through strengthened
national and regional relationships and the allocation of resources toward
preparedness planning. As indicated in the Planning Annex, coordinated,
comprehensive plans should be developed that cover prevention, protection, and
response activities for specific planning scenarios.
In order to develop these plans, applicants are strongly encouraged to develop
plans in a manner consistent with the principles and doctrine outlined in
Comprehensive Preparedness Guide 101, Producing Emergency Plans: A Guide
for All-Hazard Operations Planning for State, territorial, Local and Tribal
Governments (Interim).
However, within these plans, specific activities may be implemented in support of
the following areas:
•

Linking operational needs identified in plans to resource allocation.
Applicants should use grant funds to institutionalize a capabilities-based
planning process that defines, documents, analyzes, adjusts, and
approves capability requirements that drive resource allocation.

•

Fixing shortcomings in existing plans. Areas of paramount concern
are: Mass Evacuation and Sheltering, with particular emphasis on

1

The FY 2007 HSGP required States to develop and submit a Statewide Communication Interoperability
Plan (SCIP). All SCIPs were approved by DHS in April 2008. The National Emergency Communications
Plan (NECP), which was informed by the SCIPs, is available at:
www.dhs.gov/xnews/releases/pr_1217529182375.shtm.

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Regional Operations planning, special needs populations2 and citizen
preparedness; Statewide Communication Interoperability Plans and
Tactical Interoperable Communications Plans; Logistics planning;
Resource/Commodity Management, with particular emphasis on National
Incident Management System (NIMS); standardized mechanisms and
processes to describe, inventory, mobilize, dispatch, track, and recover
resources over both the lifecycle and regional or national scope of an
incident, taking into account both at-risk and host jurisdictions/states;
CIKR Protection, with particular emphasis on Explosive Device Response
Operations; Hazard Identification and Risk Assessment; Health and
Medical Services for Catastrophic Events; and long term recovery. Once
these shortcomings have been addressed, they should be integrated into
capabilities-based plans that address all hazards and all threats.
Additional shortcomings should be identified by the applicant in addition to
these requirements as warranted.
•

Building regional planning processes and planning communities.
The primary focus is to establish processes for planning, preparedness,
data exchange, and operational resource and asset management among
regional planning partners. Activities should ensure that preparedness
planning networks are fully integrated with other key planning efforts such
as Continuity of Operation Plans (COOP), Area Maritime Security Plans
(AMSPs) for port areas and Buffer Zone Plans (BZPs) for CIKR resources,
and community preparedness planning conducted by governmental and
non-governmental entities through the Citizen Corps Council. This should
include drawing clear linkages in an appendix or annex to emergency
operations plans as appropriate. Additionally, applicants should clearly
address the linkages between Fusion Centers and the State Emergency
Operations Centers and develop the necessary protocols and procedures
to ensure connectivity and support, as appropriate.

•

Enhancing continuity of operations planning. Applicants should
leverage HSGP funding to establish effective continuity plans and
programs in an effort to enhance the ongoing delivery of essential
functions by State, local and tribal governments during all hazards.
Actionable measurable items include developing staffing and guidance
based on continuity priorities from the National Continuity Programs
Directorate and described in the National Continuity Policy Implementation
Plan (NCPIP). Measurable items include: providing State, territorial, and
local government continuity testing, training, and exercises; offering
continuity planning and program guidance; conducting continuity
education and outreach; providing mechanisms and make available
annual meetings for State and local continuity working groups or other

2

See CPG-301: Emergency Management Planning Guide for Special Needs Populations as a reference
in addressing this issue.

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forums; offering and/or providing continuity guidance and outreach
through State and/or territorial Continuity Working Groups (CWGs); and
providing guidance and offer assistance, as required, to conduct and/or
support train-the-trainer continuity courses for State, territorial, and local
governments.
•

Including the private sector in preparedness planning activities.
States and Urban Areas should include private sector entities in their
preparedness planning process, building public-private partnerships where
appropriate to more effectively prevent, protect against, respond to, and
recover from major events. In particular, States and Urban Areas should
engage with private sector entities as provisions for the voluntary private
sector preparedness, accreditation, and certification program called for in
the 9/11 Act are finalized in order to ensure that personnel have a
comprehensive understanding of preparedness capabilities residing in
their region.

3. National Priority: Strengthen Chemical, Biological, Radiological/Nuclear,
and Explosive (CBRNE) Detection, Response, and Decontamination
Capabilities.
Strengthening IED Attack Deterrence, Prevention, and Protection
Capabilities. This priority supports the policy outlined in HSPD-19, Combating
Terrorist Use of Explosives in the United States, by emphasizing the need for
States and Urban Areas to take a more proactive approach to reducing the threat
of a terrorist explosive attack. This year’s priority is expanded to include
capabilities in support of existing national protocols intended to promote early
detection, identification, or interdiction of CBRN material which may be used in
combination with explosives to create enhanced weapons such as a radiological
dispersal device (RDD). States and Urban Areas should continue progress from
2008 by implementing programs to enhance public and private sector IED
awareness and reducing critical infrastructure/key resource (CIKR) and soft
target explosive attack vulnerabilities. Doing so will increase the likelihood that
terrorist planning activities are recognized and reported, and deter attacks by
reducing the attractiveness of potential targets. Additional programs, such as
implementing multi-jurisdiction explosive attack planning that ensure bomb squad
and SWAT integration, will ensure State and Urban Areas coordinate preventive
and protective actions during steady-state and threat-initiated environments.
Finally, grantees should enhance explosive device pre-detonation response
operations so that bomb squads have the necessary tools to diagnose and
defeat actual devices. These mitigation capabilities will serve to further prevent
any attempted attack from achieving terrorist objectives.
In support of this effort, the DHS Office for Bombing Prevention (OBP) is
dedicated to enhancing and coordinating the Nation’s ability to deter, prevent,
and protect against IED attacks. OBP maintains multiple programs designed to

7

support State and Urban Areas in explosive attack prevention and protection
planning, analyzing explosive device mitigation capabilities, determining training
and equipment requirements, improving IED awareness, and facilitating the
sharing of terrorist IED techniques, tactics, and procedures through TRIPwire.
Grantees are encouraged to work closely with OBP (in addition to their Program
Analyst and FEMA Region) to ensure State and local initiatives sufficiently
address IED threats. For more information, please contact OBP via
[email protected]. To register for a TRIPwire account, go to http://www.tripwiredhs.net.
Activities to strengthen explosive attack deterrence, prevention, and protection
capabilities should be undertaken in coordination with the statewide CIKR
protection program, which States were required to establish in FY 2007 in
support of the NIPP. Additional information to support the implementation of the
NIPP is available at http://www.dhs.gov/nipp/.
4. National Priority: Strengthen Chemical, Biological, Radiological/Nuclear,
and Explosive (CBRNE) Detection, Response, and Decontamination
Capabilities.
Strengthen Preventive Radiological/Nuclear Detection Capabilities. The
Domestic Nuclear Detection Office (DNDO) plays an essential role in developing
and implementing a multi-layered defensive strategy, with domestic and
international programs and systems to protect the Nation from
radiological/nuclear (rad/nuc) attacks by terrorists. Grantees are encouraged to
work closely with DNDO when developing or enhancing preventive rad/nuc
detection programs and to ensure that programs are effectively integrated into
current and future Federal capabilities.
DNDO supports the development of comprehensive preventive rad/nuc detection
capabilities across State, local and tribal communities by developing the
necessary training, equipment test reports, exercise support, information sharing
capabilities, and analytical tools to create a fully integrated operating
environment. These resources include: providing rad/nuc technical reachback
support to Federal, State, local and tribal operators; development of standardized
training curricula and response protocols; conducting comprehensive
assessments of existing radiation detection technology to inform application and
acquisition; providing program development tools and guidance for immediate
application by policy makers and operators; and the development of a robust
national situational awareness and analysis capability through the Joint Analysis
Center (JAC). Such resources can be used by State, local and tribal entities to
build or enhance a comprehensive preventive rad/nuc detection program, or to
develop specific preventive rad/nuc detection capabilities in areas such as device
and material detection and response (providing rad/nuc material characterization
to responders), Commercial Vehicle Inspection, special events screening, small
maritime craft monitoring, fixed infrastructure protection, and urban area security.

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Additional information about DNDO and the support DNDO will provide to
grantees may be found at:
http://www.dhs.gov/xabout/structure/editorial_0766.shtm.
5. National Priority: Strengthen Information Sharing and Collaboration
Capabilities
Maximizing Information Sharing via the National Network of Fusion
Centers. This priority reflects the policy outlined in the National Strategy for
Information Sharing (NSIS) by supporting the establishment of and continued
support for a national network of fusion centers to facilitate effective nationwide
information sharing between local, State, and Federal partners.
Effective prevention efforts depend on the ability of all levels and sectors of
government, as well as private industry, to collect, analyze, disseminate, and use
homeland security- and crime-related information and intelligence. In support of
these efforts, designated State and Urban Area fusion centers must prioritize the
allocation of SHSP and UASI grant funding to meet identified levels of baseline
capabilities as outlined in the Department of Justice’s (DOJ’s) Global Justice
Information Sharing Initiative’s (Global) Baseline Capabilities for State and Major
Urban Area Fusion Centers, a supplement to the Fusion Center Guidelines,
located at http://www.it.ojp.gov/documents/baselinecapabilitiesa.pdf.
In support of this priority, the DHS Office of Intelligence and Analysis (I&A) is
dedicated to supporting the development and enhancement of State and local
information sharing activities, and maintains multiple programs and initiatives
designed to directly support State and Urban Area initiatives. Therefore, in
support of this National Priority, States and Urban Areas should continue to
advance information sharing and fusion center efforts through the effective
implementation and operation of activities that relate to this priority, including the
following:
•

Coordination and Integration of Multi-disciplinary Partners. To further
advance and strengthen information sharing efforts, multi-disciplinary
partners—including law enforcement, the fire service, health security, and
critical infrastructure and key resource (CIKR) partners—are encouraged
to fully engage in the fusion process. DHS I&A has begun work on a Fire
Service Intelligence Enterprise, a Health Security Intelligence Enterprise,
and CIKR initiatives, in addition to its work supporting Law Enforcement,
to advance collaboration and greater information sharing among all levels
of government and key multi-disciplinary players within fusion centers and
the greater information sharing and fusion processes.

•

Coordination and Integration with DHS Component Strategic Mission
Priorities. The effective coordination and integration of on-going national

9

homeland security efforts and component strategic mission priorities and
activities—including border security, trafficking of illicit materials, and
maritime enforcement—is essential to the successful implementation of a
national network of fusion centers. Therefore, DHS I&A is encouraging
fusion centers to coordinate and integrate their information sharing efforts
with regional and/or local strategic component efforts, including Area
Maritime Security Committees (AMSCs) and their respective Area
Maritime Security Plans (AMSPs), DHS Border Enforcement Security
Task Forces, Integrated Border Enforcement Teams, and FEMA Regional
Offices.
•

Information Sharing to Support Response and Recovery Efforts.
Effective information sharing and communication occurs across the
preparedness spectrum, including prevent, protect, respond, and recover
mission areas. Therefore, effective information sharing and
communication between fusion centers and Emergency Operations
Centers (EOCs) prior to, during, and after an incident is essential to the
successful response and mitigation of man-made or naturally occurring
incidents. This communication supports the timely and accurate response
to an event and ensures that all appropriate information is in the hands of
the responders who need it. In support of this effort, DHS I&A and FEMA
are encouraging that fusion centers and EOCs formally plan, train on, and
exercise their communication and information sharing processes, in
coordination with the respective FEMA Regional Offices and Federal
Preparedness Coordinators (FPCs).

Grantees are encouraged to work closely with DHS I&A to leverage available
resources through the joint DHS/DOJ Fusion Process Technical Assistance
Program as well as available DHS personnel and technologies—including
deployed I&A Intelligence Operations Specialists and the Homeland Secure Data
Network (HSDN)—to support fusion centers analytic collaboration and
information sharing activities.
6. National Priority: Strengthen Medical Surge and Mass Prophylaxis.
Developing and enhancing health and medical readiness and preparedness
capabilities. State and local grantees should consider preparedness efforts that
emphasize biological attack detection (bio collection), mass casualty incident
response, and counter-measure stockpiling and distribution. The Office of Health
Affairs (OHA) leads the Department’s role in developing and supporting a
scientifically rigorous, intelligence-based biodefense and health preparedness
architecture to ensure the security of our Nation in the face of all hazards.
Grantees are encouraged to work closely with OHA, in addition to their FEMA
Program Analyst and FEMA Region, when developing or enhancing medical
surge and mass prophylaxis programs in response to biological threats and for
public health and medical preparedness. For more information, please visit

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http://www.dhs.gov/xabout/structure/editorial_0880.shtm or contact OHA at
[email protected].
Consolidation of Law Enforcement Terrorism Prevention-oriented Activities
Per the 9/11 Act and the Consolidated Security, Disaster Assistance, and Continuing
Appropriations Act of 2009 (Public Law 110-329), FY 2009 HSGP will not contain a
separate line-item Law Enforcement Terrorism Prevention Program (LETPP). As is
clear in this year’s overarching HSGP priorities, a significant need for law enforcement
terrorism prevention exists. As a result, States are also required to ensure that at least
25 percent of their SHSP award funds and 25 percent of their UASI award funds are
dedicated towards law enforcement terrorism prevention-oriented planning,
organization, training, exercise, and equipment activities.
Inclusion of Emergency Medical Services (EMS) Providers
DHS requires State and local governments to include emergency medical services
(EMS) providers in their State and Urban Area homeland security plans. In accordance
with this requirement, and as States, territories, localities, and tribes complete their
application materials for the FY 2009 HSGP, DHS reminds our homeland security
partners of the importance for proactive inclusion of various State, regional, and local
response disciplines who have important roles and responsibilities in prevention,
deterrence, protection, and response activities. Inclusion should take place with respect
to planning, organization, equipment, training, and exercise efforts. Response
disciplines include, but are not limited to: governmental and nongovernmental
emergency medical, firefighting, and law enforcement services; public health; hospitals;
emergency management; hazardous materials; public safety communications; public
works; and governmental leadership and administration personnel.
DHS/FEMA’s Grants Reporting Tool (GRT) will continue to be utilized for grantees to
report and for DHS to track, on a biannual basis, homeland security funding provided to
response disciplines. If no State or local funding is provided to EMS, the State should
be prepared to demonstrate that related target capabilities have been met or identify
more significant priorities.
Homeland security partners should examine how they integrate preparedness activities
across disciplines, agencies, and levels of government, including State, territory, local,
and tribal units of government. A cohesive planning framework should be incorporated
that builds and implements homeland security initiatives which leverage DHS resources,
as well as other Federal, State, territory, local, and tribal resources. Specific attention
should be paid to how all available preparedness funding sources can be effectively
utilized in a collaborative manner to support the enhancement of capabilities.
Governance
The FY 2009 HSGP re-emphasizes the importance of creating or utilizing existing
governing bodies to act on this guidance and coordinate grant resources. Examples
include: State Senior Advisory Committees, Urban Area Working Groups, Area Maritime
Security Committees, Citizen Corps Councils, and Metropolitan Medical Response

