FY 2009 TSP Program Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
TRUCKING SECURITY PROGRAM
GUIDANCE AND APPLICATION KIT

NOVEMBER 2008

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: FY 2009 Trucking Security Program
Funding Opportunity Number: DHS-09-GPD-059-1960
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 the Fiscal Year 2009 (FY 2009) Trucking Security Program (TSP) as
compared to the previous year’s program.
Security Action Item Adoption Initiative
The FY 2009 TSP will focus on the adoption and implementation of the Transportation
Security Administration’s (TSA) voluntary security action items for transporting Tier l
Security Sensitive Materials. Applicants will be able to apply for planning, equipment,
and installation or enhancement of existing installations to track and secure the
transport of Tier I commodities, as defined in Part III of this grant guidance document.
Planning for Disaster Commodity Transportation
The FY 2009 TSP adds as an allowable cost development of plans to improve the
effectiveness of transportation and distribution of supplies and commodities during
catastrophic events.
Monitoring and Analysis
FY 2009 TSP adds as an allowable cost development of a system for DHS to monitor,
collect, and analyze tractor and trailer tracking information. This information will be
provided by FY 2009 TSP grantees that utilize funding for the Security Action Item
Adoption Initiative.

1

CONTENTS
Contents......................................................................................................................... 2
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 3
Part II. AWARD INFORMATION .................................................................................... 9
Part III. ELIGIBILITY INFORMATION .......................................................................... 10
A.
Eligible Applicants................................................................................. 10
B.
Cost Sharing .......................................................................................... 11
C.
Restrictions ............................................................................................ 11
Part IV. APPLICATION AND SUBMISSION INFORMATION ...................................... 12
A.
Address to Request Application Package ........................................... 12
B.
Content and Form of Application ......................................................... 12
C.
Submission Dates and Times ............................................................... 22
D.
Intergovernmental Review .................................................................... 22
E.
Funding Restrictions ............................................................................. 22
Part V. APPLICATION REVIEW INFORMATION ........................................................ 24
A.
Review Criteria....................................................................................... 24
B.
Review and Selection Process ............................................................. 24
C.
Anticipated Announcement and Award Dates .................................... 24
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 25
A.
Notice of Award ..................................................................................... 25
B.
Administrative and National Policy Requirements ............................. 25
C.
Reporting Requirements ....................................................................... 32
Part VII. FEMA CONTACTS......................................................................................... 36
Part VIII. OTHER INFORMATION ............................................................................... 39

2

PART I.

FUNDING OPPORTUNITY DESCRIPTION
The Trucking Security Program (TSP) is one of six grant programs that constitute the
Department of Homeland Security (DHS) Fiscal Year (FY) 2009 focus on transportation
infrastructure security activities. The TSP is one tool among a comprehensive set of
measures authorized by Congress and implemented by the Administration to help
strengthen the nation’s critical infrastructure against risks associated with potential
terrorist attacks. The FY 2009 TSP is authorized by the Consolidated Security, Disaster
Assistance, and Continuing Appropriations Act, 2009 (Public Law 110-329).
The purpose of the program guidance and application kit is to provide: (1) an overview
of the TSP; and (2) the formal grant guidance and application materials needed to apply
for funding under the program, including an explanation of DHS requirements for
submission of a grant application. The Department’s intent is to provide applicants with
clear guidance. All applicants are required to read and conform to all requirements of
this grant guidance document and must have read and accepted all program guidance
as binding.
On June 26, 2008, the Transportation Security Administration (TSA) announced the
development of a Voluntary Program of Recommended Security Action items to
Enhance the Shipment of Highway Security-Sensitive Materials (HSSM) (See Part VIII
for additional information). These HSSM have the potential to cause significant fatalities
and injuries or significant economic damage when released or detonated during a
transportation security incident. The voluntary security practices have been developed
by the TSA Highway and Motor Carrier Division in conjunction with stakeholders
including representatives of the chemical manufacturing industry, chemical carriers and
transportation industry, as well as appropriate Federal agencies. This TSP focus is
being initiated to encourage the acceptance and implementation of these security
practices.
Federal Investment Strategy
TSP is an important part of the Administration’s larger, coordinated effort to strengthen
homeland security preparedness, including the security of America’s critical
infrastructure. TSP implements objectives addressed in a series of post-9/11 laws,
strategy documents, plans, Executive Orders, and Homeland Security Presidential
Directives (HSPDs). Of particular significance are the National Preparedness
Guidelines and its associated work products, including the National Infrastructure
Protection Plan (NIPP) and its transportation sector-specific plans and Executive Order
13416 (Strengthening Surface Transportation Security). The National Preparedness
Guidelines are an all-hazards vision regarding the Nation’s four core preparedness

3

objectives: prevent, protect against, respond to, and recover from terrorist attacks and
catastrophic natural disasters.
The National Preparedness Guidelines define a vision of what to accomplish and a set
of tools to forge a unified national consensus about what to do and how to work together
at the Federal, State, local, and Tribal levels. Private sector participation is also integral
to the Guidelines’ success.1 They outline 15 scenarios of terrorist attacks or national
disasters that form the basis of much of the Federal exercise and training regime. In
addition, it identifies some 37 critical capabilities that DHS is making the focus of key
investments with State, local, and Tribal partners.
DHS expects its critical infrastructure partners – including recipients of TSP– to be
familiar with this national preparedness architecture and to incorporate elements of this
architecture into their planning, operations, and investments to the degree practicable.
DHS funding priorities outlined in this document reflect National Preparedness
Guidelines’ priority investments, as appropriate. Programmatic requirements or priority
investment categories reflecting the national preparedness architecture for this grant
program are identified below.
Funding Priorities
1. Truck Security Action Item Implementation Initiative
The funding priorities in this section represent the four most significant elements within
the list of 23 security action items. While the FY 2009 TSP is intended to encourage
adoption and implementation of these four items, all 23 security action items should be
considered important in the improvement of a Tier I transporter’s security. Funding for
the four items below will be awarded through a competitive application process.
FY 2009 TSP funding will be awarded to eligible applicants to implement security
improvement measures and policies deemed valuable by DHS as indicated in the
Security Action Items publication of June 26, 2008. These items are primarily focused
on the purchase and installation or enhancement of equipment and systems related to
tractor and trailer tracking systems. The equipment elements of this truck tracking
element of the grant have been pre-priced to facilitate funding calculations and
requests. Please refer to Part VIII for more information on the pre-priced elements.
Tractor and Trailer Tracking Systems
• Implement methods of tracking the tractor and trailer throughout the intended
route with satellite and/or land-based wireless GPS communications systems.
o Tracking methods for a tractor and trailer shall provide current position by
latitude and longitude.
o Geofencing and route monitoring capabilities allow authorized users to
define and monitor routes and risk areas. If the tractor and/or trailer
deviates from a specified route or enters a risk area, an alert notification
should be sent to the dispatch center.
1

The National Preparedness Guidelines and supporting documents were published in September 2007, and are
available at: http://www.ojp.usdoj.gov/odp/assessments/hspd8.htm .

4

o An employer or authorized representative shall have the ability to remotely
monitor trailer “connect” and “disconnect” events.
o An employer or authorized representative shall have the ability to poll the
tractor and trailer tracking units to request a current location and status
report.
o Tractor position reporting frequency shall be configured at not more than
15-minute intervals.
o Trailer position reporting frequency shall be configured to provide a
position report periodically when the trailer has been subject to an
unauthorized disconnect from the tractor.
o The trailer reporting frequency shall be at an interval that assists the
employer in locating and recovering the trailer in a timely manner.
o The tractor and trailer tracking system shall be tested periodically and the
results of the test should be recorded.
ƒ

Technology Standards
Tractor and Trailer Tracking Systems must conform to the TSA
Universal Communications Interface (UCI) – Interface
Requirements Specification (IRS) for enabling the transmission of
data from commercially available tracking systems to a centralized
government truck tracking center. The Universal Communications
Interface – Interface Control Document provides the details to
enable a commercial truck tracking system to implement the nonproprietary universal interface set of protocols.

