FY 2009 IECGP Program Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
INTEROPERABLE EMERGENCY COMMUNICATIONS
GRANT PROGRAM
GUIDANCE AND APPLICATION KIT

NOVEMBER 2008

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: Fiscal Year (FY) 2009 Interoperable Emergency
Communications Grant Program (IECGP)
Funding Opportunity Number: DHS-09-GPD-001-1969
Federal Agency Name: FEMA Grant Programs Directorate (GPD)
Announcement Type: Initial
Dates: Completed applications must be submitted no later than 11:59 PM EST,
January 13, 2009.
Additional Overview Information: The following are some of the key changes
impacting FY 2009 IECGP as compared to last year’s program.
Interoperable Emergency Communications Equipment as an allowable cost
category.
Per FY 2009 IECGP funding objectives, the applicant has the flexibility to use IECGP
funds to purchase interoperable emergency communications equipment if and only if it
has achieved or will achieve all Priority Group 1 and 2 objectives. A State
Administrative Agency (SAA) must certify that its State or territory has fulfilled these
governance, planning, training and exercise objectives prior to proposing a project for
the purchase of interoperable communications equipment with any remaining IECGP
funds. Refer to page 26 for additional information.
75/25 Cost Share on Equipment Purchases.
In FY 2009, IECGP has a 75% Federal and 25% State cost share, cash or in-kind,
requirement for equipment purchases only. Refer to page 11 for additional information.
50 percent Personnel Cap.
No more than 50 percent of total program funds may be used for personnel activities. In
general, the use of IECGP grant funding to pay for staff and/or contractor regular time or
overtime/backfill is considered a personnel cost. Office equipment costs are also
allowable, including personal computers, computer peripherals (for example, printers
and external hard drives), and office telephones to support IECGP-related personnel.
These expenses are permitted under this grant in order to perform allowable
FY 2009 IECGP planning, training, and exercise activities. Refer to page 25 for
additional information.

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CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................... 7
Part III. ELIGIBILITY INFORMATION .......................................................................... 11
A.
Eligible Applicants................................................................................. 11
B.
Cost Sharing .......................................................................................... 11
C.
Restrictions ............................................................................................ 12
Part IV. APPLICATION AND SUBMISSION INFORMATION ...................................... 13
A.
Address to Request Application Package ........................................... 13
B.
Content and Form of Application ......................................................... 13
C.
Submission Dates and Times ............................................................... 21
D.
Intergovernmental Review .................................................................... 21
E.
Funding Restrictions ............................................................................. 21
Part V. APPLICATION REVIEW INFORMATION ........................................................ 31
A.
Review Criteria....................................................................................... 31
B.
Review and Selection Process ............................................................. 31
C.
Anticipated Announcement and Award Dates .................................... 31
PART VI. AWARD ADMINISTRATION INFORMATION .............................................. 32
A.
Notice of Award ..................................................................................... 32
B.
Administrative and National Policy Requirements ............................. 33
C.
Reporting Requirements ....................................................................... 40
Part VII. FEMA CONTACTS......................................................................................... 44

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PART I.

FUNDING OPPORTUNITY DESCRIPTION
The Interoperable Emergency Communications Grant Program (IECGP) is a grant
program created by the Implementing Recommendations of the 9/11 Commission Act of
2007 (Public Law 110-53), (hereafter referred to as the 9/11 Act). IECGP is
administered by the Federal Emergency Management Agency (FEMA) Grant Programs
Directorate (GPD), in partnership with the Department of Homeland Security (DHS)
Office of Emergency Communications (OEC). In Fiscal Year (FY) 2009, $48,575,000
was appropriated for IECGP grants to States and territories by the Consolidated
Security, Disaster Assistance, and Continuing Appropriations Act of 2009 (Public Law
110-329). This package provides the formal grant guidance and application materials
needed to apply for funding under IECGP, including IECGP funding allocations,
eligibility criteria, and detailed application requirements. The eligible applicants for this
grant program are the SAAs of the 56 States and territories.
In FY 2009, IECGP provides governance, planning, training and exercise funding to
States, territories, and local and tribal governments to carry out initiatives to improve
interoperable emergency communications, including communications in collective
response to natural disasters, acts of terrorism, and other man-made disasters. All
activities proposed under IECGP must be integral to interoperable emergency
communications and must be aligned with the goals, objectives, and/or initiatives
identified in the grantee’s approved Statewide Communication Interoperability Plan
(SCIP). If an SAA certifies that its State or territory has fulfilled such governance,
planning, training and exercise objectives, the Program provides the flexibility to
purchase interoperable communications equipment with any remaining IECGP funds.
IECGP will also advance Department of Homeland Security (DHS) near-term priorities
that are deemed critical to improving interoperable emergency communications and are
consistent with the goals and objectives of the National Emergency Communications
Plan (NECP), which was delivered to Congress in July 20081. The NECP has
established three strategic goals for the Nation:

1

•

Goal 1—By 2010, 90 percent of all high-risk urban areas designated within the
Urban Areas Security Initiative (UASI) are able to demonstrate response-level
emergency communications within 1 hour for routine events involving multiple
jurisdictions and agencies.

•

Goal 2—By 2011, 75 percent of non-UASI jurisdictions are able to demonstrate
response-level emergency communications within 1 hour for routine events
involving multiple jurisdictions and agencies.

The NECP is available at: http://www.dhs.gov/xlibrary/assets/national_emergency_communications_plan.pdf

2

•

Goal 3—By 2013, 75 percent of all jurisdictions are able to demonstrate
response-level emergency communications within 3 hours, in the event of a
significant incident as outlined in national planning scenarios.

GPD and OEC have established program and policy guidelines for IECGP and will
ensure that all grants awarded under IECGP comply with–
•

The SCIP for that State or territory required by the Intelligence Reform and
Terrorism Prevention Act of 2004 (6 U.S.C. §194(f)); and,

•

The NECP goals and objectives.