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System Steering Committees. As a reminder, the membership of the Senior Advisory
Committee must, at a minimum, include the following State officials directly responsible
for the administration of FEMA GPD grants and Centers for Disease Control and
Prevention (CDC) and Assistant Secretary for Preparedness and Response (ASPR)
cooperative agreements: the State Administrative Agency (SAA), ASPR Hospital
Preparedness Program Coordinator, and CDC Public Health Emergency Preparedness
Program Director. In addition, program representatives from the following entities
should be members of the committee: State Homeland Security Advisor (if this role is
not also the SAA); State Emergency Management Agency Director; State Public Health
Officer; State Public Safety Officer (and SAA for Justice Assistance Grants, if different);
State Court Official; State EMS Director; State Trauma System Manager; State
Communications Officer (NECP, etc.); State Citizen Corps POC; Urban Area POC;
United States Coast Guard Area Command or Captain of the Port; Senior Members of
the Regional Transit Security Working Group; Senior Security Officials from Major
Transportation Systems; and the Adjutant General.
Additional Program Detail
1. State Homeland Security Program. The State Homeland Security Program
(SHSP) is a core assistance program that provides funds to build capabilities at the
State and local levels and to implement the goals and objectives included in State
Homeland Security Strategies and initiatives in the State Preparedness Report.
Activities implemented under SHSP must support terrorism preparedness by
building or enhancing capabilities that relate to the prevention of, protection from, or
response to, and recovery from terrorism in order to be considered eligible.
However, many capabilities which support terrorism preparedness simultaneously
support preparedness for other hazards. Grantees must demonstrate this dual-use
quality for any activities implemented under this program that are not explicitly
focused on terrorism preparedness.
Use of SHSP funds must be consistent with and supportive of implementation of the
State Homeland Security Strategy and State Preparedness Report. Linkages
between specific projects undertaken with SHSP funds and strategic goals and
objectives will be highlighted through regular required reporting mechanisms,
including the Biannual Strategy Implementation Report (BSIR).
2. Urban Areas Security Initiative. Since its inception in FY 2003, the intent of the
UASI program has been to enhance regional preparedness in major metropolitan
areas. The UASI program directly supports the National Priority on expanding
regional collaboration in the National Preparedness Guidelines and is intended to
assist participating jurisdictions in developing integrated regional systems for
prevention, protection, response, and recovery. The FY 2009 UASI program
continues this mission by providing financial assistance to address the unique multidiscipline planning, organization, equipment, training, and exercise needs of highthreat, high-density Urban Areas, and to assist them in building and sustaining

12

capabilities to prevent, protect against, respond to, and recover from threats or acts
of terrorism.
The FY 2009 UASI program is intended to enhance regional preparedness efforts.
Urban Areas must use these funds to employ regional approaches to overall
preparedness and are encouraged to adopt regional response structures whenever
appropriate. UASI program implementation and governance must include regional
partners and should have balanced representation among entities with operational
responsibilities for prevention, protection, response, and recovery activities within
the region. In some instances Urban Area boundaries cross State borders. States
must ensure that the identified Urban Areas take an inclusive regional approach to
the development and implementation of the FY 2009 UASI program and involve the
contiguous jurisdictions, mutual aid partners, port authorities, rail and transit
authorities, campus law enforcement, State agencies, Citizen Corps Council(s), and
MMRS jurisdictions in their program activities.
Activities implemented under UASI must support terrorism preparedness by building
or enhancing capabilities that relate to the prevention of, protection from, or
response to terrorism in order to be considered eligible. However, many capabilities
which support terrorism preparedness simultaneously support preparedness for
other hazards. Grantees must demonstrate the dual-use quality for any activities
implemented that are not explicitly focused on terrorism preparedness.
Pursuant to changes required by the 9/11 Act, eligible FY 2009 UASI candidates
were determined based on an analysis of relative risk of the 100 most populous
Metropolitan Statistical Areas (MSAs), as defined by the Office of Management and
Budget. MSAs are used by DHS to determine eligibility for participation in the
program. Part II of this Guidance shows a table of Urban Areas selected for
possible FY 2009 funding. Geographical areas queried do not equate to minimum
mandated membership representation of an Urban Area, nor does this guarantee
funding for geographical areas queried. Urban Area Working Groups (UAWGs)
must continue to take a regional approach to membership but are not required to
expand or contract existing Urban Area participation to conform to MSA composition
as a result of this legislative change. Detailed information on MSAs is publicly
available from the U.S. Census Bureau at
http://www.census.gov/population/www/estimates/metrodef.html.
UASI Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and
programmatic administration requirements of the FY 2009 UASI program.
•

Identify Points of Contact. The SAA must confirm a specific point of contact
(POC) with the designated Urban Area. The SAA POCs are responsible for
identifying and coordinating with the POC for the UAWG. This information must
be provided to FEMA with the grant application. SAAs must work with existing
Urban Areas to ensure that information for current POCs is on file with FEMA.

13

•

Define the Urban Area. For new Urban Areas, the SAA POC, in coordination
with the candidate Urban Areas, must define the Urban Area, as it will apply to
the FY 2009 UASI program. The identified city or combined entity represents the
candidate Urban Area eligible to apply for funding under the FY 2009 UASI
program. For those Urban Areas with a combined entity, that area represents
the minimum area that must be part of the defined Urban Area. The definition of
the Urban Area is limited to jurisdictions contiguous to the geographic area used
to determine eligibility, or those jurisdictions in that area which have established
formal mutual aid agreements. States may request a waiver for this limitation for
regions previously established by Executive Order, law, or compact. For the
purposes of the FY 2009 UASI program, the Washington, D.C. Urban Area will
consist of the National Capital Region (NCR) as set forth in 10 U.S.C.
§2674(f)(2). In coordination with the UAWG, the SAA POC may redefine the
geographic boundaries of an existing Urban Area, as it will apply to the FY 2009
UASI program. The SAA POC must notify FEMA of this change.

•

Establish the UAWG. Membership in the UAWG must provide either direct or
indirect representation for all the jurisdictions and response disciplines (including
law enforcement) that comprise the defined Urban Area. It must also be
inclusive of local MMRS and Citizen Corps Council representatives. The SAA
POC must ensure that appropriate representation for the defined Urban Area is
included per this guidance. FEMA strongly encourages that, wherever possible,
previously established local working groups should be leveraged for this purpose
to ensure that UASI resources are managed in the most efficient and effective
manner possible. The UAWG may also support State efforts to develop the
State Preparedness Report, particularly as it relates to UASI activities. An
overview of the UAWG structure and a list of members and their associated
jurisdictions must be provided to FEMA along with the grant application. Urban
Areas must notify the SAA of any updates to the UAWG structure or
membership, of which the SAA must thereafter provide notification to FEMA.

•

Governance. The identified jurisdictions in Part II of this Guidance package
represent the candidate Urban Areas eligible to apply for funding. The UAWG
will be responsible for coordinating the development and implementation of all
program initiatives. States and Urban Areas must consider including counties
within which the cities reside, contiguous jurisdictions, MSAs, operational areas,
and mutual aid partners, as appropriate, in the governance process.
In keeping with sound project management practices, the UAWG must ensure
that its approach to critical issues such as membership, governance structure,
voting rights, grant management and administration responsibilities, and funding
allocation methodologies are formalized in a working group charter or other form
of standard operating procedure related to the UASI governance. The charter
must also outline how decisions made in UAWG meetings will be documented
and shared with UAWG members. This charter must be on file with FEMA prior

14

to drawing down FY 2009 UASI funding and must be available to all UAWG
members to promote transparency in decision-making related to the UASI
program.
•

Urban Area Homeland Security Strategy. Urban Areas must utilize their Urban
Area Homeland Security Strategy as the basis for requesting funds to support
Investments identified in the Investment Justification. There must be a clear
correlation between the goals, objectives, and priorities identified in the Urban
Area Homeland Security Strategy and FY 2009 UASI program activities. In
addition, the Urban Area Homeland Security Strategy must also be consistent
with and supportive of the State Homeland Security Strategy and the State
Preparedness Report.
All Urban Areas receiving funding in FY 2009 must have an approved Urban
Area Homeland Security Strategy. Any new Urban Areas must develop a
strategy and submit it to FEMA for review and approval prior to drawing down
UASI funds. This requirement includes prior Urban Areas that were not Urban
Areas in either FY 2007 and/or 2008, but that were selected again as Urban
Areas for FY 2009. For new Urban Areas, strategy development technical
assistance is available. Please consult your SAA for requesting assistance
services from FEMA.

UASI Allocation of funds
The use and allocation of all grant funds available through the FY 2009 UASI
program must focus on the Investments identified in the Urban Area’s Investment
Justification and the implementation of the validated Urban Area Homeland Security
Strategy. The use of funds must also be consistent with the State Homeland
Security Strategy, the State Preparedness Report, the National Preparedness
Guidelines, TCL, and UASI program guidelines. Funds used to support Citizen
Corps related efforts, such as citizen preparedness, volunteer participation, and the
integration of nongovernmental resources should be coordinated with Citizen Corps
Councils.
The UAWG, in coordination with the SAA POC, must develop a methodology for
allocating funding available through the UASI program. The UAWG must reach
consensus on all UASI funding allocations. If consensus can not be reached within
the 45-day time period allotted for the State to obligate funds to subgrantees, the
SAA must make the allocation determination. The SAA must provide written
documentation verifying the consensus of the UAWG, or the failure to achieve
otherwise, on the allocation of funds and submit it to FEMA immediately after the 45day time period allotted for the State to obligate funds to subgrantees.
Any UASI funds retained by the State must be used in direct support of the Urban
Area. States must provide documentation to the UAWG and FEMA upon request
demonstrating how any UASI funds retained by the State would directly support the
Urban Area.

15

3. Metropolitan Medical Response System
The MMRS program provides funding to States to support the integration of local
emergency management, health and medical systems into a coordinated and
sustained local response capability to a mass casualty incident.
The responsibilities of the SAA are to:
•
•
•

Ensure the “MMRS Leadership” (see below) shall be fully represented on the
Urban Area Working Group in cases where a MMRS grant is awarded and a
UASI program exists.
Ensure all neighboring MMRS subgrantees shall actively and demonstratively
collaborate to develop a regional plan that supports the MMRS mission in that
region in cases where MMRS subgrantees are located adjacent to one another.
Prepare an Investment Justification that clearly identifies the size of the
populations included in the planning and operational areas supported by the
MMRS grant.

MMRS subgrantees shall:
•
•
•
•

Establish and support a designated leadership (“MMRS Leadership”), such as a
Steering Committee or leadership position(s), to act as the designated POCs for
program implementation.
Integrate local emergency management, health and medical systems with their
Federal and State counterparts through a locally established multi-agency,
collaborative planning framework.
Promote regional coordination of mutual aid with neighboring localities.
Regularly validate the subgrantee’s local emergency response capability to a
mass casualty incident by means of an exercise or other validation means.

MMRS Collaboration
MMRS subgrantees are encouraged to collaborate with local, regional, and State
health and medical partners, such as Medical Reserve Corps Units and Citizen
Corps Councils, as well as leverage other Federal programs, such as the U.S.
Department of Health and Human Services Assistant Secretary for Preparedness
and Response (DHHS-ASPR) Hospital Preparedness Program and Emergency
Systems for Advance Registration of Volunteer Health Professionals (ESAR-VHP),
Center for Disease Control and Prevention Cities Readiness Initiative and Strategic
National Stockpile, to coordinate and support plans, processes and strategies
related to, but limited to: Continuity of Government; Continuity of Operations;
Equipment and Supplies Procurement; Fatality Management; Forward Movement of
Patients; Hospital Evacuation; Interoperable Communications; Patient Tracking;
Pharmaceutical and Medical Supply Management and Distribution; Public
Education; Outreach and Information; Recruiting Volunteers; and Training.

16

4. Citizen Corps Program. The Citizen Corps mission is to bring community and
government leaders together to coordinate the involvement of community members
and organizations in emergency preparedness, planning, mitigation, response, and
recovery.
The FY 2009 Citizen Corps Program (CCP) funds provide resources for States and
local communities to:
•
•
•
•
•
•
•
•
•

Bring together the appropriate leadership to form and sustain a Citizen Corps
Council.
Develop and implement a plan and amend existing plans, such as EOPs, to
achieve and expand citizen preparedness and participation.
Conduct public education and outreach.
Ensure clear alerts/warnings and emergency communications with the public.
Develop training programs for the public, for both all-hazards preparedness and
volunteer responsibilities.
Facilitate citizen participation in exercises.
Implement volunteer programs and activities to support emergency responders.
Involve citizens in surge capacity roles and responsibilities during an incident in
alignment with the Emergency Support Functions and Annexes.
Conduct evaluations of programs and activities.

CCP Program Requirements
All grant recipients must register their Citizen Corps Council on the Citizen Corps
website (http://www.citizencorps.gov/) and manage their program and contact
information located on the site.
•

State responsibilities. Citizen preparedness and participation must be
coordinated by an integrated body of government and nongovernmental
representatives. States and local government recipients and sub-grantees of
HSGP funds, including Urban Areas, must have such a body to serve as their
Citizen Corps Council with membership that includes, but is not limited to:
representatives from emergency management, homeland security, law
enforcement, fire service, medical services/public health or their designee,
elected officials, the private sector (especially privately owned critical
infrastructure), private nonprofits, nongovernmental organizations (including faithbased and community-based organizations), and advocacy groups for special
needs populations. Representatives from existing Citizen Corps programs, to
include Volunteers in Police Service (VIPS), Medical Reserve Corps (MRC),
Community Emergency Response Team (CERT), Neighborhood
Watch/USAonWatch, Fire Corps, and affiliates should also be included on these
Citizen Corps Councils. Furthermore, Citizen Corps Councils should include a
MMRS representative, where applicable.
Senior Advisory Committees (SACs) and Urban Area Working Groups (UAWGs)
may serve as Citizen Corps Councils if the appropriate representatives are

17

members, to include the State/UASI Citizen Corps Program Manager(s) and
nongovernmental members. SAAs must coordinate all citizen involvement in
emergency preparedness, planning, mitigation, response, and recovery funded
with any source of HSGP funds with the State agency currently responsible for
the administration of Citizen Corps. A listing of current State Citizen Corps
Program Managers is available by visiting http://www.citizencorps.gov/councils/
and selecting “State Citizen Corps Program Managers.”
State Citizen Corps Program Managers must also continue to provide program
management via the administrative section of the Citizen Corps website,
http://www.citizencorps.gov, to include managing the approval process for local
Citizen Corps Councils, CERT programs, managing administrative section
passwords for local users, and managing calendar events, subscribers, and emails to local Councils.
The community preparedness section(s) of State Homeland Security Strategies,
policies, guidance, plans (including Emergency Operation Plans (EOP), the State
Preparedness Report, and Investment Justification), and evaluations must be
reviewed by the body serving as the State Citizen Corps Council and must
include considerations for government/nongovernmental collaboration, and
community preparedness and participation, including citizen involvement in
preparedness and response. Nongovernmental representatives are expected to
evaluate closely the functional areas of warnings, emergency public information,
evacuation, mass care, resource management from nongovernmental sources,
unaffiliated volunteer and donations management, and nongovernmental
resource integration (goods and personnel) to support each emergency support
function in the EOP.
•

Coordination. The SAA must coordinate the financial, programmatic, and
administrative issues relating to the Citizen Corps mission with the State Citizen
Corps Program Manager. Furthermore, the SAA must share the community
preparedness information submitted in the State’s BSIR with the State Citizen
Corps Program Manager. The State Citizen Corps Program Manager must also
participate in the FEMA required monitoring process.

Law Enforcement Terrorism Prevention Activities. As noted previously, the 9/11
Act did not create a separate LETPP grant program but rather made it a component
of SHSP and UASI. The Department values and places an emphasis on law
enforcement terrorism prevention and protection-oriented activities and therefore
requires that States ensure that at least 25 percent of their SHSP award funds and
at least 25 percent of their UASI award funds are dedicated towards law
enforcement terrorism prevention-oriented planning, organization, training, exercise,
and equipment activities.

18

PART II.

AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 HSGP, describes the basic distribution method
used to determine final grants awards, and identifies all eligible applicants for FY 2009
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 the HSGP will be
$1,714,300,154. The available funding is summarized in the table below.
HSGP Programs

FY 2009 Funding

State Homeland Security Program

$861,265,000

Urban Areas Security Initiative
Metropolitan Medical Response
System
Citizen Corps Program

$798,631,250
$39,831,404
$14,572,500
$1,714,300,154

Total

The specific information regarding funding allocations for the four HSGP programs are
detailed below.
States and Urban Areas should apply for 110 percent of the targeted SHSP and UASI
allocation.
1. FY 2009 SHSP Allocations. FY 2009 SHSP funds will be allocated based on risk
and anticipated effectiveness upon completion of the application review process.
Each State will receive a minimum allocation under SHSP using the thresholds
established in the 9/11 Act. All 50 States, the District of Columbia, and Puerto Rico
will receive 0.365 percent of the total funds allocated for grants under Section 2004
of the Homeland Security Act of 2002 (6 U.S.C. §101 et seq.), as amended by the
9/11 Act, for SHSP. Four territories (American Samoa, Guam, the Northern Mariana
Islands, and the U.S. Virgin Islands) will receive a minimum allocation of 0.08

19

percent of the total funds allocated for grants under Section 2004 of the Homeland
Security Act of 2002, as amended by the 9/11 Act, for SHSP.
The following table identifies the targeted SHSP allocations based on DHS’ relative
risk assessment. States should focus their Investments based on the targeted
allocation and submit applications for up to 110 percent of the targeted allocation.
Subsequently, when determining the final allocation, DHS may increase or decrease
the targeted SHSP allocations by up to 10 percent based on the results of the
effectiveness analysis.
FY 2009 SHSP Target Allocations
State
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico

SHSP Target
Allocation
$10,612,000
$6,060,000
$1,328,000
$13,181,000
$6,060,000
$104,586,000
$11,286,000
$9,861,000
$6,060,000
$10,754,000
$35,236,000
$20,786,000
$1,328,000
$6,060,000
$6,060,000
$33,212,000
$12,018,000
$6,060,000
$7,154,000
$9,111,000
$15,305,000
$6,060,000
$17,100,000
$16,350,000
$20,359,000
$11,647,000
$6,060,000
$11,353,000
$6,060,000
$6,060,000
$8,921,000
$6,060,000
$26,391,000
$6,060,000

20

Law Enforcement
Terrorism Prevention
Activities Minimum
$2,653,000
$1,515,000
$332,000
$3,295,250
$1,515,000
$26,146,500
$2,821,500
$2,465,250
$1,515,000
$2,688,500
$8,809,000
$5,196,500
$332,000
$1,515,000
$1,515,000
$8,303,000
$3,004,500
$1,515,000
$1,788,500
$2,277,750
$3,826,250
$1,515,000
$4,275,000
$4,087,500
$5,089,750
$2,911,750
$1,515,000
$2,838,250
$1,515,000
$1,515,000
$2,230,250
$1,515,000
$6,597,750
$1,515,000

State
New York
North Carolina
North Dakota

SHSP Target
Allocation
$113,222,000
$15,466,000
$6,060,000

$28,305,500
$3,866,500
$1,515,000

$1,328,000
$23,294,000
$7,306,000
$8,493,000
$28,795,000
$6,060,000
$6,060,000
$8,531,000
$6,060,000
$12,236,000
$62,168,000
$1,328,000
$6,470,000
$6,060,000
$20,710,000
$18,791,000
$6,060,000
$10,108,000

$332,000
$5,823,500
$1,826,500
$2,123,250
$7,198,750
$1,515,000
$1,515,000
$2,132,750
$1,515,000
$3,059,000
$15,542,000
$332,000
$1,617,500
$1,515,000
$5,177,500
$4,697,750
$1,515,000
$2,527,000

Northern Mariana Islands
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
U.S. Virgin Islands
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Total

Law Enforcement
Terrorism Prevention
Activities Minimum

$6,060,000

$1,515,000

$861,265,000

$215,316,250

2. FY 2009 UASI Allocations. FY 2009 UASI funds will be allocated based on risk
and anticipated effectiveness upon completion of the application review process.
Eligible candidates for the FY 2009 UASI program have been determined through an
analysis of relative risk of terrorism faced by the 100 most populous metropolitan
statistical areas in the United States, in accordance with the 9/11 Act. Based on that
analysis, the eligible candidates have been grouped into two tiers according to
relative risk. Tier 1 includes the seven highest risk areas and will be allocated 55
percent of the total UASI funding available; Tier 2 includes the other 55 candidate
areas and will be allocated the remaining 45 percent of the total UASI funding
available. The tier approach was employed to allow applicants with a similar level of
risk to compete for funding on a level playing field. The following candidates are
eligible to apply for funding under the FY 2009 UASI program.
The following table identifies the targeted UASI allocations based on DHS’ relative
risk assessment. States and Urban Areas should focus their Investments based on
the targeted allocation and submit applications for up to 110 percent of the targeted
allocation. Subsequently, when determining the final allocation, DHS may increase
or decrease the targeted UASI allocations by up to 10 percent based on the results
of the effectiveness analysis.

21

FY 2009 UASI Target Allocations

Urban Area
Bay Area

$40,638,250

$10,159,563

Los Angeles/Long Beach Area

$68,290,450

$17,072,613

District of Columbia

National Capital Region

$58,006,500

$14,501,625

Illinois

Chicago Area

$52,320,650

$13,080,163

New Jersey

Jersey City/Newark Area

$35,298,150

$8,824,538

New York

New York City Area

$145,137,750

$36,284,438

Texas

Houston Area

$39,555,450

$9,888,863

Arizona

Phoenix Area
Tucson Area
Anaheim/Santa Ana Area
Riverside Area
Sacramento Area
San Diego Area
Oxnard Area
Denver Area
Bridgeport Area
Hartford Area
Fort Lauderdale Area
Jacksonville Area
Miami Area
Orlando Area
Tampa Area
Atlanta Area
Honolulu Area
Indianapolis Area
Louisville Area
Baton Rouge Area
New Orleans Area
Baltimore Area
Boston Area
Detroit Area
Twin Cities Area
Kansas City Area
St. Louis Area
Las Vegas Area
Albany Area
Buffalo Area
Rochester Area
Syracuse Area
Charlotte Area
Cincinnati Area
Cleveland Area
Columbus Area

$10,984,400
$4,515,350
$12,753,750
$5,277,100
$3,938,300
$14,735,000
$2,502,950
$7,233,800
$2,807,300
$2,747,000
$6,063,400
$5,436,850
$11,039,500
$5,160,400
$7,933,950
$13,509,000
$4,754,750
$7,104,600
$2,198,500
$3,048,900
$5,429,600
$10,974,900
$14,564,400
$13,481,450
$8,248,000
$7,694,550
$8,532,900
$8,579,000
$1,924,250
$5,040,700
$2,342,900
$1,869,300
$4,579,950
$4,969,150
$5,086,800
$4,349,600

$2,746,100
$1,128,838
$3,188,438
$1,319,275
$984,575
$3,683,750
$625,738
$1,808,450
$701,825
$686,750
$1,515,850
$1,359,213
$2,759,875
$1,290,100
$1,983,488
$3,377,250
$1,188,688
$1,776,150
$549,625
$762,225
$1,357,400
$2,743,725
$3,641,100
$3,370,363
$2,062,000
$1,923,638
$2,133,225
$2,144,750
$481,063
$1,260,175
$585,725
$467,325
$1,144,988
$1,242,288
$1,271,700
$1,087,400

California

TIER
1

TIER
2

FY 2009 Target
Allocation

Law Enforcement
Terrorism
Prevention Activities
Minimum

California

Colorado
Connecticut

Florida

Georgia
Hawaii
Indiana
Kentucky
Louisiana
Maryland
Massachusetts
Michigan
Minnesota
Missouri
Nevada

New York

North Carolina
Ohio

22

Urban Area

Washington

Toledo Area
Oklahoma City Area
Tulsa Area
Portland Area
Philadelphia Area
Pittsburgh Area
San Juan Area
Providence Area
Memphis Area
Nashville Area
Austin Area
Dallas/Fort Worth/Arlington Area
El Paso Area
San Antonio Area
Salt Lake City Area
Norfolk Area
Richmond Area
Seattle Area

Wisconsin

Milwaukee Area

Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
Tennessee

Texas

Utah
Virginia

Total

FY 2009 Target
Allocation
$2,287,550
$4,404,700
$2,160,450
$7,178,700
$17,950,450
$6,395,400
$3,183,250
$4,764,250
$4,229,900
$2,986,200
$2,922,550
$19,305,450
$5,381,750
$6,220,150
$2,938,300
$7,372,000
$2,710,700
$11,313,600

Law Enforcement
Terrorism
Prevention Activities
Minimum
$571,888
$1,101,175
$540,113
$1,794,675
$4,487,613
$1,598,850
$795,813
$1,191,063
$1,057,475
$746,550
$730,638
$4,826,363
$1,345,438
$1,555,038
$734,575
$1,843,000
$677,675
$2,828,400

$4,266,450

$1,066,613

$798,631,250

$199,657,826

3. FY 2009 MMRS Allocation. FY 2009 MMRS funding will be divided evenly among
the 124 MMRS jurisdictions listed below.
FY 2009 MMRS Funding Allocations
State
Alabama
Alaska
Arizona
Arkansas

Florida

MMRS Jurisdictions
Birmingham, Huntsville, Mobile, and Montgomery
Anchorage and Juneau
Glendale, Mesa, Phoenix, and Tucson
Little Rock
Anaheim, Bakersfield, Fremont, Fresno, Glendale, Huntington
Beach, Long Beach, Los Angeles, Modesto, Oakland, Riverside,
Sacramento, San Bernardino, San Diego, San Francisco, San
Jose, Santa Ana, and Stockton
Aurora, Colorado Springs, and Denver
Hartford
Fort Lauderdale, Hialeah, Jacksonville, Miami, Orlando, St.
Petersburg, and Tampa

Georgia
Hawaii
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana

Atlanta and Columbus
Honolulu
Chicago
Ft. Wayne and Indianapolis
Des Moines
Kansas City and Wichita
Lexington/Fayette and Louisville
Baton Rouge, Jefferson Parish, New Orleans, and Shreveport

California
Colorado
Connecticut

23

State Total
$1,284,884
$642,442
$1,284,884
$321,221
$5,781,978
$963,663
$321,221
$2,248,547
$642,442
$321,221
$321,221
$642,442
$321,221
$642,442
$642,442
$1,284,884

Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
Tennessee
Texas
Utah
Virginia
Washington
Wisconsin
Total

Baltimore
Boston, Springfield, and Worcester
Detroit, Grand Rapids, and Warren
Minneapolis and St. Paul
Jackson
Kansas City and St. Louis
Lincoln and Omaha
Las Vegas
Northern New England MMRS
Jersey City and Newark
Albuquerque
Buffalo, New York City, Rochester, Syracuse, and Yonkers
Charlotte, Greensboro, and Raleigh
Akron, Cincinnati, Cleveland, Columbus, Dayton, and Toledo
Oklahoma City and Tulsa
Portland
Allegheny County and Philadelphia
Providence
Columbia
Chattanooga, Knoxville, Memphis, and Nashville
Amarillo, Arlington, Austin, Corpus Christi, Dallas, El Paso, Fort
Worth, Garland, Houston, Irving, Lubbock, San Antonio, and
Southern Rio Grande
Salt Lake City
Arlington County, Chesapeake, Newport News, Norfolk, Richmond,
and Virginia Beach
Seattle, Spokane, and Tacoma
Madison and Milwaukee

$321,221
$963,663
$963,663
$642,442
$321,221
$642,442
$642,442
$321,221
$321,221
$642,442
$321,221
$1,606,105
$963,663
$1,927,326
$642,442
$321,221
$642,442
$321,221
$321,221
$1,284,884
$4,175,873
$321,221
$1,927,326
$963,663
$642,442
$39,831,404

4. FY 2009 CCP Allocations. CCP allocations are determined using the USA
PATRIOT Act (Public Law 107-56) formula, which specifies that all 50 States, the
District of Columbia, and Puerto Rico will receive a minimum of 0.75 percent of the
total available grant funding, and that four territories (American Samoa, Guam, the
Northern Mariana Islands, and the U.S. Virgin Islands) will receive a minimum of
0.25 percent of the total available grant funding. The balance of CCP funds are
distributed on a population-share basis. In addition to CCP allocations, States and
Urban Areas are encouraged to fully leverage all HSGP resources to accomplish the
Citizen Corps mission.
FY 2009 CCP Funding Allocations
State/Territory
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida

Allocation

State/Territory

$241,527
$128,823
$290,414
$190,294
$1,153,746
$248,204
$209,367
$134,003
$126,103
$630,795

Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon

24

Allocation
$182,596
$146,892
$357,481
$165,581
$660,697
$368,199
$127,573
$436,943
$212,653
$216,372

Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana

$382,020
$145,965
$152,137
$476,536
$290,601
$194,673
$188,614
$230,487
$231,965
$146,931
$269,829
$293,586
$397,081
$257,808
$192,694
$277,260
$136,658

Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Puerto Rico
U.S. Virgin Islands
American Samoa
Guam

Nebraska

$159,999

Northern Mariana Islands

Total

$464,542
$139,520
$235,237
$132,044
$285,213
$792,325
$184,880
$127,045
$329,655
$294,119
$161,070
$269,352
$124,233
$221,941
$39,570
$38,284
$41,457
$38,906
$14,572,500

25

PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
The Governor of each State and territory is required to designate a State Administrative
Agency (SAA) to apply for and administer the funds awarded under HSGP. The SAA is
the only entity eligible to apply to FEMA for HSGP funds.
To be eligible to receive FY 2009 HSGP 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/.
B. Cost Sharing
In FY 2009, there is an optional cash or in-kind cost share.
C. Restrictions
Please see Part IV.E. for HSGP Priorities Threshold, Law Enforcement Terrorism
Prevention, Management & Administration (M&A) limits, and allowable/unallowable
costs guidance.

26

PART IV.

APPLICATION AND SUBMISSION
INFORMATION
A. Address to Request Application Package
DHS participates in the Administration’s e-government initiative. As part of that
initiative, all applications must be filed using the Administration’s common electronic
“storefront” -- grants.gov. Eligible SAAs must apply for funding through this portal,
accessible on the Internet at http://www.grants.gov. To access application forms and
instructions, select “Apply for Grants,” and then select “Download Application Package.”
Enter the CFDA and/or the funding opportunity number located on the cover of this
announcement. Select “Download Application Package,” and then follow the prompts to
download the application package. To download the instructions, go to “Download
Application Package” and select “Instructions.” If you experience difficulties or have any
questions, please call the grants.gov customer support hotline at (800) 518-4726.
B. Content and Form of Application
1. On-line application. The on-line application must be completed and submitted
using grants.gov after Central Contractor Registry (CCR) registration is confirmed.
The on-line application includes the following required forms and submissions:
•
•
•
•
•
•
•
•

Investment Justification Report from the Grants Reporting Tool (see Part IV.F.
below for more information)
For grantees with UASI Urban Areas: an overview of the UAWG structure
and a list of members and their associated jurisdictions
Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
Standard Form 424B Assurances
Standard Form LLL, Disclosure of Lobbying Activities
Standard Form 424C, Budget Information – Construction Form (if applicable)
Standard Form 424D, Assurances – Construction Programs (if applicable)

The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Homeland Security Grant Program.” The CFDA number is 97.067.
2. Application via grants.gov. FEMA participates in the Administration’s egovernment initiative. As part of that initiative, all applicants must file their
applications using the Administration’s common electronic “storefront” -- grants.gov.

