UASI - NSGP Program Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
URBAN AREAS SECURITY INITIATIVE
NONPROFIT SECURITY GRANT PROGRAM
GUIDANCE AND APPLICATION KIT

NOVEMBER 2008

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: Urban Areas Security Initiative (UASI) Nonprofit Security Grant
Program (NSGP)
Funding Opportunity Number: DHS-09-GPD-008-1974
Federal Agency Name: FEMA Grant Programs Directorate (GPD)
Announcement Type: Initial
Dates: Completed applications must be submitted no later than 11:59 PM EDT,
March 20, 2009.

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CONTENTS
Contents ...................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION ...................................................... 2
Part II. AWARD INFORMATION.................................................................................. 3
Part III. ELIGIBILITY INFORMATION.......................................................................... 5
A.
Eligible Applicants ................................................................................ 5
B.
Cost Sharing.......................................................................................... 6
C.
Restrictions ........................................................................................... 6
Part IV. APPLICATION AND SUBMISSION INFORMATION ..................................... 7
A.
Address to Request Application Package .......................................... 7
B.
Content and Form of Application ........................................................ 7
C.
Submission Dates and Times ............................................................ 12
D.
Intergovernmental Review.................................................................. 12
E.
Funding Restrictions .......................................................................... 12
Part V. APPLICATION REVIEW INFORMATION...................................................... 16
A.
Review Criteria .................................................................................... 16
B.
Review and Selection Process........................................................... 16
C.
Anticipated Announcement and Award Dates.................................. 18
Part VI. AWARD ADMINISTRATION INFORMATION .............................................. 19
A.
Notice of Award................................................................................... 19
B.
Administrative and National Policy Requirements .......................... 19
C.
Reporting Requirements .................................................................... 26
Part VII. FEMA CONTACTS ...................................................................................... 30

1

PART I.

FUNDING OPPORTUNITY DESCRIPTION
The Fiscal Year (FY) 2009 Urban Areas Security Initiative (UASI) Nonprofit Security
Grant Program (NSGP) provides funding support for target hardening activities to
nonprofit organizations that are at high risk of terrorist attack. While this funding is
provided specifically to high-risk nonprofit organizations under the Consolidated
Security, Disaster Assistance, and Continuing Appropriations Act, 2009 (Public Law
110-329), the $15,000,000 program seeks to integrate nonprofit preparedness activities
with broader State and local preparedness efforts. It is also designed to promote
coordination and collaboration in emergency preparedness activities among public and
private community representatives, State and local government agencies, and Citizen
Corps Councils.

2

PART II.

AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 NSGP, describes the basic distribution method
used to determine final grants awards, and identifies all eligible applicants for FY 2009
funding.
In FY 2008, $15,000,000 was also available through NSGP. FEMA received 621
applications, of which 232 eligible nonprofit organizations received 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 NSGP will be $15,000,000.
Each nonprofit organization may apply through their State for up to a $75,000 grant
award. The FY 2009 NSGP funds will be allocated to high-risk nonprofit organizations,
as described under section 501(c)(3) of the Internal Revenue Code of 1986, Title 26 of
the U.S.C., and exempt from tax under section 501(a) of such Code. The high-risk
nonprofit organizations must be located within one of the specific UASI-eligible Urban
Areas listed below in Table 1.

3

Table 1 – Eligible Urban Areas under the FY 2009 UASI Program

FY 2009 Tier 1 Urban Areas
7 Urban Areas
(CA)

Los Angeles/Long Beach Area

(NJ)

(CA)

Bay Area

(NY)

Jersey City/Newark Area
New York City Area

(DC)

National Capital Region

(TX)

Houston Area

(IL)

Chicago Area

FY 2009 Tier 2 Urban Areas
55 Urban Areas
(AZ)

Phoenix Area

(NV)

Las Vegas Area

(AZ)

Tucson Area

(NY)

Albany Area

(CA)

Riverside Area

(NY)

Buffalo Area

(CA)

Sacramento Area

(NY)

Rochester Area

(CA)

San Diego Area

(NY)

Syracuse Area

(CA)

Anaheim/Santa Ana Area

(OH)

Cincinnati Area

(CA)

Oxnard Area

(OH)

Cleveland Area

(CO)

Denver Area

(OH)

Columbus Area

(CT)

Bridgeport Area

(OH)

Toledo Area

(CT)

Hartford Area

(OK)

Oklahoma City Area

(FL)

Fort Lauderdale Area

(OK)

Tulsa Area

(FL)

Jacksonville Area

(OR)

Portland Area

(FL)

Miami Area

(PA)

Philadelphia Area

(FL)

Orlando Area

(PA)

Pittsburgh Area

(FL)

Tampa Area

(PR)

San Juan Area

(GA)

Atlanta Area

(RI)

Providence Area

(HI)

Honolulu Area

(TN)

Memphis Area

(IN)

Indianapolis Area

(TN)

Nashville Area

(KY)

Louisville Area

(TX)

Austin Area

(LA)

Baton Rouge Area

(TX)

Dallas/Fort Worth/Arlington Area

(LA)

New Orleans Area

(TX)