The Administrator of FEMA will administer IECGP, pursuant to the authority given to
FEMA under the 9/11 Act. The FEMA Administrator will ensure that grant funds are
awarded consistent with policies established by the Director of OEC.
Program Funding Goals
IECGP provides funding to improve interoperable emergency communications
capabilities across States, territories, local and tribal governments and to support the
implementation of the SCIPs. Each State and territory now has an approved SCIP,
which outlines goals, objectives and initiatives for enhancing interoperability statewide
according to a common set of criteria. The NECP establishes goals and objectives for
ensuring interoperable emergency communications nationwide. IECGP funding is
provided to States and territories and to local and tribal governments to support
achievement of the goals, objectives, and/or initiatives of the SCIPs and to ensure that
SCIPs are aligned with the NECP.
For FY 2009, GPD and OEC have identified the following objectives deemed critical for
advancing interoperable emergency communications in alignment with the criteria
established for the SCIP process. These objectives have been developed to address
NECP goals and objectives and to support SCIP implementation.
•

Priority Group 1: Gaps in Leadership and Governance and Common Operational
Planning and Protocols

•

Priority Group 2: Emergency Responder Skills and Capabilities Development
through Training and Exercises

Funding retained by the State or territory must be used to address the objectives in
Priority Group 1 prior to selecting projects to address the objectives in Priority Group 2 .
Pass-through recipients at the local and tribal levels of government may address
objectives in either Priority Group 1 or Priority Group 2 based on the most critical
needs consistent with SCIP goals, objectives, and/or initiatives.
Note: In addition to these IECGP funds, other DHS grant programs exist and are
expected to be leveraged to help promote the funding priorities outlined below. For
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example, interoperable communications funds were available through the Public Safety
Interoperable Communications Grant Program, and continue to be available through the
annual Homeland Security Grant Program.
Priority Group 1 – Gaps in Governance and Common Operational Planning and
Protocols
Establishment of formal interoperable emergency communications
governance structures
Governing bodies for interoperable emergency communications efforts are
essential to ensure coordinated and consistent planning, implementation, and
resource allocation for emergency communications solutions. Each State is
expected to establish a formal statewide interoperability governing body. The
NECP established the national milestone that statewide interoperability
governing bodies in all 56 States and territories should be established with the
necessary authority (e.g., via legislation or executive order) and representation
as recommended in the Statewide Interoperability Planning Guidebook2 by July
2009. Local and tribal governments should establish local and/or regional
interoperability governing bodies as needed to coordinate emergency
communications initiatives and interface with the statewide body.
While governance committees provide the needed guidance and input on
statewide activities, there is a need for a single point of contact to manage the
complex and time consuming process of maintaining and implementing the SCIP
and aligning the SCIP to the NECP. The NECP established a national milestone,
which specifies that all States and territories should establish full-time statewide
interoperability coordinators or equivalent positions by July 2009. In addition,
local and tribal governments should consider whether or not regional or local
interoperability points of contact are needed to connect local, tribal, or regional
initiatives with statewide initiatives. FY 2008 IECGP funds were prioritized to
establish formal interoperable emergency communications governance
structures and establish dedicated statewide, as well as regional and local
(where applicable), interoperability coordinators. States and territories are
expected to prioritize FY 2009 IECGP funds to address any remaining
governance, interoperability coordinator, or support office gaps.
Establishment of common planning and operational protocols
As stated, Goal 1 of the NECP is to ensure that, by 2010, 90 percent of all highrisk urban areas designated within the Urban Areas Security Initiative (UASI) are
able to demonstrate response-level emergency communications within 1 hour for
routine events involving multiple jurisdictions and agencies. States, territories,
2

http://www.safecomprogram.gov/NR/rdonlyres/18F02413-CC4D-41B2-9097F5FF04E080C7/0/StatewidePlanningGuidebookFINAL.pdf

4

and Urban Areas are expected to establish the necessary common planning and
operational protocols to ensure that designated UASIs or other metropolitan
areas or regions (as designated by the State or territory) will meet this goal.
Grantees should continue strategic and tactical emergency communications
planning efforts (e.g. SCIPs and Tactical Interoperable Communications Plans
[TICP]). By the end of Calendar Year 2010, States and territories will be
expected to align SCIPs to the NECP. Additionally, grantees are expected to
establish common operational protocols through activities, such as the
development of standard operating procedures (SOP), consistent use of
interoperability channels, plain language protocols, and common channel
naming. SOPs should be in compliance with the National Incident Management
System (NIMS) Incident Command System (ICS). Planning may also include
system life cycle planning for interoperable emergency communications
equipment and sustainability of the interoperable emergency communications
program if Federal grant funds are reduced or no longer available in the future.

Priority Group 2 –Emergency Responder Skills and Capabilities
Enhancement of emergency responder skills and capabilities through
training and exercises
Many public safety agencies do not conduct regular training or exercises to
ensure that emergency responders have the knowledge, skills, and abilities to
operate emergency communications solutions or follow procedures. The
absence of such skills and capabilities can lead to ineffective performance during
an actual emergency, as reported in recent assessments including the National
Communications Capabilities Report. States, territories, and Urban Areas are
expected to use IECGP funding to perform training and exercises to demonstrate
accomplishment of Goal 1 of the NECP. Further, Goal 2 of the NECP states that,
by 2011, 75 percent of non-UASI jurisdictions are able to demonstrate responselevel emergency communications within 1 hour for routine events involving
multiple jurisdictions and agencies. States and territories should consider these
goals and the potential for future reporting against the goals as they plan for
future training and exercise activities.
Interoperable emergency communications-specific training and exercises that are
compliant with Homeland Security Exercise and Evaluation Program (HSEEP)
criteria with respect to technology solutions and operational protocols should be
offered and conducted on a regular basis. Further, applicants should identify
issues in after-action reports and improvement plans and resolve these issues.
Agencies must enhance their own knowledge, skills, and abilities, but must also
prioritize training and exercise development with all their partners across
disciplines, jurisdictions, and levels of government.

5

Other DHS grant programs substantially fund infrastructure and equipment acquisitions
and upgrades. As the Interoperability Continuum (see Figure 1) demonstrates, and as
emphasized in the assessments noted previously, effective interoperable emergency
communications is not achieved solely through technological means. Thus, for
FY 2009, IECGP funding priorities will focus on key interoperability issues beyond
infrastructure and equipment, which are critical for ensuring that the Nation has the
necessary capabilities to communicate during emergencies. These interoperable
emergency communications capabilities of the Interoperability Continuum cannot be
achieved without the crucial leadership and governance, common planning and
operational protocols, and training and exercises.
If an SAA certifies that its State, territory, and/or pass-through recipients have fulfilled all
of the objectives of Priority Groups 1 and 2, the State, territory, and/or pass-through
recipients may purchase interoperable communications equipment with any remaining
FY 2009 IECGP funds.
Figure 1 - Interoperability Continuum

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PART II.

AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 IECGP, describes the basic distribution method
used to determine final grant awards, and identifies all eligible applicants for FY 2009
funding.
Award Period of Performance
The period of performance of this grant is 24 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 IECGP will be $48,575,000.
FY 2009 IECGP funds will be allocated based on risk. Each State will receive a
minimum allocation under IECGP using the thresholds established in the 9/11 Act. All
50 States, the District of Columbia, and Puerto Rico will receive a minimum of 0.50
percent of the total funds allocated. Four territories (American Samoa, the
Commonwealth of the Northern Mariana Islands, Guam, and the U.S. Virgin Islands) will
receive a minimum allocation of 0.08 percent of the total funds allocated.
Table 1 - IECGP State/Territory Final Allocations
State/Territory
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa

IECGP Funding
$565,150
$286,624
$47,524
$923,912
$307,672
$6,089,369
$689,951
$477,707
$242,875
$583,306
$2,039,553
$1,086,225
$77,846
$282,595
$242,875
$2,071,676
$747,138
$410,885

7

Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
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

$398,560
$506,778
$859,524
$242,875
$970,428
$1,015,791
$1,054,673
$716,462
$370,239
$727,260
$242,875
$324,195
$463,349
$242,875
$1,433,469
$303,544
$6,999,813
$978,635
$242,875
$49,045
$1,243,674
$427,352
$521,506
$1,696,454
$315,572
$242,875
$453,159
$242,875
$664,285
$3,466,275
$62,715
$345,593
$242,875
$1,112,249
$1,185,623
$242,875
$550,020
$242,875

$48,575,000

General Program Requirements
SAAs will be responsible for the administration of FY 2009 IECGP funds. SAAs must
coordinate with the statewide interoperability coordinator and the statewide
interoperability governing body as required by the FY 2007 Statewide Planning Criteria
and the appropriate SCIP stakeholders and committees at the State, regional, local, and
tribal levels of government to ensure support for the projects selected and to ensure
IECGP program requirements are met. Additionally, States should ensure that
unreasonable or unduly burdensome requirements are not placed on a tribal

8

government as a condition of receiving grant funds or resources. In administering the
program, the SAA must work with the POCs, stakeholders, and eligible applicants to
comply with the following general requirements.
1. SCIP Implementation Reports
The 9/11 Act requires States and territories to submit annual reports to OEC on
progress in implementing that State’s SCIP and achieving interoperability at the
interstate, State, county, regional, and city levels as a condition of receiving funding.
OEC developed a SCIP Implementation Report for all 56 States and territories based on
a comprehensive review of each respective SCIP. Each State and territory will be
required to update its SCIP Implementation Report within 30 days after the end of the
IECGP reporting period (July 30 for the reporting period of January 1 through June 30).
Beginning in FY 2009, States and territories are encouraged to begin aligning SCIPs to
the NECP. By the end of Calendar Year 2010, alignment will need to be reflected in the
SCIP Implementation Reports.
2. Grant funds
The SAA must obligate 80 percent of the funds awarded under IECGP to local and tribal
governments within 45 days of receipt of the funds. 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.

Each State (as well as Puerto Rico) may retain a portion of the 80 percent pass-through
for expenditures made by the State on behalf of local or tribal governments. This may
occur only with the written consent of the local or tribal unit of government, with the
written consent specifying the amount of funds to be retained and the intended use of
funds.
3. Priority Guidance
As stated in the Program Funding Goals Section, funding retained by the State or
territory must be used to achieve the objectives in Priority Group 1 prior to selecting
projects to address the objectives in Priority Group 2.
Before moving to Priority Group 2, the Investment Justification must demonstrate that
the State or territory has achieved or will achieve through IECGP funding the following
Priority Group 1 objectives:
•

Establishment of a formal statewide interoperability governing body consistent
with the FY 2007 Statewide Planning Criteria, which has–
o
o
o
o

Representation from each public safety discipline (e.g., emergency
medical services [EMS], fire, law enforcement.)
Representation across each level of government–Federal, State, local
and tribal (if applicable)
Representation from each region within the State or territory (as
applicable, and/or defined in the SCIP)
Executive or legislative authority and a formal charter

9

•

Establishment of a full-time statewide interoperability coordinator with sufficient
capabilities/resources (e.g., project management and technical expertise) to
effectively execute his/her mission, consistent with the FY 2007 Statewide
Planning Criteria

•

State or Territorial agency development of SOPs that demonstrate consistent use
of at least one of the following: interoperability channels, plain language
protocols, common channel naming

•

State or Territorial agency development of SOPs that demonstrate compliance
with NIMS ICS

Before using IECGP funds for interoperable emergency communications equipment
acquisition, the State or territory must fulfill both the above Priority Group 1
requirements and the following Priority Group 2 objectives:
•

Applicant demonstration of compliance with NECP Goal 1 through preparation of
approved incident and exercise After Action Report (AAR), and

•

State or territory completion of a State-level multi-jurisdictional, multi-agency
training and exercise event.

Pass-through recipients at the local and tribal levels of government, though encouraged
to establish and enhance governance structures and establish common planning and
operational protocols, have the flexibility to select projects in Priority Group 1 or Priority
Group 2. However, pass-through recipients must also fulfill both Priority Group 1 and
Priority Group 2 objectives prior to using IECGP funds for interoperable emergency
communications equipment acquisition.
Note: For all proposed FY 2009 IECGP projects that relate to personnel, applicants
must identify sustainable sources of funding (or a plan for obtaining sustainable
sources) and work to integrate new staff into the State budget in future years to
maintain this capability.

10

PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
The Governor of each State and territory has designated an SAA, which can apply for
and administer the funds under IECGP. The SAA is the only agency eligible to apply for
IECGP funds. The SAA is responsible for the management and administration of all
funds provided through this award and is accountable for all the deadlines,
requirements, and limitations of this award. The SAA is responsible for obligating
IECGP funds to eligible pass-through recipients, as well as for overseeing and
monitoring the activity of these sub-recipients.
To be eligible to receive FY 2009 IECGP 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, IECGP has a 75% Federal and 25% State cost share, cash or in-kind,
requirement for equipment purchases only. Unless otherwise authorized by law,
Federal funds cannot be matched with other Federal funds. In accordance with 48
U.S.C. 1469a, match requirements are waived for the U.S. territories of American
Samoa, Guam, the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana
Islands. FEMA administers cost sharing requirements in accordance with 44 CFR
§13.24, which is located at
http://www.access.gpo.gov/nara/cfr/waisidx_07/44cfrv1_07.html.

11

C. Restrictions
Please see Part IV.E. for Management & Administration (M&A) limits and
allowable/unallowable costs guidance.

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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
Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
Standard Form 424B Assurances
Standard Form 424C, Budget Information – Construction Form (if applicable)
Standard Form 424D, Assurances – Construction Programs (if applicable)
Standard Form LLL, Disclosure of Lobbying Activities

The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Interoperable Emergency Communications Grant Program.” The CFDA number is
97.001. When completing the on-line application, applicants should identify their
submissions as new, non-construction applications.
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.
Eligible SAAs must apply for funding through this portal, accessible on the Internet at
http://www.grants.gov.
13

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 application process, applicants
must develop an Investment Justification that addresses each initiative being
proposed for funding. These Investment Justifications 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.
IECGP Overview
The IECGP Investment Justification must provide a detailed description of the proposed
use of the FY 2009 IECGP funds, including the intended planning, training, and exercise
initiatives for improving interoperable emergency communications. The State or
territory may propose activities at a local level, as well as activities that have statewide
application. When proposing FY 2009 IECGP projects, the SAA must consider the
following key factors–
•

Alignment with the SCIP. Grantees must demonstrate alignment between
proposed IECGP projects and the SCIPs (specifically, goals, objectives, and
specific initiatives to address interoperable emergency communications gaps).