27

Eligible SAAs must apply for funding through this portal, accessible on the Internet at
http://www.grants.gov.
3. 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 grants.gov and for CCR Registration. 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.
4. Valid Central Contractor Registry (CCR) Registration. The application process
also involves an updated and current registration by the applicant. Eligible
applicants must confirm CCR registration at http://www.ccr.gov, as well as apply for
funding through grants.gov.
5. Investment Justification. As part of the FY 2009 HSGP application process,
applicants must develop a formal Investment Justification that addresses each
Investment being proposed for funding. The Investment Justification must
demonstrate how proposed projects address gaps and deficiencies in current
programs and capabilities. The Investment Justification must demonstrate the ability
to provide enhancements consistent with the purpose of the program and guidance
provided by FEMA. Applicants must ensure that the Investment Justification is
consistent with all applicable requirements outlined in this application kit.
For new Urban Areas, Investment Justification technical assistance is available;
please consult your SAA for requesting assistance services from FEMA.
Applicants may propose up to 15 Investments within their Investment Justification,
including multi-applicant Investments that support regional initiatives. States,
territories, and Urban Areas are required to use the web-based Investment
Justification submission module provided by FEMA in the Grants Reporting Tool
(GRT) for their FY 2009 HSGP submission. The web-based Investment Justification
submission module in the GRT will be available on January 1, 2009. In the
meantime, applicants may use the standalone, Word-based Investment Planning
Worksheet (or Multi-Applicant Planning Worksheet for multi-applicant Investments);
the Worksheet is available at http://www.fema.gov/grants along with the overall
FY 2009 HSGP guidance materials. Again, however, States, territories, and Urban
Areas are required to use the web-based Investment Justification submission
module provided by FEMA in the Grants Reporting Tool (GRT) for their FY 2009
HSGP submission.
Specific instructions for submitting and completing Investments are included in Part
IV.F., as well as in the FY 2009 HSGP Investment Justification Reference Guide.

28

Multi-Applicant Investments
States, territories, and Urban Areas may propose Multi-Applicant Investments, which
represent a shared interest between two or more States and territories, or a shared
interest between two or more Urban Areas, as one (or more) of their 15 Investment
submissions. Urban Areas cannot submit a Multi-Applicant Investment in
partnership with the State in which they are located. Each participating State or
Urban Area must outline the specific components of the Multi-Applicant Investment
for which it would be responsible and include that Investment in its own submission.
Investment Justification Questions and Scoring Criteria
HSGP applicants must provide information in the following categories for each
proposed Investment. The table below includes scoring criteria for each section and
the weights that will be applied to reinforce priority areas.

Question
OVERALL

Investment Justification Outline
Scoring Criteria

Overall Investment Justification
Question: Describe your understanding of
the spectrum of terrorism and natural hazard
risks your State/territory/Urban Area faces.
The information provided is not scored
Explain how this understanding influenced
as an individual section; however, it is
development of this Investment Justification. considered in the Portfolio Score, and
should demonstrate the relationship
States applying for HSGP funding must also between the individual Investments and
include a description of how they plan to
the applicant’s understanding of risk
allocate grant funds to local units of
government within 45 days of award.

Management & Administrative Costs:
States, territories and Urban Areas must
provide a brief overall summary of planned
The information provided is not scored
management and administrative (M&A)
as an individual section; however, it is
expenditures that support the
considered in the Portfolio Score
implementation of the Investments proposed
in this Investment Justification.

29

Question

Scoring Criteria

Project Management: Describe the
management team’s roles and
responsibilities, governance structures, and
subject matter expertise specifically required
for all of the Investments included in this
Investment Justification.

The information provided is not scored
as an individual section; however, it is
considered in the Portfolio Score and
should demonstrate the team’s ability to
manage the Investments listed in the
application

BASELINE
Investment Heading:
• State/territory name
• Urban Area name (if applicable)
• Investment name
• Total FY 2009 HSGP estimated funding
• Investment Phase – Ongoing or New
• Multi-Applicant Investment – Yes or No

The information provided is not scored

I.A. Baseline – Previous HSGP Request
Name and Funding: If the Investment was
included in a previous HSGP request,
please provide the name of the Investment
and the total amount of HSGP funding that
was dedicated to this Investment, if any.

I.B. Baseline – Purpose Statement:
Describe, at a high-level, what activities will
be implemented and what will be
accomplished by this Investment.

I.C. Baseline – Description: Provide a
description of the current state of this
Investment, its objectives, and any
accomplishments that will be completed
prior to the application of FY 2009 HSGP
funds. Include in this description whether
this is a new or ongoing Investment.
Describe the capability gap(s) that this
Investment is intended to address.

30

The information provided is not scored
as an individual section; however, it is
considered in the Comprehensive
Investment Score and should establish
the Investment’s background and
progress made to date

Question
STRATEGY (15%)

Scoring Criteria
•

II.A. Strategy – State Preparedness
Report: Explain how this Investment
supports Initiatives in the State
Preparedness Report. Please reference
relevant page numbers in the State
Preparedness Report.

•

II.B. Strategy – Homeland Security
Strategy goals and objectives: Explain
how this Investment supports the
State/territory/Urban Area Homeland
Security Strategy goals and objectives.
Please reference relevant goal and objective
numbers in the State/territory/Urban Area
Homeland Security Strategy.

•

II.C. Strategy – Target Capabilities: From
the drop-down boxes, select one primary
and up to four secondary Target Capabilities
that this Investment supports. For the
primary Target Capability selected, provide
an explanation of how it is supported by this
Investment.

•

II.D. Strategy – National Priorities: From
the drop-down boxes, select the National
Priority(ies) that this Investment supports;
up to four may be selected.

31

•

•

Response provides linkage
between the Investment and
Initiatives from the State
Preparedness Report
Response demonstrates how the
Investment will contribute to
reaching State Preparedness
Report targets

Response provides linkage
between the Investment and
Homeland Security Strategy
goals and objectives
Response demonstrates how the
Investment will support the
Homeland Security Strategy
goals and objectives

Response provides linkage
between the Investment and the
selected primary Target
Capability
Response demonstrates how the
Investment will support the
selected primary Target
Capability

The information provided is not scored
as an individual section; however, it is
considered in the Comprehensive
Investment Score

Question
Scoring Criteria
FUNDING PLAN (15%)
III.A. Funding Plan: Provide the total
estimated cost to implement this Investment
during the three year, FY 2009 HSGP period
of performance by completing the following
• Response references the
table:
appropriate activities, services,
• For each solution area that has an
or products for the solution area
associated FY 2009 HSGP cost,
• Response describes how the
provide a brief summary of the
estimated HSGP costs will be
planned expenditures (including
used specifically towards this
personnel)
Investment
• If this Investment includes an optional
• The optional cash and in-kind
cost share, provide the cash or incost share identified are
kind funding amounts in the
considered in the effectiveness
appropriate section of the funding
analysis
table and describe how those funds
will be applied
• Other sources of funding should be
identified and described appropriately
ACCOMPLISHMENTS, CHALLENGE MITIGATION (35%)
III.B. Accomplishments: Identify up to five
accomplishments that will be achieved
within the three year, FY 2009 HSGP period
of performance. For each accomplishment:
• Identify the planned end date for
when the accomplishment will occur
• Identify at least one milestone that
will indicate the Investment is
progressing towards the
accomplishment
• Identify at least one challenge that
may impede the achievement of the
accomplishment within the period of
performance

32

•
•

•

Each response provides a clear
description of the Investment’s
accomplishments
Milestones collectively present a
clear sequence of events that will
lead to the associated
accomplishment
Challenges should describe
potential barriers to both the
successful implementation of the
proposed Investment and the
completion of the associated
accomplishments within the FY
2009 HSGP period of
performance

Question

Scoring Criteria

III.C. Challenge Mitigation: Explain how
the management team described in the
Overall section will mitigate challenges and
ensure that the expected accomplishments
and milestones for this Investment will be
achieved within the three year, FY 2009
HSGP period of performance.

•

Response describes how the
management team will mitigate
challenges to meet milestones in
order to achieve the
accomplishments for the
proposed Investment

•

Response describes how the
accomplishments will reduce
risks outlined in the Overall
Investment Justification question

•

Response describes how the
capabilities developed by this
Investment will be
maintained/sustained beyond the
three year FY 2009 HSGP period
of performance, or
Response describes why the
Investment will not be
maintained/sustained long-term

IMPACT (35%)
IV.A. Impact on Identified Risk: Describe
how achieving this Investment’s
accomplishments will reduce your identified
risk as described in the Overall Investment
Justification question.

IV.B. Sustainability: Describe the long-term
approach to sustaining the capabilities
created or enhanced by this Investment, or
explain why this Investment will not be
sustained.

•

Multi-Applicant Questions and Scoring Criteria
Multi-Applicant Investments will use the same questions and scoring criteria indicated in
the table above, but will also highlight the benefits of regional collaboration.
The FY 2009 HSGP Investment Justification Reference Guide will outline how partners
should coordinate to complete the Multi-Applicant Investment.
C. Submission Dates and Times
Completed applications must be submitted electronically through www.grants.gov no
later than 11:59 PM EDT, March 20, 2009. Late applications will neither be considered
nor reviewed. Upon successful submission, a confirmation e-mail message will be sent
with a grants.gov tracking number, which is needed to track the status of the
application.

33

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
The applicable SAAs will be responsible for administration of the FY 2009 HSGP. In
administering the program, the SAA must work with the eligible applicants to comply
with the following general requirements:
1. HSGP Priorities Threshold. As noted before, FY 2009 HSGP will focus on six
objectives as its highest priorities, of which at least 25 percent of HSGP funds must
be dedicated to Strengthening Preparedness Planning.
2. Law Enforcement Terrorism Prevention. Per the 9/11 Act and Consolidated
Security, Disaster Assistance, and Continuing Appropriations Act of 2009 (Public
Law 110-329), FY 2009 HSGP will not contain a separate line-item Law
Enforcement Terrorism Prevention Program (LETPP). However, States are still
required to ensure that at least 25 percent of their SHSP award funds and 25
percent of their UASI award funds are dedicated towards law enforcement terrorism
prevention-oriented planning, organization, training, exercise, and equipment
activities.
3. Management and Administration (M&A) Limits. A maximum of up to three
percent (3%) of funds awarded may be retained by the State, and any funds retained
are to be used solely for management and administrative purposes associated with
the HSGP award. States may pass through a portion of the State M&A allocation to
local subgrantees to support local management and administration activities; the
overall subgrantee M&A amount may not equal more than three percent (3%).
4. Allowable Costs. A crosswalk of allowable costs across the HSGP programs can
be found in Part VIII of this Guidance package, along with additional detail on
Planning, Equipment, Training, and Exercises costs. The following pages outline
global allowable costs guidance applicable to all programs included in the HSGP.
Allowable Investments made in support of the HSGP Priorities as well as other
capability-enhancing projects must fall into the categories of Planning, Organization,
Equipment, Training, or Exercises. Additional detail about each of these allowable
expense categories, as well as sections on additional activities including explicitly
unallowable costs is provided. In general, grantees should consult their FEMA

34

Program Analyst prior to making any Investment that does not clearly meet the
allowable expense criteria established by the guidance.
Planning Activities
States and Urban Areas are strongly encouraged to use FY 2009 HSGP funds for
planning efforts that enable them to prioritize needs, build capabilities, update
preparedness strategies, allocate resources, and deliver preparedness programs
across disciplines (e.g., law enforcement, fire, emergency medical service (EMS),
public health, behavioral health, public works, agriculture, and information
technology) and levels of government. Planning activities should focus on the four
homeland security mission areas of prevention, protection, response, and recovery.
All jurisdictions are encouraged to work through Citizen Corps Councils,
nongovernmental entities, and the general public in planning activities.3
Organizational Activities (SHSP and UASI only)
Section 2008 of the Homeland Security Act, as amended by the 9/11 Act, includes
the following allowable activities:
•
•
•

Responding to an increase in the threat level under the Homeland Security
Advisory System, or needs resulting from a National Special Security Event
Establishing, enhancing, and staffing State, local, and regional fusion centers
Paying salaries and benefits for personnel to serve as qualified intelligence
analysts

States and Urban Areas must justify proposed expenditures of SHSP or UASI funds
to support organization activities within their Investment Justification submission by
using historical data or other analysis.4 All States are allowed to utilize up to 50
percent of their FY 2009 SHSP funding and all Urban Areas are allowed up to 50
percent of their FY 2009 UASI funding for Organizational activities5. At the request
of a recipient of a grant, the Administrator may grant a waiver of the limitation noted
above (50 percent).
•

Overtime Costs -- Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities specifically related to
homeland security and specifically requested by a Federal agency. Allowable
costs are limited to overtime associated with Federally requested participation in
eligible fusion activities including anti-terrorism task forces, Joint Terrorism Task
Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime
Transportation Security Act of 2002), DHS Border Enforcement Security Task

3

Nongovernmental entities include the private sector and private nonprofit, faith-based, community, volunteer and other
nongovernmental organizations.
4

The effectiveness of a request for the use of funds for allowable organizational costs will be judged on the Investment Justification
to illustrate the need for such resources to effectively achieve a capability that will have a meaningful impact in the reduction of risk.
5

Note: Both organizational costs (e.g., intel analysts, operational overtime) and planning, equipment, training, exercise personnel
costs are applied towards the 50 percent personnel cap.

35

Forces, and Integrated Border Enforcement Teams. Tribes must submit to DHS
a written letter from a Federal agency which explicitly requests tribal staff
participation in an eligible activity or illustrates how the activities support the roles
and responsibilities of fusion centers as noted in Appendix 1 of the National
Strategy for Information Sharing and provides an estimate of the size of the
request in man-hours. Grant funding can only be used in proportion to the
Federal man-hour estimate, and only after funding for these activities from other
Federal sources (i.e. FBI JTTF payments to State and local agencies) has been
exhausted. Under no circumstances should DHS grant funding be used to pay
for costs already supported by funding from another Federal source.
•

Intelligence Analysts – Per the Personnel Reimbursement for Intelligence
Cooperation and Enhancement (PRICE) of Homeland Security Act (Public Law
110-412), SHSP and UASI funds may be used to hire new staff and/or contractor
positions to serve as intelligence analysts to enable information/intelligence
sharing capabilities, as well as support existing intelligence analysts previously
covered by SHSP or UASI funding. 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
All intelligence analyst training should be in accordance with Global’s Minimum
Criminal Intelligence Training Standards for Law Enforcement and Other Criminal
Justice Agencies in the United States, which outlines the minimum categories of
training needed for intelligence analysts. These include subject-matter expertise,
analytic methodologies, customer-service ethics, information handling and
processing skills, critical thinking skills, computer literacy, and objectivity and
intellectual honesty. A certificate of completion of such training must be on file
with the tribe and must be made available to FEMA Program Analysts upon
request.