El Paso Area

(MA)

Boston Area

(TX)

San Antonio Area

(MD)

Baltimore Area

(UT)

Salt Lake City Area

(MI)

Detroit Area

(VA)

Richmond Area

(MN)

Twin Cities Area

(VA)

Norfolk Area

(MO)

Kansas City Area

(WA)

Seattle Area

(MO)

St. Louis Area

(WI)

Milwaukee Area

(NC)

Charlotte Area

4

PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
The Governor of each State and territory with an eligible FY 2009 Urban Areas Security
Initiative (UASI) Urban Area is required to designate a State Administrative Agency
(SAA) to apply for and administer the funds awarded under the NSGP. The SAA is the
only entity eligible to formally apply to FEMA for these funds.
To be eligible to receive FY 2009 NSGP funding, applicants must meet National
Incident Management System (NIMS) compliance requirements. The NIMSCAST will
be the required means to report FY 2008 NIMS compliance for FY 2009 preparedness
award eligibility. All State and territory grantees were required to submit their
compliance assessment via the NIMSCAST by September 30, 2008 in order to be
eligible for FY 2009 preparedness programs. The State or territory department/agency
grantee reserves the right to determine compliance reporting requirements of their subawardees (locals) in order to disperse funds at the local level.
For FY 2009 there are no new NIMS compliance objectives. If FY 2008 NIMS
compliance was reported using NIMSCAST and the grantee has met all NIMS
compliance requirements, then NIMSCAST will only require an update in FY 2009.
Additional information on achieving compliance is available through the FEMA National
Integration Center (NIC) at http://www.fema.gov/emergency/nims/.
Applications must be provided to the SAA from eligible nonprofit organizations (as
described under section 501(c)(3) of the Internal Revenue Code of 1986 and exempt
from tax under section 501(a) of such Code) that are at high risk of terrorist attack
and are located within one of the specific UASI-eligible Urban Areas.
SAAs, in coordination with the Urban Area Working Groups (UAWGs) and Citizen Corps
Councils, are encouraged to actively and aggressively advertise the availability of the
FY 2009 NSGP to eligible nonprofit organizations, especially to organizations that
previously have not applied for or received NSGP funding. This is not meant to imply
that previous recipients are ineligible to apply for FY 2009 funds, but FEMA would like to
ensure that the FY 2009 NSGP is widely advertised and ALL eligible nonprofit
organizations are afforded a reasonable opportunity to seek funding.
Eligible nonprofit organizations are required to become members of their local Citizen
Corps Council, where one exists, in order to build an integrated, comprehensive
community preparedness effort in their community.

5

Criteria for determining eligible applicants who are at high risk of terrorist attack include,
but are not limited to: 1
•

•
•
•

Identification and substantiation (e.g., police reports or insurance claims) of
prior threats or attacks against the nonprofit organization or closely related
organizations (within or outside the U.S.) by a terrorist organization, network,
or cell
Symbolic value of the site(s) as a highly recognized national or historical
institution that renders the site as possible target of terrorism
Role of the applicant nonprofit organization in responding to or recovering
from terrorist attacks
Findings from previously conducted risk assessments including threat or
vulnerability

B. Cost Sharing
Grant recipients must meet a 75 percent Federal-25 percent grantee match
requirement. Grantee contributions must be from non-Federal sources. The grantee’s
match may be met through cash or in-kind contributions which may include training
investments related to use of equipment purchased with the grant, or training
investments related to general purpose security and emergency preparedness for staff.
For example, the costs of training security guards on new screening equipment
purchased as part of the grant or providing general preparedness training for nonprofit
organization staff can be leveraged to satisfy the match. In no event can regular
personnel costs such as salary, overtime, or other operational costs unrelated to
training be used to satisfy the matching requirement.
C. Restrictions
Please see Part IV.E. for Management & Administration (M&A) limits, and
allowable/unallowable costs guidance.

1

The criteria used for determining eligible applicants must be addressed within the Investment Justification and not
attached as a separate document in support of the materials addressed in the Investment Justification.

6

PART IV.

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

Investment Justifications from eligible nonprofits
Prioritization of Investment Justifications (in rank order) in FEMA-provided
template
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
“Nonprofit Security Grant Program.” The CFDA number is 97.008. When
completing the on-line application, applicants should identify their submissions as
new, non-construction applications.
2. Application via grants.gov. FEMA participates in the Administration’s egovernment initiative. As part of that initiative, all applicants must file their
applications using the Administration’s common electronic “storefront” -- grants.gov.
Eligible SAAs must apply for funding through this portal, accessible on the Internet at
http://www.grants.gov.
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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. 501(c)(3) Requirement. Grant recipients are responsible for keeping a copy of the
501(c)(3) registration number or IRS Letter of Recognition of sub-grantees on file.
Those grantees who submitted Investment Justifications, subsequently selected for
award, by nonprofit organizations which do not hold or have not formally applied for
a 501(c)(3) registration number, are responsible for maintaining an affidavit and/or
other indicia certifying or verifying their 501(c)(3) compliance on file for review by
DHS.
6. Investment Justification. As part of the FY 2009 NSGP application process,
501(c)(3) organizations within eligible Urban Areas must develop a formal
Investment Justification that addresses each initiative 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.
FEMA has developed guidelines that establish the required Investment Justification
content and helps ensure that submissions are organized in a consistent manner
while addressing key data requirements. Failure to address these data elements
in the prescribed format, including the strict formatting guidelines, will result
in the rejection of the Investment Justification from review consideration.
The Investment Justification must: 1) Be created and submitted in Microsoft Word
(*.doc) or text (*.text); 2) Not exceed five (5) single-spaced pages, in 12 point
Times New Roman font, with a minimum of 1” margins. The applicant is
required to adhere to and include the following section headings, page restrictions,
character limitations and selection criteria within the Investment Justification. Due
to the competitive nature of this program, separate attachments will neither be
accepted nor reviewed. Additionally, scanned or imaged applications will not be
accepted. Applications must use the following file naming convention when