ƒ

Data Requirements
The UCI provides the means for motor carrier to provide a
Centralized Truck Tracking Center with tracking data including
information regarding Transportation Security Incidents involving
trucks carrying hazardous materials. Companies must provide TSA
tracking and event data through the UCI.

This funding priority meets the security action item #23 in the Description of
Voluntary Security Action Items for Tier I Highway Security-Sensitive Materials (Tier
I HSSM) and Tier II Highway Security-Sensitive Materials (Tier II HSSM)
Transported by Motor Carrier.
Panic Button Capability
• Implement means for a driver to transmit an emergency alert notification to
dispatch.
o “Panic Button” technology enables a driver to remotely send an
emergency alert notification message either via Satellite or Terrestrial
Communications, and/or utilize the remote Panic Button to disable the
vehicle.

5

This funding priority meets the security action item #22 in the Description of
Voluntary Security Action Items for Tier I Highway Security-Sensitive Materials (Tier
I HSSM) and Tier II Highway Security-Sensitive Materials (Tier II HSSM)
Transported by Motor Carrier.
Note: Companies that request funding for Tractor and Trailer Tracking Systems
must implement systems that have the panic button and tractor activation capability.
Companies that have existing Tractor and Trailer Tracking Systems without Panic
Button Capability and/or Tractor Activation Capability may request funding to retrofit
current equipment with the Panic Button Capability and/or Tractor Activation
Capability.
Tractor Activation Capability
• Implement security measures that require driver identification by login and
password or biometric data to drive the tractor.
o Companies should provide written policies and instructions to drivers
explaining the activation process.
o Companies that have existing Tractor and Trailer Tracking Systems
without this capability may request funding to retrofit current equipment.
This funding priority meets the security action item #21 in the Description of
Voluntary Security Action Items for Tier I Highway Security-Sensitive Materials (Tier
I HSSM) and Tier II Highway Security-Sensitive Materials (Tier II HSSM)
Transported by Motor Carrier.
Communications Plan
A communication plan should be established to include standard operating
procedures (SOP) for communications between drivers, appropriate company
personnel, and emergency services agencies. This plan should include the
appropriate two-way communication technologies required to implement the
communication plan, such as terrestrial or satellite-based systems. This is not
intended to preclude the use of personal cell phones. Employers should encourage
and employees should follow the proper use of cell phones including observing state
and local cell phone laws.
This requirement meets the security action item #10 in the Description of Voluntary
Security Action Items for Tier I Highway Security-Sensitive Materials (Tier I HSSM)
and Tier II Highway Security-Sensitive Materials (Tier I HSSM) Transported by Motor
Carrier.
Companies that have existing Tractor and Trailer Tracking Systems without this
capability may request funding to retrofit current equipment.

6

2. Monitoring and Analysis
Funding will be provided to develop a system for DHS to monitor, collect, and analyze
tracking information. This information will be provided by FY 2009 TSP grantees that
utilize funding for the Tractor and Trailer Tracking Systems priority detailed above.
3. Planning
Funding will be provided to develop plans to improve the effectiveness of transportation
and distribution of supplies and commodities during catastrophic events.
Strategic Vision
The Security Action Item Initiative introduced in the FY 2009 TSP is the first phase of a
strategic program for trucking industry security. The overall strategic vision for the
security of the trucking industry will include additional risk mitigation efforts and activities
as noted in the Security Action Items (included in Part VIII of this guidance document)
designed to raise the level of security for the entire trucking industry. In future years,
this program will expand to include items including, but not limited to:
•

Seal/Lock Control Program: Implement a seal/lock program to prevent theft or
sabotage of the contents of cargo containers and cylinders when in transport,
when unattended by company personnel, or when at facilities incidental to
transport.

•

Background Checks: Conduct background checks during the hiring process for
employees and contractors with unescorted access to motor vehicles, motor
carrier facilities, or information critical to the transportation of hazardous
materials.

•

Access Control Systems for Drivers and Facilities: Implement access control
systems including issuing photo identification or other visible forms of
identification to all drivers, employees, vendors, contractors, and visitors who
require unescorted access to restricted areas. Access should be controlled to
restricted areas including plants, data centers, IT systems, loading and unloading
facilities, storage facilities, and other critical areas.

•

Plans, Policies, and Procedures:
o Inventory Control process procedures
o Business and Security critical information policies
o Establish cargo security program to prevent theft or sabotage of cargo
containers
o Shipment pre-planning, advance notice of arrival, and receipt
confirmation procedures
o Preplanning Routes

7

TSP Program Management: Roles and Responsibilities at DHS
Within DHS, Transportation Security Administration (TSA) has the lead for managing
the Department’s security oversight and security programs for the trucking industry.
TSA provides trucking system subject matter expertise within DHS and determines the
primary security architecture for the TSP program. Its subject matter experts have the
lead in crafting all selection criteria associated with the application review process. TSA
coordinates daily with the DHS Chief Intelligence Officer to review intelligence reporting
and craft intelligence risk assessments related to the transportation sector.
The Federal Emergency Management Agency (FEMA) has the lead for designing and
operating the administrative mechanisms needed to manage the Department’s core
grant programs, including this grant program. In short, FEMA is responsible for
ensuring compliance with all relevant Federal grant management requirements and
delivering the appropriate grant management tools, financial controls, audits and
program management discipline needed to support the TSP.
While both TSA and FEMA interface directly with our trucking industry stakeholders,
TSA will prioritize specific investments and set security priorities associated with the
TSP.

8

PART II.

AWARD INFORMATION

This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 TSP, describes the basic distribution method used
to determine final grants awards, and identifies all eligible applicants for FY 2009
funding.
Award Period of Performance
The period of performance of this grant is 36 months. Extensions to the period of
performance will be considered only through formal requests to FEMA with specific and
compelling justifications why an extension is required.
Available Funding
In FY 2009, the total amount of funds distributed under the TSP will be $7,772,000 as
follows:
• $772,000 for the development of plans and the monitoring and analysis
system/center
• $7,000,000 for the truck security action item adoption and implementation
initiatives. These awards will be made following a competitive application
process. Eligible entities must submit separate investment justifications for each
project.

9

PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
Truck Security Action Item Implementation Initiative
Eligibility for funding under this priority is limited to applicants meeting the following
criteria:
•
•

Have a current security plan subject to Title 49 CFR 172.800
Transport Tier I Commodities as defined by TSA through the issuance of
Highway Security-Sensitive Materials (HSSM) Security Action Items. The list of
materials can found in Part VIII of this guidance document, and are also located
at http://www.tsa.gov/assets/pdf/tsa_app_b_hssm_list.pdf

Eligible applicants will be placed into one of two tiers:
• Tier I consists of eligible applicants that have 11 or more tractors
• Tier II consists of eligible applicants that have 10 or less tractors
Other Conditions
• Grantees will be responsible for the monitoring and tracking of the shipment of
Tier I commodities if they use grant funding to purchase tracking equipment.
•

A grant will not be issued to a motor carrier that does not demonstrate an
acceptable safety record as determined by a rating of unsatisfactory or
conditional by the Federal Motor Carrier Safety Administration (FMCSA) and/or
has a Hazardous Materials Out-of-Service (HMOOS) rating above the designated
Hazardous Materials Safety Permit (HMSP) threshold.