•

IECGP Funding Objectives and Priority Groups 1 and 2. Grantees must
prioritize and select projects consistent with IECGP funding objectives:
1) Priority Group 1, Gaps in Governance and Common Planning and Operational
Protocols; and 2) Priority Group 2, Emergency Responder Skills and Capabilities.
For State- or territory-level projects, Priority Group 1 objectives must be
prioritized over Priority Group 2 objectives. Local or tribal pass-through
recipient projects can be selected from either Priority Group.

•

Equipment purchase. If an SAA certifies that its State, territory, and/or passthrough recipients have fulfilled all of the objectives of Priority Groups 1 and 2,

14

the State, territory, and/or pass-through recipients have the flexibility to purchase
interoperable communications equipment with any remaining IECGP funds.
•

Grant program requirements. Grantees must meet the minimum 80 percent
pass-through to local or tribal government entities.

Note: SAAs must coordinate with the statewide interoperability coordinator,
statewide interoperability governing body as required by the FY 2007 Statewide
Planning Criteria,3 and the appropriate SCIP stakeholders and committees at the
State, regional, local, and tribal levels of government to ensure support for the
projects selected and to ensure that IECGP program requirements are met.
Further, per the 9/11 Act, States and territories are required to report to OEC annually
on the use of grant funds in order to track their progress in implementing the SCIPs and
achieving interoperability at the city, county, regional, State, and interstate levels.
To assist in the development of IECGP Investment Justifications, States and territories
can refer to the IECGP Program Guidance and Application Kit, as well as any follow-up
application reference materials as needed.
The IECGP Investment Justification must include an overall Portfolio Narrative and
Portfolio Budget, as well as specific Project Outline(s). IECGP projects must be
outlined using the Project Outline Template.

FY 2009 Interoperable Emergency Communications Grant Program (IECGP)
Portfolio
Please complete the following sections just once.

Portfolio Narrative: (not to exceed 1 page)
•

Overview of State or territory’s interoperable emergency communications priorities and needs for
planning, training, and exercises in FY 2009;

•

Overview of the governance structure that will oversee the development and implementation of the
project(s) funded by IECGP;
o

3

Describe the methodology used for prioritizing FY 2009 IECGP projects and the
stakeholders involved in that prioritization.

•

Summary of the agencies involved in IECGP initiatives (e.g., State, local, tribal) and a description of
their involvement.

•

Summary and justification of anticipated M&A expenditures.

FY 2007 Statewide Planning Criteria can be found on the SAFECOM website at:
http://www.safecomprogram.gov/SAFECOM/library/grant/1304_fy2007.htm.

15

Portfolio Budget: (not to exceed 1 page)
Include a breakdown of all FY 2009 IECGP funds by project name and the Management and Administration
amount withheld at the State or territory level. In addition, the State or territory must outline how it intends to meet
the pass-through requirement. The pass-through requirement will be monitored via the Grants Reporting Tool
(GRT) throughout the grant’s period of performance.

Portfolio Budget

Total Cost

State or territory M&A (up to 3%)

$XX

If the State or territory intends to use M&A funding, it must provide a summary and justification of anticipated
expenditures in the Portfolio Narrative.

State or territory supported projects

$XX

Project Name:

E.g., Update SCIP
E.g., Hire Statewide Interoperability
Project Name:
Coordinator
Local pass-through projects (80%)
E.g., Interoperable
Project Name: Communications Training and
Exercises
E.g., Developing Standard
Project Name:
Operating Procedures
Total IECGP Funds

Project Cost:

$XX

Project Cost:

$XX
$XX

Project Cost:

$XX

Project Cost:

$XX
$XX

FY 2009 IECGP, Project #[x], Project Name
Please complete the following sections for each individual project.

IECGP Objective: (not to exceed a ½ page)
Briefly describe the project as a whole and its primary objective. Include a description of the interoperable
emergency communications gap to be filled and the end result/outcome(s) of the project.4

Alignment to IECGP Priority Groups:
Please select the Priority Group and Objective(s) to which this project aligns:
Priority Group 1, Leadership and Governance and Common Planning and Operational
Protocols.
Establishment of formal interoperable emergency communications governance structures;
Establishment of common planning and operational protocols.
Or:
Priority Group 2 Emergency Responder Skills and Capabilities.
Enhancement of emergency responder skills and capabilities through training and exercises.

4

Note that if this is a Priority 1 project directed at personnel, applicants must explain how they are
working to integrate new staff into the State budget in future years to maintain the capability, as
appropriate.

16

For State/territory-level Projects Only:
Per FY 2009 IECGP funding objectives, State and territory level applicants are expected to prioritize
Priority 1 Group, Leadership and Governance and Common Planning and Operational Protocols,
objectives over Priority Group 2. If applicants are unable to check all of the following boxes, it is
expected that FY 2009 IECGP funds be directed to meet these minimum expectations prior to
choosing Priority Group 2 projects.
The State or territory has a formal statewide interoperable emergency communications governance
committee, consistent with the FY 2007 Statewide Planning Criteria, which has:
Representation from each public safety discipline;
Representation across each level of government: Federal, State, local, and tribal (if
applicable);
Representation from each region within the State or territory (as applicable, and/or defined in
the SCIP);
Executive or legislative authority and a formal charter.
Please also verify the following:
The State or territory has hired a full-time statewide interoperability coordinator with sufficient
capabilities/resources (e.g., project management, technical expertise) to effectively execute his/her
mission, consistent with the FY 2007 Statewide Planning Criteria.
If not, please provide an explanation of why and how the State or territory intends on ensuring SCIP
implementation efforts are effectively coordinated statewide.
The State or territory has developed SOPs that demonstrate consistent use of interoperability
channels, plain language protocols, common channel naming; and
The State or territory has developed SOPs that demonstrate compliance with NIMS ICS.
For State/territory and Local level Projects:
Per FY 2009 IECGP funding objectives, the applicant has the flexibility to use IECGP funds to
purchase interoperable emergency communications equipment if and only if it has achieved or will
achieve all of the above listed expectations for Priority Group 1 and the following Priority Group 2
objectives:
The State, territory, and/or pass-through recipients have demonstrated compliance with NECP Goal
1 through preparation of approved incident and exercise AAR; and
The State or territory has completed a State-level multi-jurisdictional, multi-agency training and
exercise event. (Not applicable to pass-through recipients)
If the State, territory, and/or pass-through recipient plans to use IECGP funds to purchase
interoperable emergency communications equipment, it must certify the following:
The State, territory, and/or pass-through recipient certifies that it has achieved or will achieve both
Priority Group 1 and 2 objectives.

17

Alignment to SCIP Goals, Objectives, and/or Initiatives: (not to exceed 1 page)
Identify how the project aligns to the SCIP: 1) needs and/or gaps identified; 2) goals and objectives; and 3)
specific initiative(s). Describe where the need/gap, goal, objective, and/or initiative was identified (provide
specific header and page number references).