8

submitting required documents as part of the FY 2009 NSGP: “FY 2009 NSGP
_.”
Applications should be submitted by the nonprofit organization to the SAA/UAWG, in
coordination with the local Citizen Corps Council (if they are separate entities), no
later than 11:59 PM EST, January 13, 2009 to ensure adequate time for a State
review of nonprofit applications.
FY 2009 NSGP Investment Justification and Selection Criteria
Question
I. APPLICANT INFORMATION
Identify the following:
• Name of the Organization
• Organization Type (e.g., Medical, Religious, Educational,
Community Center, Museum, Other2)
• 501(c)(3) Number
• Dun and Bradstreet Number3
• FY 2009 Urban Area4
• FY 2009 UASI NSGP Federal Funding Request
• FY 2009 UASI NSGP Grantee’s 25 Percent Match
• FY 2009 UASI NSGP Total Project Cost
• Any Previous NSGP Funding Received, including amount
• Any Previous DHS Funding Received, including source5
• Any Current Contract with DHS (Yes/No – if yes, please
describe)
(800 Character Max not including spaces)
II. BACKGROUND
Background: Describe the nonprofit organization including:
• Membership and community served
• Involvement in their local Citizen Corps Council
• Symbolic value of the site(s) as a highly recognized
national or historical institution that renders the site as a
possible target of terrorism
• Known critical infrastructure or key resources (CIKR)
located within close proximity to nonprofit organization
facilities (see http://www.dhs.gov/nipp for additional
information and guidance on CIKR sectors)
• Any role in responding to or recovering from terrorist
attacks
(1,800 Character Max not including spaces)

Scoring Criteria

This information will not be scored

The information provided will be scored
in terms of its contribution to setting
context and its relationship to other
questions.

III. INVESTMENT HEADING
2

If the Other category is selected, please identify the primary function of the organization.
Applications can only be submitted with a current and valid Dun and Bradstreet Data Universal Numbering
System (DUNS) number; pending DUNS numbers will not be accepted.
4
The applicant must be located within one of the specific UASI-eligible Urban Areas listed in the FY 2009
Nonprofit Security Grant Program Guidance and Application Kit. Within the grant guidance, please refer to Table 1
– Eligible Urban Areas under the FY 2009 UASI Program to determine the organization’s Urban Area designation.
5
Responses should include any funding received through the respective State and/or Urban Area, including the DHS
Homeland Security Grant Program (including Urban Areas Security Initiative, State Homeland Security Grant
Program, and/or the Citizen Corps Program).
3

9

Question

Scoring Criteria

Investment Heading:
• Investment name
• Total FY 2009 NSGP Federal Funding Requested
• Investment Phase – Ongoing or New
(500 Character Max not including spaces)

This information will not be scored

IV. BASELINE
Baseline – Previous Request Name and Funding: If the
nonprofit organization has received DHS or NSGP funding in
the past, provide the funding amount and the investment type.
(700 Character Max not including spaces)

The information provided will be scored
in terms of its contribution to setting
context and its relationship to other
questions.

V. RISK
Risk: DHS defines risk as the product of three principal
variables: Threat, Vulnerability, and Consequences. In the
space below, describe findings from previously conducted risk
assessments, including A) Threats, B) Vulnerabilities, and C)
Potential Consequences of an attack.
(2,200 Character Max not including spaces)
V.A. Threat: In considering threat, the applicant should
discuss previous findings such as risk assessment and/or
police findings.
V.B. Vulnerabilities: In considering vulnerabilities, the
applicant should discuss the organization’s susceptibility to
destruction, incapacitation, or exploitation by a terrorist attack.
V.C. Potential Consequences: In considering potential
consequences, the applicant should discuss potential negative
effects on the organization’s asset, system, and/or network if
damaged, destroyed, or disrupted by a terrorist attack.

10

The information provided will be scored
based on the indication of an
understanding of the organization’s risk,
including threat and vulnerabilities, as
well as potential consequences of an
attack.