•

By accepting a FY 2009 TSP award, the grantee must allow DHS to perform a
Corporate Security Review (CSR) upon request. Grantees will be required to
provide basic information concerning critical assets, threat assessments,
vulnerability assessments, management and oversight of the security plan,
personnel security, training, secure areas, exercises, cyber security, and physical
security countermeasures.

•

Grantees must work with DHS and their representatives to ensure tracking
information can be accessed remotely by DHS.

10

Monitoring and Analysis and Planning Priorities
There are no restrictions on who may apply for funding under these priorities. However,
in order to be considered as a potential grantee, applicants must demonstrate they have
the financial and resource capabilities to successfully address these priorities.
Eligible Applicants and the Role of State Administrative Agencies (SAA)
The Federal Emergency Management Agency (FEMA) will ensure that SAAs are aware
of trucking projects funded under this program.

B. Cost Sharing
Cost share is only required for the Truck Security Action Item Implementation Initiative.
Cost share is not a requirement for the Monitoring and Analysis and Planning initiatives
as defined on page 7.
Tier I: The maximum Federal share of any project supported through the TSP is 50%.
Therefore, grantees are required to provide non-Federal funding of at least 50%. For
example, if the total project cost is $100,000, the maximum DHS grant award would be
$50,000 with the grantee required to provide the remaining 50%, or $50,000. The nonfederal cost share may consist of either a cash or in-kind match.
Tier II: The maximum Federal share of any project supported through the TSP is 75%.
Therefore, grantees are required to provide non-Federal funding of at least 25%. For
example, if the total project cost is $100,000, the maximum DHS grant award would be
$75,000 with the grantee required to provide the remaining 25%, or $25,000. The nonfederal cost share may consist of either a cash or in-kind match.

C. Restrictions
Please see Section IV.E. for Management & Administration 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 entities 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
Any additional Required Attachments
Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
Standard Form 424B Assurances
Standard Form LLL, Disclosure of Lobbying Activities

The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Trucking Security Program.” The CFDA number is 97.059.
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 entities must apply for funding through this portal, accessible on the Internet
at http://www.grants.gov.

12

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 TSP application process,
applicants must develop a formal 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.
Applicants must provide information in the following categories. The Background
section needs only to be completed once for the entire application; the other
sections need to be completed for each proposed Investment as captured by the
Investment Justification template detailed on pages 14-17:
1.
2.
3.
4.

Background
Strategic and Program Priorities
Impact
Funding/Implementation Plan

Investment Justifications must be submitted with the grant application as a file
attachment within grants.gov. Applicants must use the following file naming
convention when submitting required documents as part of the FY 2009 TSP.
Name of Applicant_ IJ Number (Example: Company A_IJ#1)
6. Detailed Budget.
• For equipment acquisition, the applicant can complete the pre-priced budget
worksheet to indicate the number and type of equipment being requested.
The budget worksheet will automatically calculate the amount of funding to
request, and must be submitted as part of the application package. The
budget must be submitted with the grant application as a file attachment
within grants.gov. This pre-priced budget worksheet can be found at
www.tsa.gov/grants.

13

•

For development of a communications plan, the applicant must complete a
detailed budget outlining the cost elements associated with the planning,
development, and implementation of the plan.

In addition to the requirements noted above, a detailed budget detail worksheet must
be submitted with the grant application as a file attachment within grants.gov
Applicants must use the following file naming convention when submitting required
documents as part of the FY 2009 TSP:
Name of Applicant_ IJ Number_Budget (Example: Company A_IJ#1_Budget)
A detailed budget template is provided on pages 18-21.
7. Supporting Documentation. In addition, each applicant company must submit the
following documentation as part of their application package:
•

Current Security Plan: The company’s written Security Plan must meet the
criteria as required in 49 CFR 172.800.

•

Current Security Assessment. This Security Assessment must have been
completed on/after June 2008.

•

MCS-150 Form:
o Motor Carrier Identification Report (Application for U.S. DOT Number)
o The MCS-150 Form must have current information

•

FMCSA Hazardous Materials Safety Permit

Investment Justification Template
Investment Heading
Applicant Organization
Investment Name
Investment Amount

$

I. Background
Note: This section only needs to be completed once per application, regardless of the number of
Investments proposed. The information in this section provides background/context for the
Investment(s) requested, but does not represent the evaluation criteria used by DHS for rating
individual Investment proposals. It will also be used to confirm eligibility.
I.A. Identify the point(s) of contact for this Investment.
Response Type
Narrative
Word Limit
Not to exceed ½ page

14

Response Instructions

Identify the following:
•
•
•
•
•
•

Point of contact’s (POC) name and title;
POC’s full mailing address;
POC’s telephone number;
POC’s fax number;
POC’s email address; and,
Also include the corresponding information for the single authorizing
official for your organization—i.e., the individual authorized to sign a
grant award.

Response:

II. Strategic and Program Priorities
II.A. Describe how the Investment will address one of the TSP Priorities.
Response Type
Narrative
Page Limit
Not to exceed 1 page
Response Instructions
Briefly discuss which of the following FY 2009 TSP priorities this Investment
will address:
1.
2.
3.
4.
5.
6.

Tractor and Trailer Tracking Systems
Panic Button Capability
Tractor Activation Capability
Communications Plan
Planning
Monitoring and Analysis

•

Describe the specific needs and/or resource limitations that need to be
addressed;
Identify specific equipment needs
Describe progress made on the security project this investment will be
completing

•
•

Response

III. Impact
III.A. Discuss how the implementation of this investment will decrease or mitigate risk. Describe
how the risk reduction potential of this Investment.
Response Type
Narrative
Page Limit
Not to exceed ½ page
Response Instructions
Describe the security related impact to the trucking industry if you do not
receive funding for this project.
• Discuss how this investment will reduce risk (e.g., reduce
vulnerabilities or mitigate the consequences of an event) in a cost
effective manner by addressing the needs and priorities identified in
earlier analysis and review;
• Identify the nature of the risk and how the risk and need are related to
show how addressing the need through this investment will also
mitigate risk (e.g., reduce vulnerabilities or mitigate the consequences
of an event)

15

Response

IV. Funding & Implementation Plan
IV.A. Investment Funding Plan.
Response Type
Numeric and Narrative
Page Limit
Not to exceed 1 page
Response Instructions
• Complete the chart below to identify the amount of funding you are
requesting for this Investment only;
• Funds should be requested by allowable cost categories (as identified in the
FY 2009 TSP Program Guidelines and Application Kit);
• Applicants must make funding requests that are reasonable and justified by
direct linkages to activities outlined in this particular Investment; and,
• Applicants must indicate whether additional funding (non-FY 2009 TSP) will
be leveraged for this Investment.
Note: Investments will be evaluated on the expected impact on security
relative to the amount of the investment (i.e., cost effectiveness). An itemized
Budget Detail Worksheet and Budget Narrative must also be completed for this
investment.
Response

The following template illustrates how the applicants should indicate the amount of FY
2009 TSP funding required for the Investment, how these funds will be allocated across
the cost elements, and the required match for Tier I, and any match being offered for
Tier II:
FY 2009 TSP Request
Total

Match

Grand Total

Tractor and Trailer Tracking System
Panic Button Capability
Tractor Activation Capability
Communications Plan
Planning
Monitoring and Analysis
M&A
Total

IV.B.