Priority and Need

E.g., Hire Interoperability Coordinator

Related Goal(s)

Goal X, (SCIP Section x: Page x): Insert description of the goal(s)

Related Objective(s)

Objective X, (SCIP Section x: Page x): Insert description of the
objective(s)

Related Strategic Initiative(s)

Strategic Initiative X, (SCIP Section x: Page x): Insert description
of the initiative(s)

Alignment to TICP AAR, or other Assessment/Tool: (not to exceed a ½ page)
If applicable, identify how the project aligns to the TICP AAR, and/or other interoperable emergency
communications assessments/tools.

Governance: (not to exceed a ½ page)
Identify the governance structures in place that will support the development and implementation of the
project. Explain how this objective will be communicated to the statewide interoperable emergency
communications governance committee.

Performance Measure(s) and Basis of Evaluation: (not to exceed a ½ page)
Indicate the performance measure(s) that will be used to evaluate this project’s impact and the basis for
developing the measure(s). The performance measures should focus on quantifiable outcomes. For
example, an outcome could be:
o

Improved coordination between adjacent local jurisdictions or improved coordination between
Federal, State, or local entities in the same location.

o

Exercise results demonstrating increased operability, increased inter-operability, or an
increased area of coverage.

Milestones: (not to exceed a ½ page)
Provide specific milestones for the project over the FY 2009 IECGP period of performance, including a
description, start and end dates for each milestone. As many as 10 milestones may be provided. Examples
of milestones could be estimates of the:
o

Date that an interoperability coordinator will be hired

o

Dates of completion for governance documents, policies, and Standard Operating Procedures

o

Dates for any meetings or conferences of major significance

o

Dates for completion of any training

o

Dates for completion of any exercises

18

Challenges/Risks: (not to exceed a ½ page)
Identify any potential challenges to implementing this project. Examples of challenges and risks could
include anything that could impact the schedule or cost, such as hiring an interoperability coordinator by a
certain date, collection of Memoranda of Understanding, or completion of a related project.

Project Budget: (not to exceed 1 page)
Explain how the costs were estimated and justify the need for the costs. The applicant should break down
the project budget by allowable cost category, and M&A, and the anticipated expenditures within each
category. For clarification, please list out anticipated expenditures under each allowable cost category and
M&A on separate lines.
Note: If the applicant is proposing a project for the purchase of interoperable emergency communications
equipment, the State or territory must include cost share information in the table below to demonstrate that it
is in compliance with the 25% State cost share requirement. The information should include:
•

Amount of State (or local) cost share funding;

•

Source of cost share funding (e.g., State, local); and

•

Category of in-kind (e.g., donated volunteer services, salaries, equipment, or property or indirect
costs) and/or cash cost share (e.g., State, local).

To calculate cost share, the applicant must first determine the total project cost for equipment and then
calculate the State and Federal shares respectively. The applicant should keep in mind that the total project
cost does not equal the proposed amount of IECGP federal funding. For example, if a State is purchasing
interoperable emergency communications equipment for a total cost of $100,000, the State may apply for
$75,000 (75% of total project cost) of federal IECGP grant funds if it provides $25,000 (25% of total project
cost) of State or local cost share funds.

Anticipated Expenditures (by Allowable Cost Category)

Cost

Planning:
E.g., Personnel

$XX

E.g., Contract Support

$XX
Total Planning Costs

$XX

Training:
E.g., Number trained and training cost per person

$XX
Total Training Costs

$XX

Exercises:
E.g., Overtime/Backfill

$XX

E.g., Travel.

$XX
Total Exercise Costs

$XX

Personnel:
E.g., Estimated Salary and Benefits

$XX

19

Equipment:
E.g., Interoperable Emergency Communications Equipment
Total Equipment Costs

$XX
$XX

Equipment Cost Share: (if applicable)
Cost share amount (25% of total project cost)

$XX

Cost share source (E.g., State, local)
Cost share category (E.g., cash, in-kind)
M&A (up to 3%):

$XX

E.g., Hiring of staff to assist with the management of IECGP
Total Project Cost:

$XX
$XX

Bi-annual Activities:
For every 6 month period, briefly identify the milestone and expected outcome. Note: The Expected
Outcomes section should be completed as feasibly as possible. Actual progress data will be identified
through input in the GRT as well as through programmatic monitoring. The outcomes may include
information such as the Governance Board including certain stakeholders or addressing certain issues; the
exercise addressing increased operability or interoperability; or the training resulting in x number of people
trained to x capability.

Expected Outcome: (not to exceed a ¼ page)
1st Bi-annual Activity (Year 1)

Expected Outcome: (not to exceed a ¼ page)
2nd Bi-annual Activity (Year 1)

Expected Outcome: (not to exceed a ¼ page)
3rd Bi-annual Activity (Year 2)

Expected Outcome: (not to exceed a ¼ page)
4th Bi-annual Activity (Year 2)

20

C. Submission Dates and Times
Completed applications must be submitted electronically through www.grants.gov no
later than 11:59 PM EST, January 13, 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.
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
Specific investments made in support of the funding priorities discussed above fall into
one of the following five allowable cost categories for IECGP FY 2009:
1.
2.
3.
4.
5.

Planning
Training
Exercise
Personnel Activities
Equipment

Interoperable emergency communications equipment acquisition is an allowable
cost category for IECGP in FY 2009. However, the SAA must certify in the
Application Template that the State, territory, and/or pass-through recipients have
fulfilled the objectives of Priority Groups 1 and 2, as outlined in the Funding Goals
section of this grant guidance. Grantees are to use IECGP funds on activities that align
with IECGP FY 2009 priorities and their approved SCIPs. The allowable cost matrix
summarizes the IECGP allowable cost activities.
The following sections provide guidance on activities and allowable costs within each of
the five allowable cost categories:
1. Planning Costs. All grantees should use FY 2009 IECGP funds for planning efforts
consistent with the goals and objectives identified in the SCIPs. Planning activities
help to prioritize needs, build capabilities, update preparedness strategies, allocate
resources, and deliver preparedness programs across disciplines (e.g., law
enforcement, fire, EMS, public health, public works, and transportation) and levels of

21

government. FY 2009 IECGP funds may be used for the following types of
interoperable emergency communication planning activities:
•

Development and/or enhancement of interoperable emergency
communications plans. Grant funds may be used to develop and/or enhance
interoperable communications plans and to implement the initiatives identified in
the SCIPs. Additionally, funds may be used to update and/or enhance TICPs
and expand tactical planning efforts to non-Urban Area Security Initiative (UASI)
sites. Activities associated with enhancing these plans may include, but are not
limited to, the following–
a. Establish a planning committee specific to interoperable
communications
b. Strengthen committees to ensure broad representation of
disciplines and jurisdictions
c. Complete any initiatives to strengthen and complete any
preliminary planning efforts associated with the SCIPs
d. Conduct planning activities associated with SCIP implementation
e. Conduct periodic updates to SCIPs and TICPs to account for
completed or updated priorities and initiatives and evolving
requirements
f. Develop additional strategic or tactical plans at the regional or
local levels, consistent with the SCIP
g. Develop system life-cycle plans
h. Conduct planning associated with the procurement of
communications equipment or systems
i. Conduct planning for coordination and interoperability between
adjacent States or multiple States within a region