Question

Scoring Criteria

VI. TARGET HARDENING
Target Hardening: In this section, describe the proposed
target hardening activity, including the total Federal funds
requested, that addresses the identified threat or vulnerability.
Allowable costs are focused on target hardening activities.
Thus, funding can be used for acquisition and installation of
security equipment on real property (including buildings and
improvements) owned or leased by the nonprofit
organization, specifically in prevention of and/or in protection
against the risk of a terrorist attack. This equipment is
limited to two categories of items on the Authorized
Equipment List (AEL).
• Physical Security Enhancement Equipment (AEL
Category 14)
• Inspection and Screening Systems (AEL Category 15)
The equipment categories are listed on the web based AEL
on the Responder Knowledge Base (RKB), which is
sponsored by DHS and located at http://www.rkb.us/. The
below description must identify the respective AEL category
for all requested equipment.
(2,200 Character Max not including spaces)
VII. MILESTONES
Milestones: Provide description and associated key activities
that lead to the milestone event over the FY 2009 NSGP
period of performance. Start dates should reflect the start of
the associated key activities and end dates should reflect
when the milestone event will occur.
(1,000 Character Max not including spaces)

Target hardening activity and impact
address prevention of, protection
against, and/or mitigation of the
identified risk(s).

Milestones collectively present a clear
sequence of events that will allow the
Investment to reach its objectives for this
period of performance.

VIII. PROJECT MANAGEMENT
Describe the project management, including:
• Who will manage the project
• Description of any challenges to the effective
implementation of this project
• Coordination of the project with State and local homeland
security partners
(2,000 Character Max not including spaces)

Response describes, at a high-level, the
roles and responsibilities of the
management team, governance
structures, and subject matter expertise
required to manage the Investment

IX. GRANTEE MATCH PLAN
Match Requirement: Describe how the 75-25 match in kind
will be met. Provide the Federal request amount, the
grantee's 25 percent match, and the total project cost for the
FY 2009 NSGP. In addition to the required cash or -in-kind
match, discuss other funding sources (e.g., non-FY 2009
NSGP funds) that you plan on utilizing for the implementation
of this project.
(1,000 Character Max not including spaces)

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This information will not be scored

Question
X. IMPACT
Impact: What measurable outputs and outcomes will indicate
that this Investment is successful at the end of the FY 2009
NSGP period of performance? What specific target capability
is this investment working to achieve?
(1,500 Character Max not including spaces)

Scoring Criteria
Response describes how the outcomes
will mitigate risks outlined in the
Background and Risk sections of the
Investment Justification

C. Submission Dates and Times
Completed applications must be submitted electronically through www.grants.gov no
later than 11:59 PM EDT, March 20, 2009. Late applications will neither be considered
nor reviewed. Upon successful submission, a confirmation e-mail message will be sent
with a grants.gov tracking number, which is needed to track the status of the
application.
D. Intergovernmental Review
Executive Order 12372 requires applicants from State and local units of government or
other organizations providing services within a State to submit a copy of the application
to the State Single Point of Contact (SPOC), if one exists, and if this program has been
selected for review by the State. Applicants must contact their State SPOC to
determine if the program has been selected for State review. Executive Order 12372
can be referenced at http://www.archives.gov/federal-register/codification/executiveorder/12372.html. The names and addresses of the SPOCs are listed on OMB’s home
page available at: http://www.whitehouse.gov/omb/grants/spoc.html.
E. Funding Restrictions
The SAA is the only entity eligible to formally apply for these funds. Applications must
be provided to the SAA from eligible nonprofit organizations (as described under section
501(c)(3) of the Internal Revenue Code of 1986 and exempt from tax under section
501(a) of such Code) that are at high risk of terrorist attack and are located within
one of the specific FY 2009 UASI-eligible Urban Areas.
1. Management and Administration (M&A). No more than three percent (3%) of the
total award amount may be retained by the State for M&A purposes. Any funds
retained by the State are to be used solely for management and administrative
purposes associated with the FY 2009 NSGP award. States may pass through a
portion of the State M&A allocation to nonprofit subgrantees to support local
management and administration activities; the overall subgrantee M&A amount may
not equal more than three percent (3%). M&A activities are those defined as directly
relating to the management and administration of the grant funds, such as financial
management and monitoring.
M&A costs include the following categories of activities:
• Hiring of full-time or part-time staff or contractors/consultants:

12

•
•
•

o To assist with the management of UASI NSGP funds
o To assist with design, requirements, and implementation of the
UASI NSGP
o Meeting compliance with reporting/data collection requirements,
including data calls
Development of operating plans for information collection and processing
necessary to respond to DHS data calls
Travel expenses directly related to management and administration of UASI
NSGP funds
Meeting-related expenses directly related to management and administration
of UASI NSGP funds

2. Allowable Costs
Equipment
Allowable costs are focused on target hardening activities. Thus, funding can be
used for the acquisition and installation of security equipment on real property
(including buildings and improvements) owned or leased by the nonprofit
organization, specifically in prevention of and/or protection against the risk of a
terrorist attack. This equipment is limited to two categories of items on the
Authorized Equipment List (AEL):
•
•

Physical Security Enhancement Equipment (Category 14)
Inspection and Screening Systems (Category 15)