Discuss funding resources beyond this grant request that have been identified and will be
leveraged to support the implementation and sustainment of this Investment. Discuss your
long-term sustainability plans for the investment after these grant funds have been
expended.
Response Type
Narrative
Page Limit
Not to exceed ½ page
Response Instructions
• Give the expected total life-span for this investment if fully implemented and
sustained through completion
• Discuss any other funding sources (e.g., non-TSP grant programs, public or
private agreements, future fiscal year grants) that you plan on utilizing for
the implementation and/or continued sustainment of this Investment;
• If no other funding resources have been identified, provide rationale as to
why the requested FY 2009 TSP funding is sufficient for the implementation

16

and sustainment of this Investment.
Response
IV.C.

Provide a high-level timeline, milestones and dates, for the implementation of this
Investment. Up to 10 milestones may be provided.

Response Type
Page Limit
Response Instructions

Narrative
Not to exceed 1 page
• Only include major milestones that are critical to the success of the
Investment;
• While up to 10 milestones may be provided, applicants should only list as
many milestones as necessary;
• Milestones are for this discrete Investment – those that are covered by the
requested FY 2009 TSP funds and will be completed over the 36-month
grant period;
• Milestones should be kept to high-level, major tasks that will need to occur;
• Identify the planned start date associated with the identified milestone. The
start date should reflect the date at which the earliest action will be taken to
start achieving the milestone;
• Identify the planned completion date when all actions related to the
milestone will be completed and overall milestone outcome is met; and,
• List any relevant information that will be critical to the successful completion
of the milestone (such as those examples listed in the question text above).

Response

17

Sample Budget Detail Worksheet
Purpose. The Budget Detail Worksheet may be used as a guide to assist applicants in

the preparation of the budget and budget narrative. You may submit the budget and
budget narrative using this form or in the format of your choice (plain sheets, your own
form, or a variation of this form). However, all required information (including the budget
narrative) must be provided. Any category of expense not applicable to your budget
may be deleted.
A. Personnel. List each position by title and name of employee, if available. Show the annual
salary rate and the percentage of time to be devoted to the project. Compensation paid for
employees engaged in grant activities must be consistent with that paid for similar work within
the applicant organization.
Name/Position

Computation

Cost

Note: Personnel costs are only allowable for direct management and administration of the
grant award, i.e., preparation of mandatory post-award reports.
TOTAL _________

B. Fringe Benefits. Fringe benefits should be based on actual known costs or an established
formula. Fringe benefits are for the personnel listed in budget category (A) and only for the
percentage of time devoted to the project. Fringe benefits on overtime hours are limited to
FICA, Workman’s Compensation, and Unemployment Compensation.
Name/Position

Computation

TOTAL

_________

Total Personnel & Fringe Benefits

_________

Cost

C. Travel. Itemize travel expenses of project personnel by purpose (e.g., staff to training, field
interviews, advisory group meeting, etc.). Show the basis of computation (e.g., six people to 3day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals for
trainees should be listed separately. Show the number of trainees and unit costs involved.
Identify the location of travel, if known. Indicate source of Travel Policies applied, Applicant or
Federal Travel Regulations.

Purpose of Travel

Location

Item

TOTAL _________

18

Computation Cost

D. Equipment. List non-expendable items that are to be purchased. Non-expendable
equipment is tangible property having a useful life of more than two years. (Note:
Organization’s own capitalization policy and threshold amount for classification of equipment
may be used). Expendable items should be included either in the “Supplies” category or in the
“Other” category. Applicants should analyze the cost benefits of purchasing versus leasing
equipment, especially high cost items and those subject to rapid technical advances. Rented or
leased equipment costs should be listed in the “Contractual” category. Explain how the
equipment is necessary for the success of the project. Attach a narrative describing the
procurement method to be used.
Item

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
TOTAL _________

E. Supplies. List items by type (office supplies, postage, training materials, copying paper, and
other expendable items such as books, hand held tape recorders) and show the basis for
computation. (Note: Organization’s own capitalization policy and threshold amount for
classification of supplies may be used). Generally, supplies include any materials that are
expendable or consumed during the course of the project. These costs are applicable to the
overall M&A cap of three percent (3%).

Supply Items

Computation

Cost

TOTAL _________

F. Consultants/Contracts. Indicate whether applicant’s formal, written Procurement Policy or
the Federal Acquisition Regulations are followed.
Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly
or daily fee (8-hour day), and estimated time on the project.
Name of Consultant

Service Provided

Computation Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ___________
Consultant Expenses: List all expenses to be paid from the grant to the individual consultant
in addition to their fees (i.e., travel, meals, lodging, etc.)

19

Item

Location

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal __________
Contracts: Provide a description of the product or services to be procured by contract and an
estimate of the cost. Applicants are encouraged to promote free and open competition in
awarding contracts. A separate justification must be provided for sole source contracts in
excess of $100,000.
Item

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ________
TOTAL __________

G. Other Costs. List items (e.g., rent, reproduction, telephone, janitorial or security services,
and investigative or confidential funds) by major type and the basis of the computation. For
example, provide the square footage and the cost per square foot for rent, and provide a
monthly rental cost and how many months to rent. These costs are applicable to the overall
M&A cap of three percent (3%).

Description

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.

TOTAL _________

H. Indirect Costs. Indirect costs are allowed only if the applicant has a Federally approved
indirect cost rate. A copy of the rate approval, (a fully executed, negotiated agreement), must
be attached. If the applicant does not have an approved rate, one can be requested by
contacting the applicant’s cognizant Federal agency, which will review all documentation and
approve a rate for the applicant organization, or if the applicant’s accounting system permits,
costs may be allocated in the direct costs categories.
Description

Computation

20

Cost

TOTAL _________

Budget Summary. When you have completed the budget worksheet, transfer the totals for
each category to the spaces below. Compute the total direct costs and the total project costs.
Indicate the amount of Federal funds requested and the amount of non-Federal funds that will
support the project.

Budget Category

Federal Amount

Non-Federal Amount

A. Personnel

__________

___________

B. Fringe Benefits

__________

___________

C. Travel

__________

___________

D. Equipment

__________

__________

E. Supplies

__________

___________

F. Consultants/Contracts

__________

___________

G. Other

__________

___________

__________

__________

__________

___________

__________

__________

Total Direct Costs
H. Indirect Costs
* TOTAL PROJECT COSTS
Federal Request
Non-Federal Amount

__________
__________

21

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
1. Management and Administration (M&A) Limits
The grant recipient may retain a maximum of three percent (3%) of the funds
awarded for management and administration costs associated with the
implementation of the TSP award. FY 2009 TSP funds may be used for the
following M&A costs in the following manner:
• Hiring of full-time or part-time staff or contractors/consultants to assist with
the management of the FY 2009 TSP
• Hiring of full-time or part-time staff or contractors/consultants and expenses
related to meet compliance with reporting/data collection requirements,
including data calls
• Meeting-related expenses
• Acquisition of authorized office equipment, including personal computers,
laptop computers, printers and LCD projectors dedicated solely to the use
of TSP project activities.
2. Minimum Project Amounts
• For Tier I applicants, the minimum amount that may be requested is
$25,000
• For Tier II applicants, the minimum amount that may be requested is $10,000
3. Allowable Costs
Funding may be used in the following categories:

22

•

Tractor and Trailer Tracking Systems: Costs associated with planning,
purchase, and installation, as well as up to two years of lifecycle costs, are
allowable provided that these costs do not extend beyond the period of
performance of the grant.

•

Panic Button Capability: Costs associated with planning, purchase, and
installation, as well as up to two years of lifecycle costs, are allowable provided
that these costs do not extend beyond the period of performance of the grant.

•

Tractor Activation Capability: Costs associated with planning, purchase, and
installation, as well as up to two years of lifecycle costs, are allowable provided
that these costs do not extend beyond the period of performance of the grant.