•

Operational Overtime Costs. In support of efforts to enhance capabilities for
detecting, deterring, disrupting, and preventing acts of terrorism, operational
overtime costs are allowable for increased security measures at critical
infrastructure sites during DHS-declared periods of Orange or Red threat levels.
Subject to these elevated threat level conditions, FY 2009 SHSP or UASI funds
for organizational costs may be used to support select operational expenses
associated with increased security measures at critical infrastructure sites in the
following authorized categories:

36

•
•
•
•
•

Backfill and overtime expenses (as defined in this guidance) for staffing
State or local fusion centers
Hiring of contracted security for critical infrastructure sites
Public safety overtime (as defined in this guidance)
National Guard deployments to protect critical infrastructure sites,
including all resources that are part of the standard National Guard
deployment package
Increased border security activities in coordination with US Customs and
Border Protection (CBP), as outlined in Information Bulletin #135

Consumable costs, such as fuel expenses, are not allowed except as part of the
standard National Guard deployment package.
Note: States with UASI jurisdictions can use funds retained at the State level to
reimburse eligible operational overtime expenses incurred by the State (per the
above guidance limitations and up to a maximum of 50 percent of the State share
of the UASI grant). Any UASI funds retained by the State must be used in direct
support of the Urban Area. States must provide documentation to the UAWG
and FEMA upon request demonstrating how any UASI funds retained by the
State would directly support the Urban Area.
Equipment Activities
The 21 allowable prevention, protection, response, and recovery equipment
categories and equipment standards for FY 2009 HSGP are listed on the web-based
version of the Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB), at https://www.rkb.us. The Standardized Equipment List (SEL) is located on
this site as well. In some cases, items on the SEL are not allowable under HSGP or
will not be eligible for purchase unless specific conditions are met.
Unless otherwise stated, equipment must meet all mandatory regulatory and/or
DHS-adopted standards to be eligible for purchase using these funds. In addition,
agencies will be responsible for obtaining and maintaining all necessary
certifications and licenses for the requested equipment.
Training Activities
States, territories, and Urban Areas are strongly encouraged to use HSGP funds to
develop a State/territory homeland security training program. Allowable trainingrelated costs under HSGP include the establishment, support, conduct, and
attendance of training specifically identified under the SHSP, UASI, MMRS, and
CCP grant programs. Allowable training topics include, but are not limited to,
CBRNE terrorism, cyber/agriculture/food security, intelligence gathering and
analysis, NIMS related training, citizen and community preparedness, and training
for volunteers.
Training conducted using HSGP funds should address a performance gap identified
through an After Action Report/Improvement Plan (AAR/IP) or contribute to building

37

a capability that will be evaluated through an exercise. Exercises should be used to
provide the opportunity to demonstrate and validate skills learned in training, as well
as to identify training gaps. Any training or training gaps should be identified in the
AAR/IP and addressed in the State or Urban Area training cycle. All training and
exercises conducted with HSGP funds should support the development and testing
of the jurisdiction’s Emergency Operations Plan (EOP) or specific annexes, where
applicable.
Exercise Activities
Exercises conducted with FEMA support must be managed and executed in
accordance with the Homeland Security Exercise and Evaluation Program (HSEEP).
HSEEP Volumes One, Two, and Three contain guidance for exercise design,
development, conduct, evaluation, and improvement planning. HSEEP Volume Four
provides sample exercise materials, and HSEEP Volume Five: Prevention Exercises
contains guidance and recommendations for designing, developing, conducting, and
evaluating prevention-focused exercises. All volumes can be found at
http://hseep.dhs.gov.
All exercises using HSGP funding must be NIMS compliant. More information is
available online at the NIMS Integration Center,
http://www.fema.gov/emergency/nims/index.shtm.
All Urban Areas are required to develop a Multi-year Training and Exercise Plan and
submit it to FEMA on an annual basis. This plan must tie into the Multi-year Training
and Exercise Plan developed by the State and aligns with the Urban Area Homeland
Security Strategy. Further, Urban Areas are encouraged to develop a Multi-year
Plan and Schedule that takes into consideration anticipated training needs of the
Urban Area for at least the immediate year, with exercises being timed to provide
responders the opportunity to utilize training received. Further guidance concerning
Training and Exercise Plan Workshops can be found in the HSEEP Volumes.
Urban Areas are eligible to apply for exercise direct support, but must do so in
coordination with the SAA. Direct support exercises provided to Urban Areas will
count against the amount of direct support allotted to the State for FY 2009.
Personnel Activities
Personnel hiring, overtime, and backfill expenses are permitted under this grant in
order to perform allowable FY 2009 HSGP planning, training, exercise, and
equipment activities.
•

A personnel cap of up to 50 percent of total program funds may be used for
personnel and personnel-related activities as directed by the Personnel
Reimbursement for Intelligence Cooperation and Enhancement (PRICE) of
Homeland Security Act (Public Law 110-412). Grantees who wish to seek a
waiver from the personnel cap must provide documentation explaining why the
cap is unacceptable; waiver requests will be considered only under extreme

38

circumstances. In general, the use of HSGP grant funding to pay for staff and/or
contractor regular time or overtime/backfill is considered a personnel cost.
Activities that are considered “personnel” and “personnel-related”, and therefore
count against the personnel cap of 50 percent include, but are not limited to:
•
•
•
•
•
•
•

Operational overtime
Overtime/backfill to participate in approved training or exercise deliveries
Salaries and personnel costs of intelligence analysts
Overtime to participate in intelligence sharing activities
Salaries and personnel costs of planners, equipment managers, exercise
coordinators, and/or training coordinators
Salaries and personnel costs under the M&A category
Contractor costs associated with performing the above activities

These activities are also subject to the funding and eligibility requirements
detailed under the allowable cost categories. For further details, SAAs should
contact their FEMA GPD Program Analyst.
•
•

Neither MMRS nor CCP have a personnel cap.
For MMRS, hiring, overtime, backfill and professional development expenses are
allowable only for dedicated MMRS Leadership personnel to perform
programmatic activities and that are deemed allowable under existing guidance.
Supplanting, however, is not allowed.

FY 2009 HSGP funds may not be used to support the hiring of any personnel for the
purposes of fulfilling traditional public health and safety duties or to supplant
traditional public health and safety positions and responsibilities.
The following are definitions for the terms as used in this grant guidance:
•

•

•

Hiring – State and local entities may use grant funding to cover the salary of
newly hired personnel who are exclusively undertaking allowable FEMA program
activities as specified in this guidance. This may not include new personnel who
are hired to fulfill any non-FEMA program activities under any circumstances.
Hiring will always result in a net increase of FTEs.
Overtime – These expenses are limited to the additional costs which result from
personnel working over and above 40 hours of weekly work time as a direct
result of their performance of FEMA-approved activities specified in this
guidance. Overtime associated with any other activity is not eligible.
Backfill-related Overtime – Also called “Overtime as Backfill,” these expenses
are limited to overtime costs which result from personnel who are working
overtime (as identified above) to perform the duties of other personnel who are
temporarily assigned to FEMA-approved activities outside their core
responsibilities. Neither overtime nor backfill expenses are the result of an
increase of Full-Time Equivalent (FTE) employees.

39

•

Supplanting – Grant funds will be used to supplement existing funds, and will
not replace (supplant) funds that have been appropriated for the same purpose.
Applicants or grantees may be required to supply documentation certifying that a
reduction in non-Federal resources occurred for reasons other than the receipt or
expected receipt of Federal funds.

Construction and Renovation
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. CCP and MMRS funds may not be used for any type of
construction or renovation.
Project construction and renovation not exceeding $1,000,000 is allowable, as
deemed necessary. The following types of projects are considered to constitute
construction or renovation, and must be submitted to FEMA for compliance review
under Federal environmental planning and historic preservation (EHP) laws and
requirements prior to initiation of the project:
•
•
•
•

Construction and renovation of guard facilities
Renovation of and modifications, including the installation of security and
communication equipment, to buildings and structures that are 50 years old or
older
Any other construction or renovation efforts that change or expand the footprint
of a facility or structure, including security enhancements to improve perimeter
security.
Physical security enhancements, including but not limited to:
o 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 communications towers that are included in a
jurisdiction’s interoperable communications plan is allowed, subject to all
applicable laws, regulations, and licensing provisions. Communication tower
projects must be submitted to FEMA for EHP review. Per the Consolidated
Security, Disaster Assistance, and Continuing Appropriations Act of 2009
(Public Law 110-329), communications towers are not subject to the
$1,000,000 construction and renovation cap.
In order to draw down funds for construction and renovation costs under HSGP,
grantees must provide to FEMA:
•

A description of the asset or facility, asset location, whether the infrastructure is
publicly or privately owned, and the construction or renovation project

40

•
•
•
•

Certification that a facility vulnerability assessment has been conducted
An outline addressing how the construction or renovation project will address the
identified vulnerabilities from the assessment
Consequences of not implementing the construction or renovation project
Any additional information requested by FEMA to ensure compliance with
Federal environmental and historic preservation requirements

Grantees should refer to FEMA’s Information Bulletin #271, Environmental and
Planning and Historic Preservation Requirements for Grants. Additional information
may also be found on the FEMA’s website located at http://www.fema.gov/plan/ehp/.
Law Enforcement Terrorism Prevention-Oriented Allowable Costs
Section 2006 of the Homeland Security Act, as amended by the 9/11 Act, includes
the following allowable activities:
•
•
•
•
•

Overtime expenses consistent with a State homeland security plan, including
enhanced operations in support of federal agencies, including border security
and border crossing enforcement;
Establishing, enhancing and staffing State, local and regional fusion centers;
Paying salaries and benefits for personnel to serve as qualified intelligence
analysts;
Any other terrorism prevention activity authorized by the Administrator
Provisions from Section 2008 also apply

The broad parameters of the historical LETPP program are still allowable under
SHSP and UASI. These include the following activities:
•
•
•
•
•

•
•

Information sharing and analysis
Target hardening
Threat recognition
Terrorist interdiction
Subject to the limitations on Organization and Personnel Costs outlined above,
overtime expenses consistent with a State Homeland Security Plan, including for
the provision of enhanced law enforcement operations in support of Federal
agencies, including for increased border security and border crossing
enforcement
Subject to the limitations on Organization and Personnel Costs outlined above,
establishing, enhancing, and staffing State, local, and regional fusion centers
with appropriately qualified personnel
Subject to the limitations on Organization and Personnel Costs outlined above,
paying salaries and benefits for personnel, including individuals employed by the
grant recipient on the date of the relevant grant application, to serve as qualified
intelligence analysts

41

Secure Identification
In addition to the expenditures outlined above, SHSP funds may be used to support
the Department’s efforts to enhance secure identification. Activities that facilitate
secure identification, including IT enhancements for identification management and
verification systems, are a priority. DHS is currently developing and implementing a
number of high profile screening programs in which secure identification credentials
figure prominently. These include the REAL ID program which aims to enhance the
security, integrity and protection of licensing and identification systems across the
country; the Transportation Worker Identification Credential (TWIC) program which
promotes tamper-resistant biometric credentials for workers who require unescorted
access to secure areas of ports, vessels, outer continental shelf facilities and all
credentialed merchant mariners; and the credentialing of First Responders which
entails enhancing real-time electronic authentication of identity and attribute(s)
(qualification, certification, authorization, and/or privilege) of emergency
response/critical government personnel responding to terrorist attacks or other
catastrophic events.
REAL ID specific allowable activities include: planning activities related to REAL ID
compliance, related personal identification verification systems enhancements;
personnel and management costs related to REAL ID compliance activities; and
acquisitions for hardware and software related to ensuring compatibility with REAL
ID technologies.
As to TWIC, specific allowable activities include: projects that involve new
installations or upgrades to access control and identity management systems that
exhibit compliance with TWIC standards and program specifications.
As to credentialing of First Responders, specific allowable activities include:
development of standards-based technologies, policies, protocols, and practices for
portable and functional solutions to first responder identification issues.
Note: Secure Identification projects requested and funded under SHSP must directly
support SHSP mission goals and cannot supplant projects/activities funded under
the REAL ID Grant Program.
F. Other Submission Requirements
The FY 2009 Investment Justification for HSGP will be web-based. The Investment
Justification will be completed by applicants using the Grants Reporting Tool (GRT).
Once Investment Justifications are marked ‘complete’ in GRT by applicants, the SAA
will then need to submit the final application through grants.gov.
Please allow enough time before (or no later than 11:59 PM EDT) March 20, 2009
to complete the Investment Justification in GRT and submit the required
application materials in grants.gov.

42

The following steps must be completed to submit an Investment Justification to FEMA
GPD:
1. Log into the GRT
On January 1, 2009 users will be directed to log into the GRT to begin their
completion of the online Investment Justification.
In order to complete the Investment Justification, applicants should direct their web
browser to https://www.reporting.odp.dhs.gov/. To login, all users must have active
GRT accounts and permission from their “SAA Admin” (as identified in the GRT) to
edit and submit the online Investment Justification. SAA Admin users are asked to
grant permissions to all State and local users that need applicable access to the
Investment Justification Submission module. If you are an SAA responsible for the
completion and submission of your Investment Justification and do not have a GRT
account, please contact your FEMA Program Analyst. Once access has been
granted, users may enter the Investment Justification Submission module, via the
GRT, and complete their online Investment Justification.
2. Complete the Investment Justification in the GRT
The purpose of the Investment Justification Submission Module is to provide users
the ability to complete and submit their FY 2009 Investment Justification online. A
MS Word worksheet has been provided by FEMA to users so that they may begin
completing their Investments prior to inputting the data into GRT.
Users can create up to 15 Investments and will have the opportunity to designate
one or more of those Investments as a Multi-Applicant Investment (based on a
submitting partner). Once finished entering Investment Justification information,
State and local users can mark their Investments ‘complete’ and notify their SAA
Admin of their Investment status.
Upon completion of all Investments, the SAA Admin is then required to make the
final submission to FEMA through grants.gov (see Step 3).
3. Submit Investment Justification through grants.gov
After the Investment Justification application has been marked ‘complete’ in the
GRT, SAAs on behalf of applicants thereafter must also apply through grants.gov at
http://www.grants.gov to complete the submission process.
Please allow enough time before (or no later than 11:59 PM EDT) March 20, 2009:
• Complete the Investment Justification in the GRT first: and
• Upload the required application materials into grants.gov.
Additional technical information regarding GRT Investment Justification Submission will
be available to all users in the GRT IJ Submission Technical User’s Guide.

43

PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
FY 2009 HSGP will use risk-based prioritization for SHSP and UASI consistent with
DHS policy outlined in this guidance document. Each applicant’s targeted allocation will
be determined using a combination of the results of the risk and effectiveness analyses.
Applications will be evaluated through a State and local peer review process for
completeness, adherence to programmatic guidelines, feasibility, and how well the
proposed Investment addresses the identified need(s) or capability shortfall(s). The
Investment Justification requires narrative on strategic alignment, funding plan,
milestones, project management, potential challenges, impact, and sustainability for
each Investment. This information will be used to evaluate the anticipated effectiveness
of all proposed Investments. Please refer to Section IV.B. for the Investment
Justification questions and scoring criteria.
B. Review and Selection Process
The following process will be used to make awards under the program:
•

FEMA will verify compliance with all administrative and eligibility criteria identified
in the application kit, to include the required submission of Investment
Justification by the established due dates.

•

Eligible applications will be reviewed and scored through a State and local peer
review process to analyze the anticipated effectiveness of proposed Investments.
State and Urban Area Homeland Security Strategies and State Preparedness
Reports will be reviewed by the peer review panels for context, but will not be
scored.

•

FEMA will use the results of both the risk analysis and the peer review to make
recommendations for targeted funding to the Secretary of Homeland Security.

Note: Upon award, the recipient may only fund Investments that were included in
the FY 2009 Investment Justification that was submitted to FEMA and evaluated
through the peer review process. In addition, release of targeted HSGP funding is
subject to successful completion and approval of Investment Justifications.
Funds Transfer Restriction. The recipient is prohibited from transferring funds
between programs (SHSP, UASI, MMRS, and CCP).
44

Fusion Centers. The recipient agrees that funds utilized to establish or enhance
designated state and Urban Area fusion centers must support the development of a
statewide fusion process that corresponds with the Global Justice/Homeland Security
Advisory Council (HSAC) Fusion Center Guidelines and the National Strategy for
Information Sharing, and achievement of a baseline level of capability as defined by
Global’s Baseline Capabilities for State and Major Urban Area Fusion Centers, a
supplement to the Fusion Center Guidelines, located at
http://www.it.ojp.gov/documents/baselinecapabilitiesa.pdf.
Multi-State Investments. The recipient agrees to fund any multi-state or multi-urban
area Investments that were included in the FY 2009 Investment Justification that was
submitted to FEMA and received a bonus in the effectiveness analysis.
C. Anticipated Announcement and Award Dates
FEMA will evaluate and act on applications within 90 days following close of the
application period, consistent with the Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act, 2009 (Public Law 110-329). Awards will be made on or
before September 30, 2009.