Equipment Standards
The two allowable prevention and protection categories and equipment standards for
the FY 2009 NSGP are listed on the web-based version of the Authorized
Equipment List (AEL) on the Responder Knowledge Base (RKB), at
http://www.rkb.us.
The Standardized Equipment List (SEL) is located on this site as well. In some
cases, items on the SEL are not allowable under FY 2009 NSGP or will not be
eligible for purchase unless specific conditions are met. Unless otherwise stated,
equipment must meet all mandatory regulatory and/or DHS-adopted standards to be
eligible for purchase using these funds. In addition, agencies will be responsible for
obtaining and maintaining all necessary certifications and licenses for the requested
equipment.
Training
Nonprofit organization security personnel may use FY 2009 NSGP funds to attend
security-related training courses and programs. Allowable training-related costs
under the FY 2009 NSGP are limited to attendance fees for training, and related
expenses, such as materials, supplies, and/or equipment. Overtime, backfill, and/or
travel expenses are not allowable costs. Allowable training topics are limited to the

13

protection of critical CIKR, including physical and cyber security, target hardening,
and terrorism awareness/employee preparedness.
Training conducted using FY 2009 NSGP funds must address a specific threat
and/or vulnerability, as identified in the nonprofit’s Investment Justification.
Proposed attendance at training courses and all associated costs leveraging
the FY 2009 NSGP must be included in the nonprofit organization’s Investment
Justification.
Nonprofit organizations are required, within 30 days after attendance, to submit
information to the SAA on all training supported with FY 2009 NSGP funds. This
information will consist of course titles, course description, mission area, level of
training, the training provider, the date of the course, and the number of position
titles of the individuals.
3. Unallowable Costs. The following projects and costs are considered ineligible for
award consideration:
•

Hiring of Public Safety Personnel. FY 2009 NSGP funds may not be used to
support the hiring of sworn public safety officers for the purposes of fulfilling
traditional public safety duties or to supplant traditional public safety positions
and responsibilities.

•

Construction and Renovation. Construction and renovation are prohibited
under the FY 2009 NSGP.

•

General-use Expenditures. Expenditures for items such as general-use
software (word processing, spreadsheet, graphics, etc), general-use computers
and related equipment (other than for allowable M&A activities, or otherwise
associated preparedness functions), general-use vehicles, licensing fees,
weapons, weapons systems and accessories, and ammunition are prohibited.

•

Overtime and Backfill. Funds may not be used to support overtime and backfill
costs associated with implementation of FY 2009 NSGP activities.

Additionally, the following initiatives and costs are considered ineligible for award
consideration:
•
•
•
•
•

Initiatives that do not address the implementation of programs/initiatives to build
prevention and protection-focused capabilities directed at identified facilities
and/or the surrounding communities
The development of risk/vulnerability assessment models
Initiatives that fund risk or vulnerability security assessments or the development
of the Investment Justification
Initiatives in which Federal agencies are the beneficiary or that enhance Federal
property
Initiatives which study technology development

14

•
•
•
•

Proof-of-concept initiatives
Initiatives that duplicate capabilities being provided by the Federal government
Organizational operating expenses
Reimbursement of pre-award security expenses

Any other activities unrelated to the implementation of the FY 2009 NSGP, items not in
accordance with the AEL, or previously identified as ineligible within this guidance, are
not allowable costs.

15

PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
Applications will be reviewed through a two-phased State and Federal review process
for completeness, adherence to programmatic guidelines, feasibility, and how well the
Investment Justification addresses the identified risk.
FY 2009 NSGP evaluation criteria include items such as:
•
•
•
•
•
•
•

Identification and substantiation of prior threats or attacks (within or outside
the U.S.) by a terrorist organization, network, or cell against the applicant
Symbolic value of the site(s) as a highly recognized national or historical
institution(s) that renders the site as possible target of terrorism
Proximity of the nonprofit organization to identified CIKR
Role of the applicant nonprofit organization in responding to terrorist attacks
Findings from previously conducted threat and/or vulnerability assessments
Integration of nonprofit preparedness with broader State and local
preparedness efforts to include coordination with the Citizen Corps Council
Complete, feasible Investment Justifications that address an identified risk,
including threat and vulnerability

B. Review and Selection Process
Applications will be reviewed in two phases to leverage local knowledge and
understanding of the applicant’s risk for terrorist attack, while also ensuring coordination
and alignment with Federal, State, and local preparedness efforts.
•

State Review: Applications should be submitted by the nonprofit organization to the
SAA/UAWG, in coordination with the local Citizen Corps Council (if they are
separate entities), no later than 11:59 PM EST, January 13, 2009 to ensure
adequate time for a State review of nonprofit applications.
Listed below are the review criteria for the SAA/UAWG phase of the FY 2009 NSGP
review. The criteria provide a standard review methodology across States and
Urban Areas. By focusing the SAA/UAWG review on two Investment Justification
focus areas (Background and Risk), the review leverages local knowledge and
efficiently applies the SAA/UAWG effort to the questions most needing local input.
The “Overall Score” provides the SAA/UAWG panel the opportunity to objectively
review the overall application including the focus areas.