•

Communications Plan: Costs associated with planning, development, and
execution of a communications plan are allowable, including training, drills, and
exercises on the plan itself.

•

Planning for Disaster Commodity Transportation: Costs associated with
developing plans to improve the effectiveness of transportation and distribution of
supplies and commodities during catastrophic events are allowable.

•

Monitoring and Tracking: Costs associated with developing a system for DHS
to monitor, collect and analyze tractor and trailer tracking information are
allowable.

3. Unallowable Costs
The following costs are unallowable under the FY 2009 TSP:
• Construction and renovation costs
• Personnel costs (other than those specified above)
Federal employees are prohibited from serving in any capacity (paid or unpaid) on
any proposal submitted under this program. Federal employees may not receive
funds under these awards.

23

PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
Applicants must comply with all administrative requirements including Investment
Justifications, budgets and application process requirements described herein. Having
met all administrative requirements, applications will be evaluated and ranked based on:
1. Feasibility of the investment to improve security when implemented as
designed.
2. Timelines with regard to the ability to complete the proposed project within
specified timeframes within the overall period of performance.
3. Sustainability without additional Federal funds. Investments should show a high
likelihood of success or continued success without additional Federal assistance,
as well as offer a long-term sustainability plan.
B. Review and Selection Process
A national review panel consisting of subject matter experts from Federal agencies will
review and assess applications based on the criteria outlined in Section A. Priority will
be given to those applicants who put forth applications that complete the
comprehensive tracking elements for the transport of Tier I commodities.
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.

24

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.
The period of performance is 36 months. Any unobligated funds will be deobligated at
the end of the 90 day close-out period. Extensions to the period of performance will be
considered only through formal requests to FEMA with specific and compelling
justifications why an extension is required.
B. Administrative and National Policy Requirements
1. 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:
1.1 -- 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)
1.2 -- 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
25

1.3 -- Audit Requirements.
• OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations
1.4 -- 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.
2. Non-supplanting Requirement. Grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Applicants or grantees may be required to supply documentation
certifying that a reduction in non-Federal resources occurred for reasons other than
the receipt or expected receipt of Federal funds.
3. Technology Requirements.
3.1 -- 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.
3.2 -- 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.
3.3 -- 28 CFR Part 23 Guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 CFR Part
23, Criminal Intelligence Systems Operating Policies, if this regulation is
determined to be applicable.
4. Administrative Requirements.
4.1 -- 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

26

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.
4.2 -- Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002 (Public
Law 107-296) (CII Act), created a new framework, which enables State and local
jurisdictions and members of the private sector to voluntarily submit sensitive
information regarding critical infrastructure to DHS. The Act also provides
statutory protection for voluntarily shared CII from public disclosure and civil
litigation. If validated as PCII, these documents can only be shared with
authorized users who agree to safeguard the information.
PCII accreditation is a formal recognition that the covered government entity has
the capacity and capability to receive and store PCII. DHS encourages all
entities 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 self-inspection program. For additional information about PCII or
the accreditation process, please contact the DHS PCII Program Office at [email protected].
4.3 -- 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.

27

•

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.
4.4 -- Services to limited English proficient (LEP) persons. Recipients of
FEMA financial assistance are required to comply with several Federal civil rights
laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws
prohibit discrimination on the basis of race, color, religion, natural origin, and sex
in the delivery of services. National origin discrimination includes discrimination
on the basis of limited English proficiency. To ensure compliance with Title VI,
recipients are required to take reasonable steps to ensure that LEP persons have
meaningful access to their programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where
necessary. The grantee is encouraged to consider the need for language
services for LEP persons served or encountered both in developing their
proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional information,
see http://www.lep.gov.
4.5 -- 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:

28

•

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

•

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

•

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

•

Lessons Learned Information Sharing (LLIS) resource page on
Emergency Planning for Persons with Disabilities and Special
Needs: A true one-stop resource shop for planners at all levels of
government, non-governmental organizations, and private sector entities,
the resource page provides more than 250 documents, including lessons
learned, plans, procedures, policies, and guidance, on how to include
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.

4.6 -- 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:

29

•

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).

4.7 -- Environmental and Historic Preservation Compliance. FEMA is
required to consider the potential impacts to the human and natural environment
of projects proposed for FEMA funding. FEMA, through its Environmental and
Historic Preservation (EHP) Program, engages in a review process to ensure that
FEMA-funded activities comply with various Federal laws including: National
Environmental Policy Act, National Historic Preservation Act, Endangered
Species Act, and Executive Orders on Floodplains (11988), Wetlands (11990)
and Environmental Justice (12898). The goal of these compliance requirements
is to protect our nation’s water, air, coastal, wildlife, agricultural, historical, and
cultural resources, as well as to minimize potential adverse effects to children
and low-income and minority populations.
The grantee shall provide any information requested by FEMA to ensure
compliance with applicable Federal EHP requirements. Any project with the
potential to impact EHP resources cannot be initiated until FEMA has completed
its review. Grantees may be required to provide detailed information about the
project, including the following: location (street address or map coordinates);
description of the project including any associated ground disturbance work,
extent of modification of existing structures, construction equipment to be used,
staging areas, access roads, etc.; year the existing facility was built; natural,
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

30

report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
result of the EHP review. Any change to the approved project scope of work will
require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation
Office. Any construction activities that have been initiated without the
necessary EHP review and approval will result in a non-compliance finding
and will not eligible for FEMA funding.
For more information on FEMA’s EHP requirements, grantees 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.
4.8 -- 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.
4.9 -- 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
31

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."
4.10 -- 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."
4.11 -- 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.
4.12 -- National Preparedness Reporting Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. For
grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and
complying with these national preparedness reporting requirements. FEMA will
work with grantees to develop tools and processes to support this requirement.
FEMA anticipates using this information to inform future-year grant program
funding decisions. Award recipients must agree to cooperate with any
assessments, national evaluation efforts, or information or data collection
requests, including, but not limited to, the provision of any information required
for the assessment or evaluation of any activities within their grant agreement.
This includes any assessments, audits, or investigations conducted by the
Department of Homeland Security, Office of the Inspector General, or the
Government Accountability Office.
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.

32

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 submitting CAPRs on a semi-annual basis; CAPRs
should address performance measures and activities as described in the Investment
Justification(s). The applicable entities are responsible for completing and submitting
the CAPR reports.
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.
The following information should be included in these semi-annual reports:
• Status of actions to implement specific Security Action Items (SAIs) including
any delays encountered
• Number of shipments tracked by DOT category
• How many days equipment associated with SAIs was not in operation
The final CAPR submitted with closeout materials should include the following
information:
• Cost to implement specific SAIs
• Effectiveness of SAIs
• Challenges implementing SAIs
• Other security practices that should be considered for implementation
CAPRs must be filed online at https://grants.ojp.usdoj.gov. Guidance and
instructions can be found at https://grants.ojp.usdoj.gov/gmsHelp/index.html.
Required submission: CAPR (due semi-annually).
3. 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
33

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

34

The recipient is responsible for monitoring award activities, to include sub-awards, to
provide reasonable assurance that the Federal award is administered in compliance
with requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining of adequate financial records, and
refunding expenditures disallowed by audits.
Grant Close-Out Process
Within 90 days after the end of the period of performance, grantees must submit a final
FSR and final CAPR detailing all accomplishments throughout the project. After these
reports have been reviewed and approved by FEMA, a close-out notice will be
completed to close out the grant. The notice will indicate the project as closed, list any
remaining funds that will be deobligated, and address the requirement of maintaining
the grant records for three years from the date of the final FSR. The grantee is
responsible for returning any funds that have been drawndown but remain as
unliquidated on grantee financial records.
Required submissions: (1) final SF-269a, due 90 days from end of grant period;
and (2) final CAPR, due 90 days from the end of the grant period.
Post Grant Security Assessment
This assessment should cover (at a minimum) items specified in the Risk Management
Self-Evaluation Form (RMSEF) which will be provided by TSA to successful applicants.
The completed Post Grant Security Assessment shall be provided to TSA.