45

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 HSGP carry additional pass-through requirements. Passthrough is defined as an obligation on the part of the States to make funds available to
local units of government6, 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 HSGP7. Four requirements must be met to pass-through grant
funds:
• There must be some 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.
The SAA must obligate at least 80 percent of the funds awarded under SHSP and UASI
to local units of government within 45 days of receipt of the funds. For Puerto Rico, the
SAA must also obligate at least 80 percent of the funds to local units of government
6

As defined in the House Report (H. Rept. 110-862) and the Senate Report (S. Rept. 110-396)
accompanying the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act of
2009 (Public Law 110-329), the term “local unit of government” means “any county, city, village, town,
district, borough, parish, port authority, transit authority, intercity rail provider, commuter rail system,
freight rail provider, water district, regional planning commission, council of government, Indian tribe with
jurisdiction over Indian country, authorized Tribal organization, Alaska Native village, independent
authority, special district, or other political subdivision of any State.”
7

For purposes of the FY 2009 HSGP, 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).

46

within 45 days of receipt of the funds. Additionally, no pass-through requirements will
be applied to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands,
and the Commonwealth of the Northern Mariana Islands. Any UASI funds retained by
the SAA must be used to directly support the designated Urban Areas in the State.
States must obligate at least 97 percent of MMRS grant funds within 45 days of receipt.
There are no obligation requirements for CCP. However, if funds are retained,
consultation with local Citizen Corps Councils is required to ensure funds are expended
in a manner that supports local or statewide efforts to educate, train, and involve
citizens. Jurisdictions are encouraged to leverage available funding resources to
support community preparedness and participation.
For SHSP and UASI programs involving obligation of funds, the State may retain some
of the allocation of grant funds for expenditures made by the State on behalf of the local
unit of government or Urban Area jurisdiction. This may occur only with the written
consent of the local unit of government or Urban Area jurisdiction, with the written
consent specifying the amount of funds to be retained and the intended use of funds. If
a written consent agreement is already in place from previous fiscal years, FEMA will
continue to recognize it for FY 2009. If any modifications to the existing agreement are
necessary to reflect new initiatives, States should contact their assigned Program
Analyst.
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.
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:

47

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
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

48

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
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.

49

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
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.

50

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 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/.

•

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

51

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 http://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
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,

52

biological, and/or cultural resources present in the project vicinity; visual
documentation such as site and facility photographs, project plans, maps, etc;
and possible project alternatives.
For certain types of projects, FEMA must consult with other Federal and State
agencies such as the U.S. Fish and Wildlife Service, State Historic Preservation
Offices, and the U.S. Army Corps of Engineers, as well as other agencies and
organizations responsible for protecting natural and cultural resources. For
projects with the potential to have significant adverse effects on the environment
and/or historic properties, FEMA’s EHP review and consultation may result in a
substantive agreement between the involved parties outlining how the grantee
will avoid the effects, minimize the effects, or, if necessary, compensate for the
effects.
Because of the potential for significant adverse effects to EHP resources or
public controversy, some projects may require an additional assessment or
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
result of the EHP review. Any change to the approved project scope of work will
require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation
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 be 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

53

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 -- FEMA GPD Publications Statement. Applicants are advised that all
publications created with funding under any grant award shall prominently
contain the following statement: "This document was prepared under a grant
from FEMA’s Grant Programs Directorate, 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’s Grant Programs Directorate 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
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.

54

5.13 – Critical Emergency Supplies. In furtherance of DHS’s mission, critical
emergency supplies, such as shelf stable food products, water, and basic
medical supplies are an allowable expense under SHSP. Prior to allocating grant
funding for stockpiling purposes, each State must have FEMA’s approval of a
viable inventory management plan, an effective distribution strategy, sustainment
costs for such an effort, and logistics expertise to avoid situations where funds
are wasted because supplies are rendered ineffective due to lack of planning.
The inventory management plan and distribution strategy, to include sustainment
costs, will be developed and monitored by FEMA GPD with the assistance of the
FEMA Logistics Management Directorate (LMD). GPD will coordinate with LMD
and the respective FEMA Region to provide program oversight and technical
assistance as it relates to the purchase of critical emergency supplies under
SHSP. GPD and LMD will establish guidelines and requirements for the
purchase of these supplies under SHSP and monitor development and status of
the State’s inventory management plan and distribution strategy.
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

55

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.
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. Exercise Evaluation and Improvement. Exercises, implemented with grant funds,
should be threat and performance-based and should evaluate performance of the
targeted capabilities required to respond to the exercise scenario. Guidance related
to the conduct exercise evaluations and the implementation of improvement is
defined in the Homeland Security Exercise and Evaluation Program (HSEEP)
Manual located at http://www.fema.gov/government/grant/administration.shtm.
Grant recipients must report on scheduled exercises and ensure that an After Action
Report (AAR) and Improvement Plan (IP) are prepared for each exercise conducted
with FEMA support (grant funds or direct support) and submitted to the FEMA

56

secure Portal (https://preparednessportal.dhs.gov/) within 60 days following
completion of the exercise.
The AAR documents the demonstrated performance of targeted capabilities and
identifies recommendations for improvements. The IP outlines an exercising
jurisdiction(s) plan to address the recommendations contained in the AAR. At a
minimum, the IP must identify initial action items and be included in the final AAR.
Guidance for the development of AARs and IPs is provided in the HSEEP manual.
Required submissions: AARs and IPs (as applicable).
6. 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 HSGP 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.
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.

57

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.

58

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 funding priorities and
administrative requirements associated with the FY 2009 HSGP, 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

59

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.

60

4. Exercise Direct Support. FEMA provides support to Regions, States, and local
jurisdictions in accordance with State Homeland Security Strategies and the
Homeland Security Exercise and Evaluation Program (HSEEP). Support is available
to conduct a Training and Exercise Plan (TEP) workshop, to develop a Multi-year
TEP, and to build or enhance the capacity of a jurisdiction to design, develop,
conduct, and evaluate effective exercises.
In FY 2009, support for planning and conduct of exercises has shifted in strategy
from a State-focused approach, organized by National Preparedness Directorate
Headquarters, to a regional (multi-State) approach, organized by the FEMA
Regions, to more effectively integrate national, regional, territorial, tribal, State, and
local preparedness exercises. At this time, the Regional Exercise Support Program
will support discussion-based exercises (i.e., seminar, workshop or tabletop),
operations-based exercises (i.e. drills, functional exercises, full scale exercises), and
TEP workshops within each of the 10 FEMA Regions. The Regional Exercise
Support Program support is not limited to new exercise initiatives and can be applied
to ongoing exercises to maintain continuity of existing planning schedules.
Applicants are encouraged to coordinate requests for exercise support through the
appropriate FEMA Regional Exercise Officer. State requests for support will be
considered, however, priority will be given to exercise initiatives that support
collaboration within a Region.
Additional guidance on the Regional Exercise Support Program to include the
application process and information on the HSEEP is available on the HSEEP
website, https://hseep.dhs.gov.
5. 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
6. 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.

61

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.
7. 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.

62

PART VIII.

OTHER INFORMATION – HSGP ALLOWABLE
COSTS
FY 2009 Allowable Cost Matrix
Allowable Program Activities
Current as of FY 2009 Programs*

FEMA

See the respective program guidance for additional details and/or
requirements

HSGP
SHSP

UASI

MMRS

CCP

LETPA

Allowable Planning Costs
Developing scenario plans that incorporate the range of prevention,
protection, response, and recovery activities for a scenario

Y

Y

Y

Y

Y

Developing and implementing homeland security support programs
and adopting ongoing DHS national initiatives

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

*As of Publication

Developing related terrorism prevention activities
Developing and enhancing plans and protocols

Y

Y

Y

Y

Y

Developing or conducting assessments

Y

Y

Y

Y

Y

Hiring of full- or part-time staff or contract/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

Materials required to conduct planning activities
Travel/per diem related to planning activities
Overtime and backfill costs (IAW operational Cost Guidance)
Other project areas with prior approval from FEMA

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Allowable Organizational Activities
Reimbursement for select operational expenses associated with
increased security measures at critical infrastructure sites incurred
during periods of DHS-declared alert (up to 50 percent of the
allocation)

Y

Y

Conferences to facilitate planning activities

63

Y

Allowable Program Activities
Current as of FY 2009 Programs*

FEMA

See the respective program guidance for additional details and/or
requirements

HSGP
LETPA

Y

Y

Y

Y

Y

Allowable Equipment Categories
Personal Protective Equipment
Explosive Device Mitigation and Remediation Equipment
CBRNE Operational Search and Rescue Equipment
Information Technology
Cyber Security Enhancement Equipment
Interoperable Communications Equipment
Detection
Decontamination
Medical
Power
CBRNE Reference Materials
CBRNE Incident Response Vehicles
Terrorism Incident Prevention Equipment
Physical Security Enhancement Equipment
Inspection and Screening Systems
Agriculture Terrorism Prevention, Response, and Mitigation Equipment
CBRNE Prevention and Response Watercraft
CBRNE Aviation Equipment
CBRNE Logistical Support Equipment
Intervention Equipment
Other Authorized Equipment

Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y

Y

Y

Y
Y
Y
Y
Y
Y
Y
Y
Y
Y

Y
Y
Y
Y

Allowable Training Costs
Overtime and backfill for emergency preparedness and response
personnel attending FEMA-sponsored and approved training classes

Y

Y

64

CCP

UASI

MMRS

SHSP
Y

Hiring of new staff positions/contractors/consultants for participation in
information/intelligence analysis and sharing groups or fusion center
activities (up to 50 percent of the allocation)

*As of Publication
Overtime for information, investigative, and intelligence sharing
activities (up to 50 percent of the allocation)

Y
Y
Y

Y
Y

Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y
Y

Y
Y

Y

Y

Y

Y
Y
Y

Y

Y

Y

Allowable Program Activities
Current as of FY 2009 Programs*

FEMA

See the respective program guidance for additional details and/or
requirements

HSGP

Leasing or renting of space for newly hired personnel during the period
of performance of the grant program

65

LETPA

Overtime and backfill costs
Travel
Meeting related expenses
Authorized office equipment
Recurring expenses such as those associated with cell phones and
faxes during the period of performance of the grant program

CCP

Allowable Management & Administrative 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 and data collection
requirements
Development of operating plans for information collection and
processing necessary to respond to FEMA data calls

MMRS

Allowable Exercise Related Costs
Design, Develop, Conduct and Evaluate an Exercise
Exercise planning workshop
Full- or part-time staff or contractors/consultants
Overtime and backfill costs, including expenses for part-time and
volunteer emergency response personnel participating in FEMA
exercises
Implementation of HSEEP
Travel
Supplies
Other items

UASI

Training workshops and conferences
Full- or part-time staff or contractors/consultants
Travel
Supplies
Tuition for higher education
Other items

SHSP

*As of Publication
Overtime and backfill expenses for part-time and volunteer emergency
response personnel participating in FEMA training

Y
Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y
Y

Y
Y
Y

Y
Y
Y

Y
Y
Y

Y
Y
Y

Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y

Y

Y

Y

Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y
Y
Y
Y
Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

OTHER INFORMATION – HSGP
ALLOWABLE EXPENSES
Overview
The following provides guidance on allowable costs within Planning, Equipment,
Training, and Exercise activities.
Planning Activities Information
The FY 2009 HSGP Guidance and Application Kit defines five broad categories of
allowable planning costs. Following are examples for each of the categories.
•

Developing scenario plans that incorporate the range of prevention, protection,
response, and recovery activities for a scenario

•

Developing and implementing homeland security support programs and adopting
DHS national initiatives including but not limited to the following:
o
o
o
o

o
o
o
o
o
o
o

o

Implementing the National Preparedness Guidelines
Enhancing and implementing Statewide Communication Interoperability
Plans (SCIP) and Tactical Interoperable Communications Plans (TICP)
Aligning SCIPs and TICPs to the goals and objectives of the National
Emergency Communications Plan (NECP)
Costs associated with the adoption, implementation and adherence to
NIMS compliance requirements, including implementing the NIMS
National Credentialing Framework.
Modifying existing incident management and EOPs to ensure proper
alignment with the NRF coordinating structures, processes, and protocols
Establishing or enhancing mutual aid agreements
Developing communications and interoperability protocols and solutions
Conducting local, regional, and Tribal program implementation meetings
Developing or updating resource inventory assets in accordance to typed
resource definitions issued by the NIMS Integration Center (NIC)
Designing State and local geospatial data systems
Conducting public education and outreach campaigns, including
promoting individual, family and business emergency preparedness; alerts
and warnings education; and evacuation plans as well as IED or bombing
prevention awareness
Preparing materials for the State Preparedness Report (SPR)

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•

Developing related terrorism prevention activities including:
o
o
o
o
o

o
o

o
o
o

o
o

o
o
o
o

Developing law enforcement prevention activities, to include establishing
and/or enhancing a fusion center
Hiring an IT specialist to plan, develop, and implement the IT applications
necessary for a fusion center
Developing and planning for information/intelligence sharing groups
Hiring contractors and consultants to make recommendations on the
development of a fusion center
Integrating and coordinating public health care and health security datagathering (threats to human and animal health) within State and local
fusion centers to achieve early warning and mitigation of health events
Integrating and coordinating private sector participation with fusion center
activities
Acquiring systems allowing connectivity to State, local, and Federal data
networks, such as the National Crime Information Center (NCIC) and
Integrated Automated Fingerprint Identification System (IAFIS), as
appropriate
Planning to enhance security during heightened alerts, during terrorist
incidents, and/or during mitigation and recovery
Multi-discipline preparation across first responder community, including
EMS for response to catastrophic events and acts of terrorism
Public information/education: printed and electronic materials, public
service announcements, seminars/town hall meetings, web postings
coordinated through local Citizen Corps Councils
Citizen Corps volunteer programs and other activities to strengthen citizen
participation
Conducting public education campaigns, including promoting individual,
family and business emergency preparedness; promoting the Ready
campaign; and/or creating State, regional or local emergency
preparedness efforts that build upon the Ready campaign
Evaluating CIP security equipment and/or personnel requirements to
protect and secure sites
CIP cost assessments, including resources (e.g., financial, personnel)
required for security enhancements/deployments
Multi-Jurisdiction Bombing Prevention Plans (MJBPP)8
Underwater Terrorist Protection Plans

8

The SAA should examine current bombing prevention and explosive device response capabilities as an import risk reduction
activity. An explosive devise recognition capability analysis can assist in determining their opportunities for increasing the capability
to execute steady state and threat initiated tasks to prevent and respond to a bombing incident.