16

Review Criteria
• Does the response clearly address all of the identified topics?
• Does the response indicate an understanding of the nonprofit organization’s
risk, including threat and vulnerability, as well as potential consequences of
an attack?
• Can the SAA/UAWG review panel verify the responses?
Overall Score
• SCORE = 0
o Incomplete or unclear Investment Justification (IJ)
o Review panel cannot verify or substantiate information in
Background and Risk section in IJ
•

SCORE = 1
o Partially complete IJ
o Review panel cannot verify or substantiate information in
Background and Risk section in IJ

•

SCORE = 2
o Complete or clear IJ
o Review panel can verify or substantiate some information in
Background and Risk section in IJ

•

SCORE = 3
o Complete and clear IJ
o Review panel can verify or substantiate all information in
Background and Risk section in IJ

As part of the FY 2009 NSGP application, FEMA will provide the SAA with a template
for the Prioritization of Investment Justifications (in rank order). This will allow the
SAA to easily provide a prioritized list of applicants, ranked in consideration of two
factors:
•
•

Need – The relative need for the nonprofit organization compared to the other
applicants
Impact – The potential impact of the nonprofit investment on achieving
maximum prevention and/or protection results at minimal cost

The method by which an SAA chooses to review investment using the two factors is
at the discretion of the SAA/UAWG, provided the output of the SAA NSGP
investment process is one list of prioritized investments submitted with the
applicable Investment Justifications. The Prioritization of Investment Justifications
template must be submitted to FEMA with the applicable Investment Justifications
no later than 11:59 PM EDT, March 20, 2009.

17

The files should be organized according to score and then combined into Adobe PDF
files according to score category for a maximum submission of five files (four Adobe
score files, if applicable, and the Prioritization of Investment Justifications in Excel). The
following file naming convention must be used when submitting required documents as
part of the FY 2009 NSGP: “FY 2009 NSGP _”
and “FY 2009 _Prioritization of Investment Justifications>.”
For example:
• State Name_Score 0
• State Name_Score 1
• State Name_Score 2
• State Name_Score 3
• Prioritization of Investment Justifications
Federal Review: Applications will be reviewed by a panel of Federal evaluators from
across various components within DHS. FEMA will use the results of the State and
Federal reviews to make recommendations for funding to the Secretary of Homeland
Security.
NOTE: Upon award, the recipient may only fund Investments that were included
in the FY 2009 Investment Justification that was submitted to FEMA and
evaluated through the Federal review process.
C. Anticipated Announcement and Award Dates
FEMA will evaluate and act on applications within 90 days following close of the
application period, consistent with the Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act, 2009 (Public Law 110-329). Awards will be made on or
before September 30, 2009.

18

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. State Preparedness Report. The Post-Katrina Emergency Management Reform
Act of 2006 (Public Law 109-295) requires any State that receives Federal
preparedness assistance to submit a State Preparedness Report to DHS. FEMA will
provide additional guidance on the requirements for updating State Preparedness
Reports. Receipt of this report is a prerequisite for applicants to receive any
FY 2009 DHS preparedness grant funding.
2. Standard Financial Requirements. The grantee and any subgrantee shall comply
with all applicable laws and regulations. A non-exclusive list of regulations
commonly applicable to DHS grants are listed below:
2.1 -- Administrative Requirements.
• 44 CFR Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments
• 2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Non-Profit Organizations (OMB Circular A-110)

19

2.2 -- Cost Principles.
• 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A-87)
• 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular
A-21)
• 2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB
Circular A-122)
• Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles
and Procedures, Contracts with Commercial Organizations
2.3 -- Audit Requirements.
• OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations
2.4 -- Duplication of Benefits. There may not be a duplication of any federal
assistance, per A-87, Basic Guidelines Section C.3 (c), which states: Any cost
allocable to a particular Federal award or cost objective under the principles
provided for in this Circular may not be charged to other Federal awards to
overcome fund deficiencies, to avoid restrictions imposed by law or terms of the
Federal awards, or for other reasons. However, this prohibition would not
preclude governmental units from shifting costs that are allowable under two or
more awards in accordance with existing program agreements.
3. Non-supplanting Requirement. Grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Applicants or grantees may be required to supply documentation
certifying that a reduction in non-Federal resources occurred for reasons other than
the receipt or expected receipt of Federal funds.
4. Technology Requirements.
4.1 -- National Information Exchange Model (NIEM). FEMA requires all
grantees to use the latest NIEM specifications and guidelines regarding the use
of Extensible Markup Language (XML) for all grant awards. Further information
about the required use of NIEM specifications and guidelines is available at
http://www.niem.gov.
4.2 -- Geospatial Guidance. Geospatial technologies capture, store, analyze,
transmit, and/or display location-based information (i.e., information that can be
linked to a latitude and longitude). FEMA encourages grantees to align any
geospatial activities with the guidance available on the FEMA website at
http://www.fema.gov/grants.
4.3 -- 28 CFR Part 23 guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 CFR Part
23, Criminal Intelligence Systems Operating Policies, if this regulation is
determined to be applicable.