35

PART VII.

FEMA CONTACTS
This section describes several resources that may help applicants in completing a
FEMA grant application. During the application period DHS will identify multiple
opportunities for a cooperative dialogue between the Department and applicants. This
commitment is intended to ensure a common understanding of the funding priorities and
administrative requirements associated with the FY 2009 TSP 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

36

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.

37

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

38

PART VIII.

OTHER INFORMATION
Specific to For-Profit Entities
For-profit organizations are eligible to apply for funding under the TSP. The following
requirements apply specifically to for-profit entities receiving Federal funding from
FEMA.
1. Recipients of TSP funds must comply with the contract cost principles as defined in
the Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles and
Procedures, Contracts with Commercial Organizations.
2. For purposes of financial and procedural administration of the TSP, recipients must
comply with 2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit
Organizations (OMB Circular A-110) will apply, excluding Sections 40-48.
3. Recipient of TSP funds agree that this award may be terminated in accordance with
2 CFR Part 215.61. If the Federal Government determines that a grant will be
terminated, it will be carried out in accordance with the process specified in Part 49
of the FAR.
4. Recipients of TSP funds may not make a profit as a result of this award or charge a
management fee for the performance of this award.
5. Recipients of TSP funds must have a financial audit and compliance audit performed
by qualified individuals who are organizationally, personally, and externally
independent from those who authorize the expenditure of federal funds. This audit
must be performed in accordance with the United States General Accountability
Office Government Auditing Standards. The audit threshold contained in OMB
Circular A-133 applies. This audit must be performed on a program-wide basis to
ascertain the effectiveness of financial management systems and internal
procedures that have been established to meet the terms and conditions of the
award. The management letter must be submitted with the audit report. Recipient
audit reports must be submitted no later than nine (9) months after the close of each
fiscal year during the term of the award. The distribution of audit reports shall be
based on requirements in the current edition of 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).
Note: If your audit disclosed findings or recommendations, you must include with
your audit report a corrective action plan containing the following: (1) The name and
number of the contact person responsible for the corrective action plan; (2) specific

39

steps taken to comply with the recommendations; (3) a timetable for performance or
implementation dates for each recommendation; and (4) descriptions of monitoring
to be conducted to ensure implementation.

Security Action Items
General Security:
1) Security Assessment and Security Plan Requirements (TIER I HSSM, TIER
II HSSM) – Motor carriers are required by Pipeline and Hazardous Materials
Safety Administration (PHMSA) regulations in 49 CFR Part 172, Subpart I to
develop and implement security plans to address security risks related to
the transportation of hazardous materials. TSA recommends that employers
review their security assessment and determine the security action items
which may be appropriate to address their assessed risks. To obtain further
guidance on the security planning process, employers should review the
Federal Motor Carrier Safety Administration (FMCSA) Guide to Developing
an Effective Security Plan and the PHMSA document Risk Management
Self-Evaluation Framework (RMSEF). These guidance materials can be
found on the FMCSA website at http://www.fmcsa.dot.gov/ and the PHMSA
website at http://www.phmsa.dot.gov/.
2) Awareness of Industry Security Practices (TIER I HSSM, TIER II HSSM) –
Employers should become familiar with security practices recommended by
industry groups and trade associations to further enhance transportation
security. Examples include the American Chemistry Council’s (ACC)
Responsible Care Program, the Chlorine Institute’s Security Management
Plan, the International Cargo Security Council and other entities offering
similar security guidance. Employers should review these security practices
and consider their use in mitigating the assessed risks.
3) Inventory Control Process (TIER I HSSM, TIER II HSSM) – Employers should
implement procedures to maintain accountability for their containers,
cylinders, and vehicles at all times while in transport throughout the supply
chain. Inventory control information should include: pertinent shipping
information; material location; tracking processes; and verification
procedures.
4) Business and Security Critical Information (TIER I HSSM, TIER II HSSM) –
Employers should implement policies to protect security critical information.
This policy should address current methods of communication between
shippers, carriers, third-party logistic companies, and receivers. Information
flow should be reduced to that which is essential to accomplish the task of
transporting the hazardous material shipments. Communications and
information systems should be protected from unauthorized access. This
includes telecommunications, computer systems, printed materials, verbal
communications and all networks on which they operate.

40

Personnel Security:
5) Possession of a Valid Commercial Drivers License-Hazardous Materials
Endorsement (TIER I HSSM, TIER II HSSM) – TSA is aware that motor
carriers are required by FMCSA regulations in 49 CFR Part 383 to verify
that a person employed to drive a vehicle containing hazardous materials
(which includes TIER I HSSM and TIER II HSSM) has a valid commercial
drivers license (CDL) with a hazardous materials endorsement (HME). A
driver with a valid CDL with an HME will have undergone a Security Threat
Assessment conducted by the Transportation Security Administration (TSA)
under 49 CFR Part 1572. TSA is not recommending that drivers with HMEs
undergo additional background checks under these voluntary action items.
6) Background checks for highway transportation sector employees other
than motor vehicle drivers with a valid CDL with hazardous materials
endorsement (TIER I HSSM, TIER II HSSM) – During the hiring process,
an employer in the highway-related hazmat supply chain should conduct a
background check for employees and contractors with unescorted access to
motor vehicles (in transport), the motor carrier facility, or information critical
to the hazmat transportation. Further guidance on the recommended scope
and procedures for these voluntary background checks, to include a criminal
background check, verification of social security number, and verification of
immigration status, is available on the TSA website
http://www.tsa.gov/what_we_do/tsnm/highway/hssm_sai.shtm. An employer
should also establish a method of redress as described on the website
above. This SAI may also be satisfied by the CDL HME background check
requirement or background checks mandated by other Government
agencies, such as the ATF’s Employee Possessor Questionnaire, provided
that the background check meets or exceeds the guidance on the website.
7) Security Awareness Training for Employees (TIER I HSSM, TIER II HSSM) –
In support of the PHMSA security training requirements in 49 CFR 172.704,
employers should have employees complete TSA-sponsored domain
awareness training, the TSA Hazmat Motor Carrier Security SelfAssessment Training Program or other equivalent security training
programs. For more information see
www.tsa.gov/what_we_do/tsnm/highways.shtm. Employers may wish to
establish security awareness training programs that at a minimum address
methods to: restrict access to sensitive information on HSSM such as
shipping papers, dates of shipment and arrival, destination and routing
information; recognize suspicious activities of potential terrorists; assess
vulnerabilities and apply security measures; and notify the appropriate
authorities of unusual activities.