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•

Developing and enhancing plans and protocols, including but not limited to:
o
o
o
o
o

o
o

o
o
o
o
o
o
o

o
o
o
o

o
o
o

o
o
o

Developing or enhancing EOPs and operating procedures
Developing or enhancing local, regional, or Statewide strategic or tactical
interoperable emergency communications plans
Implementing Statewide Communication Interoperabiliy Plans (SCIP) and
Tactical Interoperable Communications Plans (TICP)
Aligning SCIPs and TICPs to the goals and objectives of the NECP
Developing protocols or standard operating procedures for specialized
teams to incorporate the use of equipment acquired through this grant
program
Developing terrorism prevention/deterrence plans
Developing plans, procedures, and requirements for the management of
infrastructure and resources related to HSGP and implementation of State
or Urban Area Homeland Security Strategies
Developing or enhancing border security plans
Developing or enhancing cyber security plans
Developing or enhancing secondary health screening protocols at major
points of entry (air, rail, port)
Developing or enhancing cyber risk mitigation plans
Developing or enhancing agriculture/food security risk mitigation,
response, and recovery plans
Developing public/private sector partnership emergency response,
assessment, and resource sharing plans
Developing or enhancing plans to engage and interface with, and to
increase the capacity of, private sector/non-governmental entities working
to meet the human service response and recovery needs of victims
Developing or updating local or regional communications plans
Developing plans to support and assist jurisdictions, such as port
authorities and rail and mass transit agencies
Developing or enhancing continuity of operations and continuity of
government plans
Developing or enhancing existing catastrophic incident response and
recovery plans to include and integrate Federal assets provided under the
NRF
Developing or enhancing evacuation plans
Developing or enhancing citizen surge capacity
Developing or enhancing plans for donations and volunteer management
and the engagement/integration of private sector/non-governmental
entities in preparedness, response, and recovery activities
Developing or enhancing Bombing Prevention Plans
Developing school preparedness plans
Ensuring jurisdiction EOPs adequately address warnings, emergency
public information, evacuation, sheltering, mass care, resource
management from non-governmental sources, unaffiliated volunteer and
donations management, and volunteer resource integration to support

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o
o
•

each Emergency Support Function, to include appropriate considerations
for special needs populations
Developing and implementing civil rights, civil liberties and privacy
policies, procedures, and protocols
Designing and developing State and local geospatial data systems

Developing or conducting assessments, including but not limited to:
o Conducting point vulnerability assessments at critical infrastructure
sites/key assets and develop remediation/security plans
o Conducting or updating interoperable emergency communications
capabilities assessments at the local, regional, or Statewide level
o Developing border security operations plans in coordination with CBP
o Developing, implementing, and reviewing Area Maritime Security Plans for
ports, waterways, and coastal areas
o Updating and refining threat matrices
o Conducting cyber risk and vulnerability assessments
o Conducting assessments and exercising existing catastrophic incident
response and recovery plans and capabilities to identify critical gaps that
cannot be met by existing local and State resources
o Conducting Bombing Prevention Capability Analysis
o Activities that directly support the identification of specific catastrophic
incident priority response and recovery projected needs across disciplines
(e.g. law enforcement, fire, EMS, public health, behavioral health, public
works, agriculture, information technology, and citizen preparedness)
o Activities that directly support the identification of pre-designated
temporary housing sites
o Conducting community assessments, surveys, and research of
vulnerabilities and resource needs, and determine citizen education and
participation to meet the needs
o Conducting Citizen Corps program assessments and evaluations, citizen
preparedness surveys, volunteer impact studies, and cost/benefit analysis
o Soft target security planning (public gatherings)
o Participating in the FEMA Gap Analysis Program

MMRS Planning. The MMRS Leadership shall ensure that local strategic goals,
objectives, operational capabilities, and resource requirements align with State and
Urban Area Homeland Security Strategies. Critical factors in planning are to ensure
that
a. The MMRS Jurisdiction has an applicable and up to date plan for
responding to a mass casualty incident caused by any hazards; and
b. applicable procedures and operational guides to implement the response
actions within the local plan.
CCP Planning. Integrating non-governmental entities into the planning process is
critical to achieve comprehensive community preparedness. To meet this important
objective, HSGP funds may be used to support the following:

69

•
•

•
•

Establishing and sustaining bodies to serve as Citizen Corps Councils
Assuring that State and local government homeland security strategies,
policies, guidance, plans, and evaluations include a greater emphasis on
government/non-governmental collaboration, citizen preparedness, and
volunteer participation
Developing and implementing a community preparedness strategy for the
State/local jurisdiction
Developing or reproducing public education and outreach materials to:
increase citizen preparedness and knowledge of protective actions (to include
the national Ready Campaign materials); promote training, exercise, and
volunteer opportunities; and inform the public about emergency plans,
evacuation routes, shelter locations, and public alerts/warnings.
o All public education and outreach materials must include the national or
jurisdiction’s Citizen Corps logo, tagline or website or the Ready logo,
tagline, or website and comply with logo standards. For more information
go to https://www.citizencorps.gov. In addition, all public education and
outreach materials should incorporate special needs considerations, to
include language, content, and method of communication.
o Allowable expenditures include:
• Media campaigns: PSAs, camera-ready materials, website support,
newsletters
• Outreach activities and public events: booth displays; event backdrops
or signs; displays and demonstrations; and informational materials
such as brochures/flyers
• Promotional materials: pens/pencils, pins, patches, magnets, souvenir
clothing/headwear, etc. Expenditures for promotional items must not
exceed 15 percent of the total Citizen Corps Program allocation (see
CCP Equipment for information on equipment caps.)

•

Establishing, enhancing or expanding volunteer programs and volunteer
recruitment efforts.
o Citizen support for emergency responders is critical through year-round
volunteer programs and as surge capacity in disaster response. Citizen
Corps funding may be used to establish, enhance or expand volunteer
programs and volunteer recruitment efforts for Neighborhood
Watch/USAonWatch, Community Emergency Response Teams (CERT),
Volunteers in Police Service (VIPS), Medical Reserve Corps (MRC), and
Fire Corps; for the Citizen Corps Affiliate Programs and Organizations;
and for jurisdiction specific volunteer efforts.
o Examples include:

70

•
•
•

•
•
•

Recruiting, screening, and training volunteers (e.g. background
checks)
Retaining, recognizing, and motivating volunteers (e.g. volunteer
recognition items, such as certificates or plaques).
Purchasing, maintaining, or subscribing to a system to track volunteers
(to include identification and credentialing systems, and to track
volunteer hours) and other available resources in compliance with
applicable privacy laws
Necessary non-structural accommodations to include persons with
special needs (i.e. sign language interpreters)
Evaluating volunteers

Organizational activities supported with CCP funding are limited to 25 percent
of the grantee's CCP funding. Organizational activities include hiring of fullor part-time staff or contractors for emergency management activities.

Additional Equipment Information
MMRS Equipment. MMRS funds may be used for equipment acquisition from
the MMRS equipment categories listed in the AEL. MMRS grant funds are
intended to ensure an appropriate supply of pharmaceuticals and equipment,
personal protective equipment, as well as detection equipment for chemical,
biological, radiological nuclear and explosive incidents for the first crucial hours
of a response to a mass casualty incident.
MMRS grant funds cannot be used to duplicate supplies already available
through local and State sources, including local/regional public health offices and
hospital associations, or other Federal programs.
Procurements should have a sound threat based justification with an aim to
reduce the consequences of mass casualty incidents during the first crucial hours
of a response.
Prior to procuring pharmaceuticals and equipment with MMRS grant funds,
grantees must have in place an inventory management plan. The inventory
management plan should avoid large periodic variations in supplies due to
coinciding purchase and expiration dates. MMRS grantees are strongly
encouraged to enter into rotational procurement agreements with vendors and
distributors.
Purchases of pharmaceuticals have to include a budget for the disposal of
expired drugs within the Period of Performance of the FY 2009 MMRS grant.
The cost of disposal cannot be carried over to another FEMA grant or grant
period.
CCP Equipment. States and Urban Areas are encouraged to fully leverage all
HSGP resources for equipment to support volunteer personnel in preparedness

71

and response. All allowable equipment costs are listed in the AEL, available at
https://www.rkb.us.
Any equipment purchased with CCP funding must be used for specific
preparedness or volunteer training or by volunteers in carrying out their response
functions. CCP funding is intended only to be used for specific preparedness or
volunteer training or by trained volunteers in carrying out their response
functions. Examples of equipment used to support training and exercises for
citizens include items such as burn pans or sample preparedness kits.
Expenditures for kits used in volunteer response (e.g., CERT or MRC kits /
backpacks) or clothing for official identification must not exceed 30 percent of the
total Citizen Corps Program allocation. Clothing for official identification includes
those items that volunteers are required to wear when engaging in public safety
activities or disaster response (e.g., t-shirts for CERT members, baseball caps
for Neighborhood Watch/USAonWatch Program foot patrol members).
Training Information and Requirements
1. Training Information Reporting System (“Web-Forms”). Web-Forms is an
electronic form/data management system built to assist the SAA and its designated
State/territory TPOC with the reporting of State and Federal sponsored training
supported by HSGP funds. Web-Forms can be accessed through the FEMA Toolkit
located at http://www.firstrespondertraining.gov/admin.
2. Types of training. FEMA facilitates a number of different training sources:
•

•

•
•

FEMA Provided Training: These courses or programs are developed for and/or
delivered by institutions and organizations funded directly by FEMA. This
includes the Center for Domestic Preparedness (CDP), the National Domestic
Preparedness Consortium (NDPC), the Rural Domestic Preparedness
Consortium (RDPC), National Emergency Training Center (National Fire
Academy and the Emergency Management Institute), and FEMA Training
Partners funded through the Continuing and Demonstration Training grant
programs.
Training Not Provided by FEMA: These courses are either State sponsored or
Federal sponsored, coordinated and approved by the SAA or their designated
Training Point of Contact (TPOC), and fall within the FEMA mission scope to
prepare State and local personnel to prevent, protect against, respond to, and
recover from acts of terrorism or catastrophic events.
State Sponsored Courses: These courses are developed for and/or delivered
by institutions or organizations other than Federal entities or FEMA and are
sponsored by the SAA or their designated TPOC.
Approved State Sponsored Course Catalog: This catalog lists State/territory
sponsored courses that fall within the FEMA mission scope and have been
approved through the FEMA course review and approval process. An updated

72

•
•

version of this catalog can be accessed at
http://www.firstrespondertraining.gov/odp_webforms.
Federal Sponsored Courses: This catalog lists courses developed for and/or
delivered by institutions funded by Federal entities other than FEMA.
Approved Federal Sponsored Course Catalog: This catalog lists Federalsponsored courses that fall within the FEMA mission scope, and have been
approved through the FEMA course review and approval process. An updated
version of this catalog can be accessed at
http://www.firstrespondertraining.gov/odp_webforms.

FEMA Provided Training. FEMA funds the direct delivery of a variety of courses that
States can request to meet training needs. These courses are listed in the FEMA
approved course catalog listed at http://www.firstrespondertraining.gov/odp_webforms.
Each FEMA Training Partner should contact the SAA or designated TPOC for locations
within the State that are appropriate for the training. When the direct delivery funds are
exhausted, the Training Partner can continue to offer the classes to the States through
one of two methods—the Voluntary Training Enhancement Program (VTEP) or the
Excess Delivery Acquisition Program (EDAP).
VTEP is a voluntary program designed to increase flexibility for States and territories
while enhancing FEMA’s training delivery capability and complementing the current
training partner pool. Funding from previous fiscal years may be used to support a
State, territory, or Urban Area’s implementation of this program. Through VTEP, the
SAA has the authority to adopt various TEI/TO provided programs for delivery by
institutions within its State and local jurisdictions, and designate institutions as
recognized providers for the identified standardized curriculum.
EDAP allows a FEMA Training Partner to charge for a course delivery when the Federal
grant that developed the program is completed or more deliveries of a requested class
are needed than the grant funds can accommodate. This cost per class is approved by
FEMA so that States pay for the cost of instruction only, not the curriculum development
costs that were paid by FEMA training grant funds. HSGP funds can be used to pay for
the delivery of these classes within a State at the request of the SAA/TPOC.
Attending Training Not Provided by FEMA (State or Federal Sponsored Courses).
States, territories, and Urban Areas are not required to request approval from FEMA for
personnel to attend training not provided by FEMA (State or Federal-sponsored
courses) provided that the training is coordinated with and approved by the SAA or
TPOC and falls within the FEMA mission scope and the jurisdiction’s EOP and Strategy
of preparing State and local personnel or citizens to prevent, protect against, respond
to, and recover from acts of terrorism or catastrophic events.
States, territories, and Urban Areas are required, within 30 days after attendance, to
submit information through the SAA or TPOC via Web-Forms on all training not
provided by FEMA, but supported with HSGP funds. This information will consist of

73

course title, course description, mission area, level of training, the training provider, the
date of the course, the number and associated disciplines of the individuals, and the
sponsoring jurisdiction. States, territories, and Urban Areas intending to use FEMA
funds to support attendance at training not provided by FEMA must ensure these
courses:
•
•
•
•
•
•

Fall within the FEMA mission scope to prepare State and local personnel to
prevent, protect against, respond to, and recover from acts of terrorism and
catastrophic events
Build additional capabilities that a) support a specific training need identified by
the State, territory, and Urban Area, and b) comport with the State, territory, or
Urban Area Homeland Security Strategy
Address specific tasks and/or competencies articulated in FEMA’s Emergency
Responder Guidelines and the Homeland Security Guidelines for Prevention and
Deterrence
Address specific capabilities and related tasks articulated in the September 2006
version of the TCL, available through LLIS
Support the specific program training activities identified in the individual HSGP
grant programs (SHSP, UASI, MMRS, CCP) for which the funding will be used
Comport with all applicable Federal, State, and local regulations, certifications,
guidelines, and policies deemed appropriate for the type and level of training

In support of the continuing efforts to build common catalogs of approved training not
provided by FEMA, the SAA/TPOC will be allowed three deliveries of the same course
within a State/territory before the course is required to go through the FEMA State
course review and approval process. Additional course deliveries will be authorized
during the review period. However, if the course is disapproved as part of the process,
no additional FEMA funds can be dedicated to attending the course.
State and Federal-Sponsored Course Catalogs. Courses approved by FEMA will be
added to either the approved State Sponsored Course Catalog or the Federal
Sponsored Course Catalog. Courses identified within these catalogs may be attended
on an unlimited basis within any State/territory as long as the training is coordinated and
approved by the SAA/TPOC. A full description of the FEMA Course Development,
Review, and Approval Process, as well as the approved course catalogs, can be found
at http://www.firstrespondertraining.gov/odp_webforms.
FEMA will respond to the initial request for review within 15 days with one of the
following outcomes:
• Course concept is approved as consistent with the State plan and the State
should submit the full course package for subject matter expert review and
comment.
• Course concept is disapproved as inconsistent with State plan, FEMA guidance,
or is exactly the same as another course in the catalog (no need for another
approval, refer to the curriculum already developed and approved).

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At any time, the SAA/TPOC (for State-sponsored courses) or the Federal Agency POC
(for Federal sponsored courses) may request the addition of a course to the
corresponding approved catalog by submitting the associated Web-Form (i.e., Request
for Addition to the Approved State-Sponsored Catalog) for review. If a class on the
same subject is already in the catalog, the submitting State should provide
documentation as to why the course is unique, after contacting the owner(s) of the other
courses to review the curriculum. This step is required to avoid unnecessary duplication
of similar courses in the catalog, allow States to share course development costs,
permit all States to have access to new or unique courses developed by other
providers, and allow States to direct their training dollars to delivery rather than
development. If it is determined that the proposed course meets the above listed
criteria, the providing entity (SAA/TPOC or Federal Agency POC) will be invited to
submit the Course Review and Approval Request Form along with all supporting
training materials.
For further information on developing courses using the instructional design
methodology and tools that can facilitate the process, SAAs and TPOCs are
encouraged to review the FEMA Strategy for Blended Learning and access the
Responder Training Development Center (RTDC) available at
http://www.firstrespondertraining.gov/admin.
FEMA funds must be used to supplement, not supplant, existing funds that have been
appropriated for the same purpose. FEMA will conduct periodic reviews of all State,
territory, and Urban Area training funded by FEMA. These reviews may include
requests for all course materials and physical observation of, or participation in, the
funded training. If these reviews determine that courses are outside the scope of this
guidance, grantees will be asked to repay grant funds expended in support of those
efforts.
States and territories are required to conduct an annual Training and Exercise Plan
Workshop to identify key priorities and major events over a multi-year time frame and to
align training and exercises in support of those priorities. A Multi-year Training and
Exercise Plan will be produced from the Training and Exercise Plan Workshop to
include the State’s training and exercise priorities, associated training and exercise
capabilities, and a multi-year training and exercise schedule. Further guidance
concerning the Multi-year Training and Exercise Plan can be found in the Exercises
discussion immediately following.
CCP Training. Training funded through the CCP includes but is not limited to: allhazards safety, such as emergency preparedness, basic first aid, life saving skills, crime
prevention and terrorism awareness, school preparedness, public health issues,
mitigation/property damage prevention, safety in the home, light search and rescue
skills, principles of NIMS/ICS, community relations, volunteer management, serving
people with disabilities, pet care preparedness, any training necessary to participate in
volunteer activities, any training necessary to fulfill surge capacity roles, or other training
that promotes individual, family, or community safety and preparedness.