20

5. Administrative Requirements.
5.1 -- Freedom of Information Act (FOIA). FEMA recognizes that much of the
information submitted in the course of applying for funding under this program or
provided in the course of its grant management activities may be considered law
enforcement sensitive or otherwise important to national security interests. While
this information under Federal control is subject to requests made pursuant to the
Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning
the release of information of this nature are made on a case-by-case basis by the
FEMA FOIA Office, and may likely fall within one or more of the available
exemptions under the Act. The applicant is encouraged to consult its own State
and local laws and regulations regarding the release of information, which should
be considered when reporting sensitive matters in the grant application, needs
assessment and strategic planning process. The applicant may also consult
FEMA regarding concerns or questions about the release of information under
State and local laws. The grantee should be familiar with the regulations
governing Sensitive Security Information (49 CFR Part 1520), as it may provide
additional protection to certain classes of homeland security information.
5.2 -- Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002 (Public
Law 107-296) (CII Act), created a new framework, which enables State and local
jurisdictions and members of the private sector to voluntarily submit sensitive
information regarding critical infrastructure to DHS. The Act also provides
statutory protection for voluntarily shared CII from public disclosure and civil
litigation. If validated as PCII, these documents can only be shared with
authorized users who agree to safeguard the information.
PCII accreditation is a formal recognition that the covered government entity has
the capacity and capability to receive and store PCII. DHS encourages all SAAs
to pursue PCII accreditation to cover their State government and attending local
government agencies. Accreditation activities include signing a memorandum of
agreement (MOA) with DHS, appointing a PCII Officer, and implementing a selfinspection program. For additional information about PCII or the accreditation
process, please contact the DHS PCII Program Office at [email protected].
5.3 -- Compliance with Federal civil rights laws and regulations. The
grantee is required to comply with Federal civil rights laws and regulations.
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.

21

•

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

•

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

•

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

Grantees must comply with all regulations, guidelines, and standards adopted
under the above statutes. The grantee is also required to submit information, as
required, to the DHS Office for Civil Rights and Civil Liberties concerning its
compliance with these laws and their implementing regulations.
5.4 -- Services to limited English proficient (LEP) persons. Recipients of
FEMA financial assistance are required to comply with several Federal civil rights
laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws
prohibit discrimination on the basis of race, color, religion, natural origin, and sex
in the delivery of services. National origin discrimination includes discrimination
on the basis of limited English proficiency. To ensure compliance with Title VI,
recipients are required to take reasonable steps to ensure that LEP persons have
meaningful access to their programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where
necessary. The grantee is encouraged to consider the need for language
services for LEP persons served or encountered both in developing their
proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional information,
see http://www.lep.gov.
5.5 -- Integrating individuals with disabilities into emergency planning.
Section 504 of the Rehabilitation Act of 1973, as amended, prohibits
discrimination against people with disabilities in all aspects of emergency
mitigation, planning, response, and recovery by entities receiving financial from
FEMA. In addition, Executive Order 13347, Individuals with Disabilities in
Emergency Preparedness signed in July 2004, requires the Federal Government
to support safety and security for individuals with disabilities in situations
involving disasters, including earthquakes, tornadoes, fires, floods, hurricanes,
and acts of terrorism. Executive Order 13347 requires the Federal government

22

to encourage consideration of the needs of individuals with disabilities served by
State, local, and tribal governments in emergency preparedness planning.
FEMA has several resources available to assist emergency managers in
planning and response efforts related to people with disabilities and to ensure
compliance with Federal civil rights laws:
•

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

•

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

•

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

•

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

23

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

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

•

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

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

24

substantive agreement between the involved parties outlining how the grantee
will avoid the effects, minimize the effects, or, if necessary, compensate for the
effects.
Because of the potential for significant adverse effects to EHP resources or
public controversy, some projects may require an additional assessment or
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
result of the EHP review. Any change to the approved project scope of work will
require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation Office.
Any construction activities that have been initiated without the necessary
EHP review and approval will result in a non-compliance finding and will
not eligible for FEMA funding.
For more information on FEMA’s EHP requirements, SAAs should refer to
FEMA’s Information Bulletin #271, Environmental Planning and Historic
Preservation Requirements for Grants, available at
http://ojp.usdoj.gov/odp/docs/info271.pdf. Additional information and resources
can also be found at http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm.
5.8 -- Royalty-free License. Applicants are advised that FEMA reserves a
royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or
otherwise use, and authorize others to use, for Federal government purposes: (a)
the copyright in any work developed under an award or sub-award; and (b) any
rights of copyright to which an award recipient or sub-recipient purchases
ownership with Federal support. Award recipients must agree to consult with
FEMA regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
25