41

Unauthorized Access:
8) Access Control System for Drivers (in addition to CDL) (TIER I HSSM, TIER
II HSSM) – Employers should implement an access control system that
includes issuing company photo IDs or other visible forms of company
identification to all drivers. These company IDs should be used by drivers to
gain access to company designated restricted areas (such as vehicle key
control room, loading or unloading processes), as appropriate, and also for
shippers, consignees and others to verify the drivers’ current employment
status.
9) Access Control System for Facilities Incidental to Transport (TIER I HSSM,
TIER II HSSM) – Employers should implement an access control system
that includes issuing company photo IDs or other visible forms of employee
identification to all employees, vendors, contractors, and visitors who
require unescorted access to restricted areas on a permanent or temporary
basis, as appropriate. This system should control access to restricted areas
including plants, data centers and IT systems, loading and unloading
facilities, storage facilities, and other critical areas as designated by
company management. Company-issued ID cards and other forms of
employee identification should be required to be displayed by the holder at
all times while on company property. Employers should also establish a
method of challenging individuals who do not display the appropriate
identification. It is expected that such a system will be unnecessary at
businesses with fewer than 10 employees.
En-route Security:
10) Establish Communications Plan (TIER I HSSM, TIER II HSSM) - A
communication plan should be established to include standard operating
procedures (SOP) for communications between drivers, appropriate
company personnel, and emergency services agencies. This plan should
include the appropriate two-way communication technologies required to
implement the communication plan, such as terrestrial or satellite-based
systems. This is not intended to preclude the use of personal cell phones.
Employers should encourage and employees should follow the proper use
of cell phones including observing state and local cell phone laws.
11) Establish Appropriate Vehicle Security Program (TIER I HSSM, TIER II
HSSM) – Employers should ensure that all company vehicles (power units
including but not limited to tractors, straight trucks, pickups, and service
units) are secured when unattended through use of a primary and
secondary securement systems. Primary methods should include the
following:
a) Ensuring that all company vehicles have the capability to be locked.
b) Adopt a written security policy that includes:

42

i) procedures such as a key control program when a vehicle is not in
active use, and;
ii) ensuring the vehicle engine is turned off, remove keys from
vehicle, closing windows, and locking doors when the vehicle is in
active use but unattended.
Secondary securement methods should include the following:
a) Steering wheel locking system,
b) Air brake locking system,
c) Wheel locks, or
d) Other appropriate lockout control process.
12) Establish Appropriate Cargo Security Program to Prevent Theft or
Sabotage of Cargo Containers (TIER I HSSM, TIER II HSSM) –
Employers should ensure that all cargo containers (including but not limited
to trailers, tankers, straight trucks, security cages, and flatbeds) are secured
when in use but unattended through use of a primary and secondary
securement system. The primary methods should include the following:
a) Ensuring that all cargo containers have the capability to be locked.
b) Adopt a written security policy that includes:
i) a key control program (if appropriate), and
ii) ensuring a container is provided with a mechanical or electrical
method of locking.
Secondary securement method should include the following:
a) Glad hand locks,
b) King pin locks,
c) Wheel locks, or
d) Other appropriate lockout control process
13) Implement a Seal/Lock Control Program to Prevent Theft or Sabotage of
Cargo (TIER I HSSM, TIER II HSSM) – Employers should implement a
seal/lock program to prevent theft or sabotage of the contents of cargo
containers and cylinders when in transport, when unattended by company
personnel, or when at facilities incidental to transport. The following is
recommended:
Tier I HSSM – High security locks or electronic seals
Tier II HSSM – Tamper evident (indicative) seals.
When establishing a seal/lock control program employers should review the
“User’s Guide on Security Seals for Domestic Cargo” (January 2007)
developed jointly by the Department of Homeland Security and Department
of Defense. A copy of this document may be requested by sending
electronic mail to [email protected].
14) High Alert Level Protocols (TIER I HSSM, TIER II HSSM) – Employers
should establish policies governing operations during periods of increased
threat conditions under the Homeland Security Advisory System (for

43

example when the DHS Threat Condition is raised from Orange to Red).
These protocols should be capable of being implemented when deemed
appropriate by an employer or appropriate law enforcement or homeland
security officials. Alternatives to continued routine operations include:
a) Identifying secure locations to seek refuge,
b) For shipments exceeding 200 miles, identify private sector or law
enforcement escorts to provide increased vehicle security, surveillance,
and communications between local law enforcement officials and the
motor vehicle while en route for shipments exceeding 200 miles or
c) Other appropriate security measures identified by the employer.
Examples of planning for secure locations include mutual agreements with
industry partners and stakeholders or utilizing state weigh stations and
inspection facilities that can provide law enforcement protection.
15) Establish Security Inspection Policy and Procedures (TIER I HSSM, TIER
II HSSM) – Employers should establish a security inspection policy and
procedures for drivers to conduct security inspections. Security inspections
should be performed in conjunction with required safety inspections
conducted under 49 CFR Part 392 before operation of the vehicle. These
security inspections should occur initially at the beginning of the driver’s shift
or trip (pre-departure) and after any stop en-route in which the vehicle is left
unattended. The security inspection should consist of all areas where a
suspicious item could be placed, training to recognize suspicious items, and
reporting and response procedures to follow if a suspicious item or package
is found.
16) Establish Reporting Policy and Procedures (TIER I HSSM, TIER II HSSM)
– Employers should implement reporting procedures for drivers and nondriver employees to follow when reporting suspicious incidents, threats, or
concerns regarding transportation facilities (terminal, distribution center,
etc.) or company vehicles. These procedures should include at a minimum;
appropriate company points of contact, appropriate law enforcement
agencies, and the appropriate emergency response telephone number
required in 49 CFR 172.604 and 172.606.
17) Shipment Pre-Planning, Advance Notice of Arrival and Receipt
Confirmation Procedures with Receiving Facility (TIER I HSSM only) –
The shipper (consignor), motor carrier and receiver (consignee) should
conduct shipment pre-planning to ensure shipments are not released to the
motor carrier until they can be transported to destination with the least
public exposure and minimal delay in transit. Shipment pre-planning should
include establishing the estimated time of arrival (ETA) agreeable to
consignor, motor carrier, and consignee; load specifics (shipping paper
information); and driver identification. When shipments are in transit, the
motor carrier should coordinate with consignee to confirm the preestablished ETA will be met, or agree on a new ETA. Upon receipt of the

44

shipment consignees should notify the shipper that the shipment has arrived
on schedule and materials are accounted for. Methods for advance notice
and confirmation of receipt of shipments include electronic mail and voice
communications. When practical, consignees should immediately alert the
appropriate shipper or motor carrier if the shipment fails to arrive on
schedule or if a material shortage is discovered. Methods for immediate
alert notifications should be made by voice communications only. Where
immediate notification is not practical (for example at unmanned facilities),
the consignor, the motor carrier, and consignee should agree on alternate
confirmation (method and time) of delivery and receipt. Consignees should
make every effort possible to accept a shipment that arrives during nonbusiness hours due to unforeseen circumstances.
18) Preplanning Routes (TIER I HSSM only) – Employers should ensure
preplanning of primary and alternate routes. This preplanning should seek
to avoid or minimize proximity to highly populated urban areas or critical
infrastructure such as bridges, dams, and tunnels. Policies governing
operations during periods of Orange or Red alert levels under the Homeland
Security Advisory System should plan for alternate routing for TIER I HSSM
shipments away from highly populated urban areas and critical
infrastructure. The motor carrier or law enforcement officials may determine
when to implement alternate routing. Drivers should be encouraged to notify
the company’s dispatch center when substantial or non-routine deviation
from the route is necessary.
19) Security for Trips Exceeding Driving Time under the Hours of Service of
Drivers Regulation (49 CFR Part 395) - (TIER I HSSM only) – Employers
should examine security in light of hours of service available and take steps
to mitigate the vulnerabilities associated with extended rest stops for driver
relief. Examples include methods such as constant vehicle attendance or
visual observation with the vehicle, driver teams, or vetted companions.
Other examples include arranging secure locations along the route through
mutual agreement with industry partners and stakeholders or State weigh
stations and inspection facilities that provide law enforcement protection.
20) Dedicated Truck (TIER I HSSM only) – Employers should implement policies
to ensure that, except under emergency circumstances, contracted
shipments remain with the primary carrier and are not subcontracted,
driver/team substitutions are not made, and transloading does not occur
unless the subcontractor has been confirmed to comply with applicable
Federal safety and security guidance and regulations and company security
policies.
21) Tractor Activation Capability (TIER I HSSM only) – Employers should
implement security measures that require driver identification by login and