75

There is no cap on the number of deliveries State or local jurisdictions may conduct of
non-responder community-based training workshops, seminars, demonstrations, or
conferences. Examples include: CPR/AED training, identity theft workshops, terrorism
awareness seminars, chain-saw safety demonstrations, and community preparedness
conferences.
Funding for CERT training includes the delivery of the CERT Basic Training Course,
supplemental training for CERT members who have completed the basic training, and
the CERT Train-the-Trainer training. Any CERT Basic training conducted by State or
local entities must: 1) include the topics covered in the FEMA CERT Basic Training
Course; 2) be instructor-led; and 3) and classroom-based, using lecture, demonstration,
and hands-on practice throughout. Note that the Independent Study course,
“Introduction to CERT” (IS 317) must not be substituted for classroom delivery of CERT
basic training. There is no cap on the number of deliveries State or local jurisdictions
may conduct of the CERT Basic Training, the CERT Train-the-Trainer, Campus CERT
Train-the-Trainer, or Teen CERT Train-the-Trainer courses, or supplemental/advanced
training for CERT program participants.
Any training supported with these CCP funds should be delivered with specific
consideration to include all ages, ethnic and cultural groups, persons with disabilities,
and special needs populations at venues throughout the community, to include schools,
neighborhoods, places of worship, the private sector, non-governmental organizations,
and government locations. Expenditures to provide necessary non-structural
accommodations for persons with special needs is allowable (i.e. sign language
interpreters). Jurisdictions are also encouraged to leverage existing training provided
via educational/professional facilities and to incorporate non-traditional methodologies
such as the Internet, distance learning, or home study whenever such delivery supports
training objectives. Pilot courses and innovative approaches to training citizens and
instructors are encouraged.
Instruction for trainers and training to support the Citizen Corps Council members in
their efforts to manage and coordinate the Citizen Corps mission is also an allowable
use of the FY 2009 CCP funding.
Allowable Training Costs
Allowable training-related costs include, but are not limited to, the following:
•
•

Funds used to develop, deliver, and evaluate training, including costs related
to administering the training, planning, scheduling, facilities, materials and
supplies, reproduction of materials, and equipment.
Overtime and Backfill costs, as defined in this guidance, associated with
attending or teaching FEMA-sponsored and/or approved training courses and
programs are allowed. These costs are allowed only to the extent the payment
for such services is in accordance with the policies of the State or unit(s) of local
government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is, an

76

•
•

•

employee of a unit of government may not receive compensation from both their
unit or agency of government AND from an award for a single period of time
(e.g., 1:00 pm to 5:00 pm), even though such work may benefit both activities.
Further, overtime costs associated with employees who participate in training in a
teaching role for which they are compensated are not allowed.
Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses
by employees who are on travel status for official business related to approved
training.
Hiring of Full or Part-Time Staff or Contractors/Consultants to support
training-related activities. Payment of salaries and fringe benefits must be in
accordance with the policies of the State or unit(s) of local government and have
the approval of the State or awarding agency, whichever is applicable. Such
costs must be included within the funding allowed for program management
personnel expenses, which must not exceed 15 percent of the total allocation as
specified in section E.6. In no case is dual compensation allowable (see above).
Certification/Recertification of Instructors is an allowable cost. States are
encouraged to follow the FEMA Instructor Quality Assurance Program to ensure
a minimum level of competency and corresponding levels of evaluation of
student learning. This is particularly important for those courses that involve
training of trainers. This information is contained in a Information Bulletin #193,
issued October 20, 2005.

Exercise Requirements
1. Training and Exercise Plan Workshop. States and Urban Areas are required to
conduct an annual Training and Exercise Plan Workshop (T&EPW). A Multi-year
Training and Exercise Plan must be produced from the T&EPW and submitted to the
State’s respective Exercise Manager and Program Analyst. This plan must be
updated annually.
The Training and Exercise Plan will include the State’s training and exercise
priorities, associated capabilities, and a multi-year training and exercise schedule.
The Plan and the schedule must both be submitted within 60 days of the workshop
and should reflect all exercises that are being conducted throughout the State. All
scheduled exercises must be entered through the National Exercise Schedule
(NEXS) Application, which is located on the HSEEP website. A template of the
Multi-year Training and Exercise Plan can be found in HSEEP Volume guidance and
on the HSEEP website (https://hseep.gov) under the Sample Exercise Documents
section.
States must complete a cycle of exercise activity during the period of this grant.
States and Urban Areas are encouraged to use exercises as an opportunity to meet
the requirements of multiple exercise programs. To this end, grantees are
encouraged to invite representatives/planners involved with other Federallymandated or private exercise activities. States and Urban Areas are encouraged to
share, at a minimum, the multi-year training and exercise schedule with those
departments, agencies, and organizations included in the plan. Further guidance

77

concerning Training and Exercise Plan Workshops can be found in the HSEEP
Volumes.
2. Exercise Scenarios. The scenarios used in HSGP-funded exercises must be
based on the State’s/Urban Area’s Homeland Security Strategy and plans.
Acceptable scenarios for SHSP, UASI, MMRS, and CCP exercises include:
chemical, biological, radiological, nuclear, explosive, cyber, agricultural and natural
or technological disasters. Exercise scenarios must be catastrophic in scope and
size, as defined by the National Response Framework.
The scenarios used in HSGP-funded exercises must focus on validating existing
capabilities and must be large enough in scope and size to exercise multiple tasks
and warrant involvement from multiple jurisdictions and disciplines and nongovernmental organizations. Exercise scenarios should also be based on the Multiyear Training and Exercise Plan.
3. Models, Simulations and Games (MS&G). Grantees who wish to expend funds on
models, simulations, or games (MS&G) must consult with “Review of Models,
Simulations, and Games for Domestic Preparedness Training and Exercising,
Volume III,” which provides an overview and analysis of existing models,
simulations, and games. Grantees can also consult with the MS&G Decision
Support System, which automates the aforementioned report into a searchable
database. Both the report and system are available through the HSEEP website.
4. Special Event Planning. If a State or Urban Area will be hosting an upcoming
special event (e.g., Super Bowl, G-8 Summit); they anticipate participating in a Tier 2
National-Level Exercise as defined by the National Exercise Program
Implementation Plan (NEP I-Plan); or they anticipate that they will apply to be a
venue for a Tier 1 National-Level Exercise, as defined by the I-Plan, they should
plan to use SHSP or UASI funding to finance training and exercise activities in
preparation for that event. States and Urban Areas should also consider exercises
at major venues (e.g., arenas, convention centers) that focus on evacuations,
communications, and command and control. States should also anticipate
participating in at least one Regional Exercise annually. States must include all
confirmed or planned special events in the Multi-year Training and Exercise Plan.
5. Exercise Evaluation. All exercises will be performance-based and evaluated. An
After-Action Report/Improvement Plan (AAR/IP) will be prepared and submitted to
FEMA within 60 days, following every exercise, regardless of type or scope.
AAR/IPs must conform to the HSEEP format, should capture objective data
pertaining to exercise conduct, and must be developed based on information
gathered through Exercise Evaluation Guides (EEGs) found in HSEEP Volume IV.
All applicants are encouraged to use the Lessons Learned Information Sharing
System (LLIS.gov) as a source for lessons learned and to exchange best practices.

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6. Self-Sustaining Exercise Programs. States are expected to develop a selfsustaining exercise program. A self-sustaining exercise program is one that is
successfully able to implement, maintain, and oversee the Multi-year Training and
Exercise Plan, including the development and delivery of HSGP-funded exercises.
The program must utilize a multi-disciplinary approach to the development and
delivery of exercises, and build upon existing plans, training, and equipment.
7. Role of Non-Governmental Entities in Exercises. Non-governmental
participation in all levels of exercises is strongly encouraged. Leaders from nongovernmental entities should be included in the planning, conduct, and evaluation of
an exercise. State and local jurisdictions are encouraged to develop exercises that
test the integration and use of non-governmental resources provided by nongovernmental entities, defined as the private sector and private non-profit, faithbased, community, volunteer and other non-governmental organizations. Nongovernmental participation in exercises should be coordinated with the local Citizen
Corps Council(s).
MMRS Exercises. The scenarios used in MMRS exercises should focus on incidents
that would be catastrophic to the grant implementer’s community and/or have national
impact caused by any hazard. Grantees are encouraged to use scenarios with a focus
on medical issues related to preparedness and response. Scenarios should test
appropriate Target Capability that support the MMRS mission.
Citizen participation in exercises is strongly encouraged and should be coordinated with
the local Medical Reserve Corps and Citizen Corps Council. Volunteer roles and
responsibilities include, but are not limited to, backfilling non-professional tasks for first
responders deployed on exercise planning and implementation, providing simulated
victims, media, and members of the public; supporting surge capacity functions; and
participating in the after-action review.
MMRS jurisdictions, in coordination with regional, Urban Area, and State exercise and
public health officials, are expected to schedule, design, conduct, and evaluate mass
casualty exercises that are in compliance with both FEMA and CDC Public Health
Emergency Preparedness Cooperative Agreement Exercise requirements and
guidance.
CCP Exercises. Exercises specifically designed for or that include participation from
non-governmental entities and the general public are allowable activities and may
include testing public warning systems, evacuation/shelter in-place capabilities,
family/school/business preparedness, and participating in table-top or full scale
emergency responder exercises at the local, State, or national level, to include the Top
Officials Exercise (TOPOFF).
Allowable Exercise Costs
Allowable exercise-related costs include:

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•

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Funds Used to Design, Develop, Conduct and Evaluate an Exercise –
Includes costs related to planning, meeting space and other meeting costs,
facilitation costs, materials and supplies, travel, and documentation.
Hiring of Full or Part-Time Staff or Contractors/Consultants – Full or parttime staff may be hired to support exercise-related activities. Such costs must be
included within the funding allowed for program management personnel
expenses, which must not exceed 15 percent of the total allocation. The
applicant's formal written procurement policy or the Federal Acquisition
Regulations (FAR) – whichever is more stringent – must be followed. In no case
is dual compensation allowable.
Overtime and Backfill – Overtime and backfill costs associated with the design,
development, and conduct of exercises are allowable expenses. These costs
are allowed only to the extent the payment for such services is in accordance
with the policies of the State or unit(s) of local government and has the approval
of the State or the awarding agency, whichever is applicable. In no case is dual
compensation allowable (see above).
Travel – Travel costs are allowable as expenses by employees who are on travel
status for official business related to the planning and conduct of exercise
project(s).
Supplies – Supplies are items that are expended or consumed during the course
of the planning and conduct of the exercise project(s) (e.g., copying paper,
gloves, tape, non-sterile masks, and disposable protective equipment).
Other Items – These costs include the rental of space/locations for exercise
planning and conduct, rental of equipment (e.g., portable toilets, tents), food,
gasoline, exercise signs, badges, etc.

Unauthorized Exercise Costs
Unauthorized exercise-related costs include:
•
•

Reimbursement for the maintenance and/or wear and tear costs of general use
vehicles (e.g., construction vehicles) and emergency response apparatus (e.g.,
fire trucks, ambulances).
Equipment that is purchased for permanent installation and/or use, beyond the
scope of exercise conduct (e.g., electronic messaging signs).

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OTHER INFORMATION – Allowable
Planning, Training, and Exercise Examples
Specific to Law Enforcement Terrorism
Prevention-oriented Activities
Planning Activity Examples
Establishment / Enhancement of Fusion Centers
• Hiring an IT specialist to plan, develop, and implement the IT applications
necessary for the fusion center
• Developing and planning for information/intelligence sharing groups
• Hiring contractors and consultants to make recommendations on the
development of the fusion center
Other Allowable Planning Activity Examples
• Conducting point vulnerability analyses and assessments
• Soft target security planning (public gatherings)
• Developing border security operations plans in coordination with CBP
• Developing, implementing, and reviewing Area Maritime Security Plans for ports,
waterways, and coastal areas
• Updating and refining threat matrices
• Integrating and coordinating private sector participation with fusion center
activities
• Developing and implementing civil rights, civil liberties and privacy policies,
procedures, and protocols.
• Acquiring systems allowing connectivity to State, local, and Federal data
networks, such as the National Crime Information Center (NCIC) and Integrated
Automated Fingerprint Identification System (IAFIS), as appropriate
• Designing and developing State and local geospatial data systems
• Costs associated with the adoption, implementation and adherence to NIMS
compliance requirements; including implementing the NIMS National
Credentialing Framework.
• Integrating and coordinating private sector participation with fusion center
activities
Training Activity Examples
Law enforcement terrorism prevention protection-oriented funds may be used for a
range of law enforcement terrorism prevention related training activities to enhance the
capabilities of State and local personnel, including the following:
Establishment / Enhancement of Fusion Centers. Grant funds may be used to
support intelligence analyst training in the following manners:

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Participation in DHS approved intelligence analyst training: States wishing
to develop or sponsor intelligence analyst courses for a national audience should
submit courses to FEMA for review and approval in accordance with the process
outlined in Parts VI and VII of this guidance document. The list of approved
courses will be constantly updated and can be accessed in the FEMA catalog at
http://www.firstrespondertraining.gov/odp_webforms.

•

Limited participation in non-FEMA approved intelligence analyst training:
States may send students to attend non-approved intelligence analysis courses
for up to three offerings in accordance with the training process outlined in Parts
VI and VII of this guidance document.

A certificate of completion of all intelligence analyst training must be on file with the SAA
and must be made available to Program Analysts upon request upon the hiring of
personnel.
Additional Allowable Training Activities
Allowable costs include training courses that focus on:
• Building information sharing capacities (especially among law enforcement, nonlaw enforcement, other government agencies, and the private sector)
• Methods of target hardening
• Facility law enforcement security personnel, to include facilities, vessels and
ports
• CBRNE, agriculture, and cyber threats
• History of terrorism and social environments contributing to threats
• Surveillance and counter-surveillance techniques
• Privacy, civil rights, and civil liberties regulations, policies, procedures, and
protocols
• Critical Infrastructure Protection training, to include identifying/assessing critical
infrastructure assets, vulnerabilities, and threats
• Cyber/agriculture/food security threats recognition and protective measures
training
• Cultural awareness training for community engagement activities and undercover
operations related to terrorist organizations
• Languages, such as Arabic, Urdu, or Farsi, which are spoken by known terrorists
and terrorist organizations
• Joint training with other homeland security entities (e.g., U.S. Secret Service,
CBP)
• Use of interoperable communications equipment
• Collection, analysis, mapping, integration, and dissemination of geospatial data
and imagery
• Geospatial database use, design, development, and management training
• Volunteer participation to support law enforcement and community policing
activities related to increased citizen awareness of terrorism activities, to include
the Volunteers in Police Service and Neighborhood Watch programs

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Exercise Activity Examples
Law enforcement terrorism prevention protection-oriented funds may be used to design,
develop, conduct, and evaluate terrorism prevention-related exercises, including the
following:
•
•
•
•
•
•
•
•
•
•
•

Exercises to evaluate the effectiveness of information sharing plans, policies,
procedures, and protocols
Exercises to evaluate NIMS implementation. This includes costs associated with
exercising components of the NIMS National Credentialing Framework.
Exercises to evaluate facility and/or vessel security protection
Exercises to evaluate area maritime security protection
Exercises to evaluate threat recognition capabilities
Exercises to evaluate cyber security capabilities
Exercises to evaluate agricultural/food security capabilities
Exercises to evaluate prevention readiness and techniques
“Red Team” (force on force) exercises
Interoperable communications exercises
Critical infrastructure vulnerability, protection, and/or attack exercises

Where practical, these exercises should involve the public sector, non-governmental
partners, trained citizen volunteers, and the general public. State and local
governments should work with their Citizen Corps Councils to include volunteers from
programs such as Volunteers in Police Service, Neighborhood Watch, and the general
public.

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