5.9 -- FEMA GPD Publications Statement. Applicants are advised that all
publications created with funding under any grant award shall prominently
contain the following statement: "This document was prepared under a grant
from FEMA’s Grant Programs Directorate, U.S. Department of Homeland
Security. Points of view or opinions expressed in this document are those of the
authors and do not necessarily represent the official position or policies of
FEMA’s Grant Programs Directorate or the U.S. Department of Homeland
Security."
5.10 -- Equipment Marking. Applicants are advised that, when practicable, any
equipment purchased with grant funding shall be prominently marked as follows:
"Purchased with funds provided by the U.S. Department of Homeland Security."
5.11 -- Disadvantaged Business Requirement. Applicants are advised that, to
the extent that recipients of a grant use contractors or subcontractors, such
recipients shall use small, minority, women-owned or disadvantaged business
concerns and contractors or subcontractors to the extent practicable.
5.12 -- National Preparedness Reporting Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. For
grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and
complying with these national preparedness reporting requirements. FEMA will
work with grantees to develop tools and processes to support this requirement.
FEMA anticipates using this information to inform future-year grant program
funding decisions. Award recipients must agree to cooperate with any
assessments, national evaluation efforts, or information or data collection
requests, including, but not limited to, the provision of any information required
for the assessment or evaluation of any activities within their grant agreement.
This includes any assessments, audits, or investigations conducted by the
Department of Homeland Security, Office of the Inspector General, or the
Government Accountability Office.
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

26

March 31, FSR is due no later than April 30). A report must be submitted for every
quarter of the period of performance, including partial calendar quarters, as well as
for periods where no grant activity occurs. Future awards and fund draw downs may
be withheld if these reports are delinquent. The final FSR is due 90 days after the
end date of the performance period.
FSRs must be filed online through the PARS.
Reporting periods and due dates:
• October 1 – December 31; Due January 30
• January 1 – March 31; Due April 30
• April 1 – June 30; Due July 30
• July 1 – September 30; Due October 30
2. Categorical Assistance Progress Report (CAPR). Following an award, the
awardees will be responsible for providing updated obligation and expenditure
information on a semi-annual basis. The applicable SAAs are responsible for
completing and submitting the CAPR reports. Awardees should include a statement
in the narrative field of the CAPR that reads: See Biannual Strategy Implementation
Report (BSIR).
The CAPR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 though December 31). Future awards and fund drawdowns may be
withheld if these reports are delinquent.
CAPRs must be filed online at https://grants.ojp.usdoj.gov. Guidance and
instructions can be found at https://grants.ojp.usdoj.gov/gmsHelp/index.html.
Required submission: CAPR (due semi-annually).
3. Initial Strategy Implementation Plan (ISIP). Following an award, the awardees will
be responsible for providing updated obligation and expenditure information to meet
the pass-through requirement. The applicable SAAs are responsible for completing
and submitting the ISIP online.
Required submission: ISIP (due within 45 days of the award date).
4. Biannual Strategy Implementation Reports (BSIR). Following an award, the
awardees will be responsible for providing updated obligation and expenditure
information on a semi-annual basis. The applicable SAAs are responsible for
completing and submitting the BSIR reports which is a component of the CAPR.
The BSIR submission will satisfy the narrative requirement of the CAPR. SAAs are
still required to submit the CAPR with a statement in the narrative field that reads:
See BSIR.

27

The BSIR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 though December 31). Updated obligations and expenditure
information must be provided with the BSIR to show progress made toward meeting
strategic goals and objectives. Future awards and fund drawdowns may be withheld
if these reports are delinquent.
Required submission: BSIR (due semi-annually).
5. Financial and Compliance Audit Report. Recipients that expend $500,000 or
more of Federal funds during their fiscal year are required to submit an organizationwide financial and compliance audit report. The audit must be performed in
accordance with the U.S. General Accountability Office, Government Auditing
Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A133, Audits of States, Local Governments, and Non-Profit Organizations, located at
http://www.whitehouse.gov/omb/circulars/a133/a133.html. Audit reports are
currently due to the Federal Audit Clearinghouse no later than nine months after the
end of the recipient’s fiscal year. In addition, the Secretary of Homeland Security
and the Comptroller General of the United States shall have access to any books,
documents, and records of recipients of FY 2009 NSGP assistance for audit and
examination purposes, provided that, in the opinion of the Secretary or the
Comptroller, these documents are related to the receipt or use of such assistance.
The grantee will also give the sponsoring agency or the Comptroller, through any
authorized representative, access to, and the right to examine all records, books,
papers or documents related to the grant.
The State shall require that sub-grantees comply with the audit requirements set
forth in OMB Circular A-133. Recipients are responsible for ensuring that subrecipient audit reports are received and for resolving any audit findings.
Monitoring
Grant recipients will be monitored periodically by FEMA staff, both programmatically
and financially, to ensure that the project goals, objectives, performance requirements,
timelines, milestone completion, budgets, and other related program criteria are being
met. Programmatic monitoring may also include the Regional Federal Preparedness
Coordinators, when appropriate, to ensure consistency of project investments with
Regional and National goals and policies, as well as to help synchronize similar
investments ongoing at the Federal, State, and local levels.
Monitoring will be accomplished through a combination of office-based reviews and onsite monitoring visits. Monitoring will involve the review and analysis of the financial,
programmatic, performance and administrative issues relative to each program and will
identify areas where technical assistance and other support may be needed.
The recipient is responsible for monitoring award activities, to include sub-awards, to
provide reasonable assurance that the Federal award is administered in compliance

28

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.

29

PART VII.

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

30

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

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

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

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

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