•

Development and/or enhancement of interoperable emergency
communications assessments and inventories. Multi-agency and multijurisdictional partnerships should facilitate planning activities, such as
assessments of–
a. Technology capabilities, specifically the identification and
inventorying of infrastructure and equipment5
b. SOPs
c. Training and exercises
d. Overall interoperable emergency communications requirements
e. System life cycle planning for emergency communications
equipment
f. Sustainability of the interoperable emergency communications
program if Federal grant funds are reduced or eliminated in the
future

5

Note that the procurement of software packages that support emergency communications asset management
activities is an allowable cost in FY 2009 IECGP.

22

•

Development and enhancement of interoperable emergency
communications protocols. Funds may be used to enhance multi-jurisdictional
and multi-disciplinary common planning and operational protocols. Activities may
include programming interoperability channels and developing SOPs, common
channel naming, fleet maps, and plain language protocols.

•

Meeting-related expenses. These costs may include the rental of
space/locations/facilities for planning activities. This may also include costs for
signs, badges, and similar materials.

•

Public education and outreach. These costs may cover providing
interoperable emergency communications education and outreach activities on
the SCIP and associated interoperable emergency communications initiatives.

•

Supplies. Supplies are items that are expended or consumed during the course
of the planning project(s).

•

Travel. Travel costs (e.g. airfare, mileage per diem, or hotels) are allowable as
expenses by employees who are on travel status for official business related to
professional interoperable emergency communications planning activities, such
as the OEC annual National Emergency Communications Workshop.

•

Other project planning activities with prior approval from DHS.

2. Training Costs. States, territories, and local and tribal governments are strongly
encouraged to use IECGP funds to support interoperable emergency
communications training activities. Communications-specific training activities
should be incorporated into the statewide training and exercise plan and coordinated
with the State interoperability coordinator and/or formal statewide interoperable
emergency communications governance committee. Training developed or
conducted using IECGP funds should address a performance gap identified through
the SCIPs, TICP AARs, and/or other assessments. Exercises should be used to
provide the opportunity to demonstrate and validate skills learned in training and to
identify training gaps. Any training or exercise gaps should be identified in the
grantee’s AAR/Improvement Plan (IP) and addressed in the training cycle. FY 2009
IECGP funds may be used for the following interoperable emergency communication
training activities–
•

Funds used to develop, deliver, attend, and evaluate training. Grant funds
may be used to develop training programs and materials. Grant funds may also
be used to plan, attend, and conduct communications-specific training workshops
or conferences, to include covering costs related to planning, meeting space, and
other meeting costs, facilitation costs, materials and supplies, travel, and training
development. Communications-specific training should focus on–
a. Use of established operational protocols (e.g., plain language)
b. Use of NIMS Incident Command System (ICS)
c. Use of interoperable emergency communications solutions

23

d. Communications Unit Leader Training, Communications Unit
Technician, or other ICS Communications Unit position training.
•

Travel. Travel costs (e.g., airfare, mileage, per diem, or hotel) are allowable as
expenses by employees who are on travel status for official business related to
the planning and conduct of the training project(s).

•

Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the training project(s).

•

Meeting-related expenses. These costs may include the rental of
space/locations/facilities for planning and conducting training. This may also
include costs for signs, badges, and similar materials.

3. Exercise Costs. Exercises conducted using IECGP funds must be managed and
executed in accordance with the Homeland Security Exercise and Evaluation
Program (HSEEP). HSEEP Volumes I-III provide guidance for exercise design,
development, conduct, evaluation, and improvement planning. HSEEP Volume IV
provides sample exercise materials, and HSEEP Volume V: Prevention Exercises
provides 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 IECGP funding must be NIMS-compliant. More NIMS information
is available online at: http://www.fema.gov/emergency/nims/index.shtm.
Communications-specific exercise activities should be incorporated into the
statewide training and exercise plan and coordinated with the State interoperability
coordinator and/or statewide interoperable emergency communications governance
committee. FY 2009 IECGP funds may be used for the following interoperable
emergency communication exercise activities–
•

Funds used to design, develop, conduct, and evaluate exercises.
Grant funds may be used to enhance existing training, to include an
interoperable emergency communications component, or to plan and
conduct communications-specific exercise workshops or conferences.
This includes costs related to planning, meeting space and other meeting
costs, facilitation costs, materials and supplies, travel, and exercise plan
development. Funds may be used to design, conduct, and evaluate
interoperable emergency communications exercises, including tabletop
and fully functional exercises. Exercise activities should focus on the–
a. Use of established operational protocols
b. Use of interoperable emergency communications solutions
c. Use of TICP to exercise on SOPs

24

•

Travel. Travel costs (e.g., airfare, mileage, per diem, or hotel) are allowable as
expenses by employees who are on travel status for official business related to
the planning and conduct of the IECGP 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).

•

Meeting-related expenses. These costs may include the rental of
space/locations/facilities for planning and conducting exercises. This may also
include costs for signs, badges, and similar materials.

4. Personnel Activities. No more than 50 percent of total program funds may be used
for personnel activities. 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 circumstances. In general, the use
of IECGP grant funding to pay for staff and/or contractor regular time or
overtime/backfill is considered a personnel cost. These expenses are permitted
under this grant in order to perform allowable FY 2009 IECGP planning, training, and
exercise activities. Specifically, this includes personnel associated with the
interoperability coordinator function. Applicants must identify sustainable sources of
funding (or a plan for obtaining sustainable forces) and work to integrate new staff
into the State and local budgets in future years to maintain these capabilities.
FY 2009 IECGP funds may not be used to support the hiring of any personnel for the
purposes of fulfilling traditional public safety duties or to supplant traditional public
safety positions and responsibilities. Activities that are considered “personnel”, and
therefore count against the personnel cap of 50 percent (50%) include, but are not
limited to:
•

Hiring of certain full or part-time staff and contractors or consultants. Full
or part-time staff may be hired to support IECGP planning, training, exercise, and
equipment planning and purchase- related activities. This includes staff to serve
in the following roles, consistent with the SCIPs–
a. Statewide interoperability coordinator
b. Project manager(s)/subject matter expert(s) for the statewide
interoperability coordinator function, as appropriate
c. Regional, local, or tribal interoperability coordinator(s), as
appropriate

•

Office Equipment. Office equipment costs are allowable, including personal
computers, computer peripherals (for example, printers and external hard drives),
and office telephones to support IECGP-related personnel.