45

password or biometric data to drive the tractor. Companies should provide
written policies and instructions to drivers explaining the activation process.
22) Panic Button Capability (TIER I HSSM only) – Employers should implement
means for a driver to transmit an emergency alert notification to dispatch.
“Panic Button” technology enables a driver to remotely send an emergency
alert notification message either via Satellite or Terrestrial Communications,
and/or utilize the remote Panic Button to disable the vehicle.
23) Tractor and Trailer Tracking Systems (TIER I HSSM only) – Employers
should have the ability of implementing methods of tracking the tractor and
trailer throughout the intended route with satellite and/or land-based
wireless GPS communications systems. Tracking methods for the tractor
and trailer should provide current position by latitude and longitude.
Geofencing and route monitoring capabilities allow authorized users to
define and monitor routes and risk areas. If the tractor and/or trailer deviates
from a specified route or enters a risk area, an alert notification should be
sent to the dispatch center. An employer or an authorized representative
should have the ability to remotely monitor trailer “connect” and “disconnect”
events. Employers or an authorized representative should have the ability to
poll the tractor and trailer tracking units to request a current location and
status report. Tractor position reporting frequency should be configured at
not more than 15-minute intervals.
Trailer position reporting frequency should be configured to provide a
position report periodically when the trailer has been subject to an
unauthorized disconnect from the tractor. The reporting frequency should be
at an interval that assists the employer in locating and recovering the trailer
in a timely manner. The tractor and trailer tracking system should be tested
periodically and the results of the test should be recorded.

46

Listing of Tier I Highway Security Sensitive Materials
DOT Hazard Class
(see 49 CFR 171.8 for definitions of
these hazard classes)
Division 1.1 Explosives
Division 1.2 Explosives
Division 1.3 Explosives
Division 2.2 Non-Flammable Gas
(also meeting the definition of a
material poisonous by inhalation2 )
Division 2.3 Toxic (Poison) Gas
Division 2.3 Toxic (Poison) Gas
Class 3 Flammable Liquids (also
meeting the definition of a material
poisonous by inhalation4)
Division 6.1 Poisonous Materials
(also meeting the definition of a
material poisonous by inhalation5 )
Division 6.1 Poisonous Materials
(also meeting the definition of a
material poisonous by inhalation6 )
Class 7 Radioactive Materials, (10
CFR part 110, Appendix P, Category
1 materials)

Class 8 Corrosive Materials (also
meeting the definition of a materials
poisonous by inhalation7 )
Other Materials

Threshold Quantity
(unless otherwise noted see
49 CFR 171.8 for definitions)
Any quantity
Any quantity
Any quantity
Anhydrous ammonia (UN 1005) in single bulk
packaging > 3000 L (792 gal) or 3000 kg (6614 lbs) 3
Hazard zone A & B > 5 lbs. in a single package.
Hazard zone C & D in single bulk packaging > 3000 L
(792 gal) or 3000 kg (6614 lbs).
PG I in single bulk packaging > 3000 L (792 gal) or
3000 kg (6614 lbs.)
Hazard zone A & B > 5 lbs. in a single package

Hazard zone C & D in single bulk packaging > 3000 L
(792 gal) or 3000 kg (6614 lbs).
International Atomic Energy Agency (IAEA) Code of
Conduct Category 1 and 2 materials including
Highway Route Controlled quantities as defined in 49
CFR 173.403 or known as radionuclides in forms
listed as RAM-QC by the Nuclear Regulatory
Commission.
Packing group I and II in single bulk packaging >
3000 L (792 gal) or 3000 kg (6614 lbs.)
Any quantity of chemicals listed by the Chemical
Weapons Convention on Schedules 1, 2, or 3.8

*Inasmuch as gasoline does not meet the definition of Tier 1 Highway Safety Sensitive Materials, grant
funds cannot be used to install tracking equipment on gasoline tankers.
2
See 49 CFR 171.8 for the definition of materials poisonous by inhalation
3
TSA recognizes the provisions for agricultural operations contained in 49 CFR 173.5
4
See 49 CFR 171.8 for the definition of materials poisonous by inhalation
5
See 49 CFR 171.8 for the definition of materials poisonous by inhalation
6
See 49 CFR 171.8 for the definition of materials poisonous by inhalation
7
See 49 CFR 171.8 for the definition of materials poisonous by inhalation
8
Chemicals listed under this designation as Chemicals Weapons Convention are expected to be
captured under the previously listed DOT Hazard Classes. They are listed in this Appendix as Other
Materials for completeness and are not intended to indicate a new hazard class.

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Pre-Priced Comprehensive Tracking Elements
Tractor and Trailer Tracking Systems Pricing
As part of the HAZMAT Truck Security Pilot Objective 1 efforts, research was conducted
by the Evaluation Team to identify applicable technology systems for testing. Part of this
effort involved documenting system capabilities and collection of pricing information (as
available). The results show a broad range of pricing options/schemas for commercially
available mobile communications/vehicle tracking systems. For the mobile
communications/vehicle tracking systems that could support the Truck Tracking Center
concept, hardware costs including installation range from $175 to $2,575 per power
unit. Ongoing monthly costs (service) range from $20 to $90 per power unit per month,
depending on messages/polling rates and type of service—terrestrial, satellite, or a
combination of both.
For this analysis, initial costs are assumed to be amortized over 3 years to derive a
monthly cost for initial investment, plus the cost of monthly service. The result is a range
of monthly costs from $25 to $136 per power unit per month, with the mean cost
approximately $75 per power unit per month.
•

3 Year Cost: $2700 per power unit

•

3 Year Cost: $2700 per trailer unit

Retrofit Panic Button Capability Pricing
This cost was calculated based on information presented in the FMCSA “Hazardous
Materials Safety and Security Technology Field Operational Test” report prepared by
SAIC for panic button technology. From this cost information, panic buttons resulted in
an incremental cost of $200 over a three-year period.
•

3 Year Cost: $200

Retrofit Tractor Activation Capability Costs
This cost was calculated based on information costs presented in the FMCSA
“Hazardous Materials Safety and Security Technology Field Operational Test” report
prepared by SAIC and contacted several vendors of this technology. Based on this
research, we assumed an average price of $520 per tractor for the initial technology
investment. There would then be an annual service fee of $100 per tractor. These
costs were summed to obtain the cost estimates of $620 for the first year and then $100
for each additional year.
•

3 Year Cost: $820 per power unit

48

Helpful Hints for Applicants
Are the following components included in the application package?
•

SF 424, SF 424 A, SF 424B, SF LLL

•

Investment Justifications for projects

•

Detailed Budgets containing only allowable costs

•

Current Security Plan

•

Current Security Assessment

•

MCS-150 Form

•

FMCSA Hazardous Materials Safety Permit

Are the following items addressed within the investment justification narratives and
detailed budgets?
•

Are minimum funding requirements satisfied, as addressed in Part IV?

•

For Tier I and II, is the cost-share requirement addressed?

•

Do the IJ and the detailed budget only include allowable costs?
o Are all of the expenses in the detailed budget addressed in the IJ
narrative?
o Does the information in the detailed budget align with the budget summary
in the IJ narrative?

•

Does the M&A total no more than 3% of the total project cost?

49