25

The following are definitions for the terms 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 and Backfill – Overtime costs which are the direct result of
attendance at FEMA and/or approved training courses and programs are
allowable. Overtime payments related to backfilling personnel who have been
sent to training are also allowable, but only for the marginal added cost to the
grantee of having to pay overtime instead of regular time. The grantee must
maintain financial responsibility for the regular time portion of backfill costs.
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 employee of a unit of
government may not receive compensation from 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.

•

Supplanting. This refers to replacing a State and/or locally budgeted position
with one or more full-time employees or contractors supported in whole or in part
with Federal funds. Supplanting with grant funds is prohibited.

5. Equipment Planning and Purchase.
In addition to purchasing interoperable emergency communications equipment,
adequate technical and financial planning is needed to ensure that interoperable
communications systems meet the needs of public safety agencies. Consistent with the
OEC Recommended Guidance for Federal Grant Programs (SAFECOM Guidance for
Grant Programs), grantees must develop a communications system life-cycle plan when
using grant funds to purchase communications systems. In addition, grantees are
encouraged to migrate to approved open architecture and interoperable next generation
systems and to leverage existing and emerging technologies to expand and integrate
disaster communications capabilities. Finally, grantees must demonstrate how their
procurements will comply with the applicable standards for land mobile radio systems
and data-related information sharing systems or provide compelling reasons for using
non-standards-based solutions. For applicable standards information, please see the
Recommended Guidance for Federal Grant Programs (SAFECOM Guidance for Grant
Programs) available at www.safecomprogram.gov.
IECGP funds should be used for activities that include, but are not limited to, the
following:

26

•

Development of communications system life-cycle plans. Emergency
response providers must upgrade and regularly maintain communications
systems and capabilities to ensure effective operation. System life-cycle
planning is needed to ensure long-term sustainability of communications systems
and infrastructure. Grantees are required to provide a system life-cycle plan for
any communications system purchased with IECGP funding and may use
funding for costs associated with the development of a system life-cycle plan.

•

Equipment Purchases and Related Costs. If an SAA certifies that its State,
territory, or pass-through recipient has fulfilled all of the objectives of Priority
Groups 1 and 2, the State, territory, or pass-through recipient has the flexibility to
purchase interoperable communications equipment with any remaining IECGP
funds. When making equipment purchase decisions, grantees should take into
account multi-disciplinary and multi-jurisdictional needs. IECGP funds may be
used for costs associated with the following–
a. Design, implementation, enhancement, replacement, and
maintenance of emergency response communications systems
and equipment
b. Migration to approved open architecture and interoperable next
generation systems, where appropriate
c. Leveraging of existing and emerging technologies to expand and
integrate disaster communications capabilities among emergency
response providers
d. Governance, development of policies and procedures, and the
conduct of training and exercises needed for use of systems and
equipment

For more information on this allowable cost category, please see the OEC
Recommended Guidance for Federal Grant Programs (SAFECOM Guidance for Grant
Programs) available at www.safecomprogram.gov.
Applications must follow the applicant’s formal written procurement policy or the Federal
Acquisition Regulations.
M&A limits. A maximum of up to 3 percent of funds awarded may be retained by the
State. All such retained funds must be used solely for management and administrative
purposes associated with the IECGP award. Local subgrantees may use a maximum of
up to 3 percent of their funds for management and administrative purposes associated
with the IECGP award. States may also choose to pass through a portion of their State
M&A allocation to local subgrantees to support local management and administration
activities, so long as the overall subgrantee M&A amount does not equal more than 3
percent.
NOTE: Construction related activities are not permitted with funding from the FY
2009 IECGP.

27

Allowable Cost Matrix. Allowable costs under IECGP may include, but are not limited
to, the types of activities that are checked [9] below. An allowable cost activity must be
related to IECGP activities.
These activities are aligned with those described in other DHS grant guidance (e.g., the
Homeland Security Grant Program) to offer eligible IECGP applicants a comparison of
allowable activities.

IECGP Program Activities
Planning Costs
Public education and outreach
Interoperable emergency communications education and outreach
Develop and implement homeland security support programs and adopt ongoing
DHS National Initiatives, including State Preparedness Reports, related to
interoperable emergency communications
Develop and enhance interoperable emergency communications plans, including
Statewide Communication Interoperability Plans (SCIP), Tactical Interoperable
Communications Plans (TICP), and/or local/regional plans that align with SCIP
and/or TICP goals objectives or initiatives
Develop and enhance interoperable emergency communications protocols. This
may include activities such as developing SOPs, programming interoperability
channels, instituting common channel naming and plain language protocols,
developing fleet maps, among others.
Develop and/or strengthen interoperable emergency communications assessments
(including requirements analyses) and/or inventories
Establish, enhance, or evaluate Citizen Corps related volunteer programs
Hiring 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) as it relates to IECGP. This may include State, regional, or local
interoperability coordinator(s), and/or project manager(s)/subject matter expert(s) for
the statewide interoperability coordinator function.
Conferences to facilitate planning activities
Supplies and materials required to conduct planning activities
Travel/per diem related to support planning activities
Overtime and backfill costs (IAW operational Cost Guidance)
Other
Equipment Costs
Develop requirements definition and analysis
Collect asset inventory
Conduct technology alternatives and feasibility analyses
Develop system design (e.g., engineering or site surveys)
Install and build-out communications system infrastructure
Distribute portable and mobile equipment
Develop deployment and standard operating procedures
Develop fleetmap for local and statewide interoperability
Conduct system acceptance testing
Conduct certification and accreditation
Manage interoperability assets through inventorying equipment
Develop service-level agreement(s) and payment, including operations and
maintenance considerations

28

Allowable
9
9
9

9

9
9

9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9

IECGP Program Activities
Equipment Categories6
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 Equipment
Decontamination Equipment
Medical Supplies and Limited Pharmaceuticals
Power Equipment
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 Response Watercraft
CBRNE Aviation Equipment
CBRNE Logistical Support Equipment
Intervention Equipment
Other Authorized Equipment
Operation and Maintenance (O&M) Costs
O&M costs of equipment such as Land Mobile Radio, service fees for cellular and
satellite-enabled equipment and related communications service
Personnel and fringe benefit costs, but only for new personnel (such as a project
manager) whose position(s) directly relates to the PSIC Investment.
Utilities costs, supplies, repair and replacement costs
General logistics support costs
Cost of contract support to provide life-cycle operations and maintenance
Salaries, benefits, and overtime for existing employees, sworn officers, grant writers,
and other staff who do not directly contribute to the implementation of the project
Office expenses such as phones, vehicle costs, office rental, furniture and
equipment, office supplies, and indirect charges
Training Costs
Develop, deliver, and evaluate training
Overtime and backfill for emergency preparedness and response personnel
attending interoperable emergency communications training classes as it relates to
IECGP
Training workshops and conferences
Full- or part-time staff or contractors/consultants
Travel
Supplies
Tuition for higher education
Other items
Exercises Costs
Design, develop, conduct and evaluate an exercise
Exercise planning workshop
Full- or part-time staff or contractors/consultants
6

Allowable

9

9
9
9
9
9

9
9
9
9
9
9

9
9
9

For additional information regarding FY 2009 IECGP equipment categories, please refer to the web-based version
of the Authorized Equipment List (AEL) on the Responder Knowledge Base (RKB), at https://www.rkb.us.

29

IECGP Program Activities
Overtime and backfill for emergency preparedness and response personnel
attending interoperable emergency communications exercises classes as it relates
to IECGP
Implementation of HSEEP, as it pertains to interoperable emergency
communications
Travel
Supplies
Other items
Management & Administrative Costs
Hiring of full- or part-time staff or contractors/consultants to assist with the
management of IECGP, application requirements, compliance with reporting and
data collection requirements
Development of operating plans for information collection and processing necessary
to respond to DHS data calls
Overtime and backfill costs associated with IECGP
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
Leasing or renting space for personnel during the period of performance of the grant
program

30

Allowable
9
9
9
9
9
9
9
9
9
9

PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
Submitted IECGP Investment Justifications will undergo a joint DHS OEC and FEMA
GPD review process to ensure that all Investment Justifications are compliant with
program requirements before the funds are awarded.
B. Review and Selection Process
IECGP Investment Justifications will undergo a two-step review process: Federal and
programmatic review. This process will ensure that all proposed projects are compliant
with FY 2009 program requirements and objectives.
•

Federal Review. The Federal reviewers are volunteers from within both GPD
and OEC as well as from other Federal agencies. GPD and OEC will select the
interoperable communications and grants management subject matter experts
whose perspectives will most benefit the overall program. The Federal reviewers
will assess the quality of the Investment Justifications based on whether or not
the applicant sufficiently met each of the criteria requested in the Investment
Justification, such as Alignment to SCIP and Alignment to Priority Groups.

•

Programmatic Review. GPD will conduct the programmatic review to verify that
all required documents, including standard forms, have been submitted and that
the applicants’ budget information adheres to program guidance. GPD, along
with subject matter experts from OEC, will make final decisions on approvals and
special conditions based on the recommendations of the Federal reviewers.
GPD will approve and award IECGP funds based on the above criteria, and the
applicants will receive correspondence from GPD on the status of their submitted
Investment Justifications.

C. Anticipated Announcement and Award Dates
FEMA will evaluate and act on applications within 60 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.

31

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 IECGP 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 government, combinations of local units, or other specific groups or
organizations. The State’s pass-through period must be met within 45 days of the
award date for IECGP7. 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.
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 24 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.

7

For purposes of the FY 2009 IECGP, 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).

32

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

33

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
geospatial activities with the guidance available on the FEMA website at
http://www.fema.gov/grants.
4.3 -- 28 C.F.R. Part 23 guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 C.F.R.
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

34

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

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

•

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

•

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

•

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

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

35

in the delivery of services. National origin discrimination includes discrimination
on the basis of limited English proficiency. To ensure compliance with Title VI,
recipients are required to take reasonable steps to ensure that LEP persons have
meaningful access to their programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where
necessary. The grantee is encouraged to consider the need for language
services for LEP persons served or encountered both in developing their
proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional information,
see http://www.lep.gov.
5.5 -- Integrating individuals with disabilities into emergency planning.
Section 504 of the Rehabilitation Act of 1973, as amended, prohibits
discrimination against people with disabilities in all aspects of emergency
mitigation, planning, response, and recovery by entities receiving financial 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/.

36

•

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

•

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

37

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

38

require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation
Office. Any construction activities that have been initiated without the
necessary EHP review and approval will result in a non-compliance finding
and will not eligible for FEMA funding.
For more information on FEMA’s EHP requirements, SAAs should refer to
FEMA’s Information Bulletin #271, Environmental Planning and Historic
Preservation Requirements for Grants, available at
http://ojp.usdoj.gov/odp/docs/info271.pdf. Additional information and resources
can also be found at http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm.
5.8 -- Royalty-free License. Applicants are advised that FEMA reserves a
royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or
otherwise use, and authorize others to use, for Federal government purposes: (a)
the copyright in any work developed under an award or sub-award; and (b) any
rights of copyright to which an award recipient or sub-recipient purchases
ownership with Federal support. Award recipients must agree to consult with
FEMA regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
5.9 -- 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
39

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.
C. Reporting Requirements
Reporting requirements must be met throughout the life of the grant (refer to the
program guidance and the special conditions found in the award package for a full
explanation of these requirements. Please note that FEMA Payment and Reporting
System (PARS) contains edits that will prevent access to funds if reporting requirements
are not met on a timely basis.
1. Financial Status Report (FSR) -- required quarterly. Obligations and
expenditures must be reported on a quarterly basis through the FSR, which is due
within 30 days of the end of each calendar quarter (e.g., for the quarter ending
March 31, FSR is due no later than April 30). A report must be submitted for every
quarter of the period of performance, including partial calendar quarters, as well as
for periods where no grant activity occurs. Future awards and fund draw downs may
be withheld if these reports are delinquent. The final FSR is due 90 days after the
end date of the performance period.
FSRs must be filed online through the PARS.
Reporting periods and due dates:
• October 1 – December 31; Due January 30
• January 1 – March 31; Due April 30
• April 1 – June 30; Due July 30
• July 1 – September 30; Due October 30
2. Categorical Assistance Progress Report (CAPR). Following an award, the
awardees will be responsible for providing updated obligation and expenditure
information on a semi-annual basis. The applicable SAAs are responsible for
completing and submitting the CAPR reports. 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.

40

CAPRs must be filed online at http://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
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

41

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 IECGP 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.
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.

42

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.

43

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
through such processes as the mid-term review. This commitment is intended to
ensure a common understanding of the funding priorities and administrative
requirements associated with the FY 2009 IECGP 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

44

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

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

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

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4. 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.

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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.
8. The Office of Emergency Communications (OEC) Technical Assistance
Catalog. The Catalog describes the services available to requesting jurisdictions or
organizations through the OEC Interoperable Communications Technical Assistance
Program. These services, which are provided at no cost, include instruction and
assistance with the planning, governance, operational, and technical aspects of
developing and implementing interoperable communications initiatives. All OEC
technical assistance services may be combined or tailored to meet the specific
needs of the requesting organization. The Catalog also contains a technical
assistance request form and instructions on how to complete and submit a request.
It can be found at http://www.safecomprogram.gov/SAFECOM/statewideplanning/.
9. SAFECOM Reference Library. Detailed information that can assist in technical,
planning, training and exercise, and regulatory related communications efforts can
be found on the SAFECOM website at www.safecomprogram.gov.

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