FY 2009 BZPP Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
BUFFER ZONE PROTECTION PROGRAM
GUIDANCE AND APPLICATION KIT

NOVEMBER 2008

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: FY 2009 Buffer Zone Protection Program
Funding Opportunity Number: DHS-09-GPD-078-1965
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.

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CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................... 6
Part III. ELIGIBILITY INFORMATION ............................................................................ 8
A.
Eligible Applicants................................................................................... 8
B.
Cost Sharing .......................................................................................... 10
C.
Restrictions ............................................................................................ 10
Part IV. APPLICATION AND SUBMISSION INFORMATION ...................................... 11
A.
Address to Request Application Package ........................................... 11
B.
Content and Form of Application ......................................................... 11
C.
Submission Dates and Times ............................................................... 15
D.
Intergovernmental Review .................................................................... 16
E.
Funding Restrictions ............................................................................. 16
Part V. APPLICATION REVIEW INFORMATION ........................................................ 22
A.
Review Criteria....................................................................................... 22
B.
Review Process ..................................................................................... 22
C.
Anticipated Announcement and Award Dates .................................... 22
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 23
A.
Notice of Award ..................................................................................... 23
B.
Administrative and National Policy Requirements ............................. 23
C.
Reporting Requirements ....................................................................... 30
Part VII. FEMA CONTACTS......................................................................................... 34

1

PART I.

FUNDING OPPORTUNITY DESCRIPTION
The Buffer Zone Protection Program (BZPP) is one of five grant programs that
constitute the Department of Homeland Security (DHS) Fiscal Year (FY) 2009 focus on
infrastructure security activities. The BZPP 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 BZPP is authorized by the Consolidated Security,
Disaster Assistance, and Continuing Appropriations Act, 2009 (Public Law 110-329).
The vast majority of America’s critical infrastructure is owned and/or operated by State,
local and private sector partners. The funds provided by the BZPP are provided to
increase the preparedness capabilities of jurisdictions responsible for the safety and
security of communities surrounding high-priority critical infrastructure and key resource
(CIKR) assets through allowable planning and equipment acquisition.
The purpose of this package is to provide: (1) an overview of the BZPP and (2) the
formal grant guidance and application materials needed to apply for funding under the
program. Also included is an explanation of DHS management requirements for
implementation of a successful application.
Federal Investment Strategy
The BZPP is an important part of the Administration’s larger, coordinated effort to
strengthen homeland security preparedness, including the security of America’s CIKR.
The BZPP implements objectives addressed in a series of post 9/11 laws, strategy
documents, plans 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 the
Sector-Specific Plans (SSPs) located at http://www.dhs.gov/nipp. The National
Preparedness Guidelines are an all-hazards vision regarding the nation’s four core
preparedness objectives: prevent, protect, respond 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 integral to
the Guidelines’ success.1 The Guidelines outline 15 scenarios of terrorist attacks or
national disasters that form the basis of much of the Federal exercise and training
1
The National Preparedness Guidelines and its supporting documents were published in September 2007. For
purposes of aligning applications under the BZPP, applicants can rely on the finalized Guidelines, available at:
http://www.fema.gov/pdf/government/npg.pdf.

2

regime. In addition, they identify some 37 critical capabilities that DHS is making the
focus of key investments with State, local and tribal partners.
The NIPP Base Plan provides guidance to assist States in building and sustaining a
statewide CIKR protection program. In accordance with the NIPP risk management
framework and requirements identified in the FY 2007 HSGP, State governments must
continue to develop and implement a statewide and regional CIKR protection program
as a component of their overarching homeland security program. This includes the
necessary processes to implement the NIPP risk management framework at the State
and/or regional level, including Urban Areas. More information can be found at
http://www.dhs.gov/nipp
DHS expects its critical infrastructure partners to be familiar with this Federal
preparedness architecture and to incorporate elements of this architecture into their
planning, operations and investment to the degree practicable. Our funding priorities
outlined in this document reflect National Preparedness Guidelines priority investments,
as appropriate.
BZPP Funding Priorities
The FY 2009 BZPP provides funds to increase the preparedness capabilities of
jurisdictions responsible for the safety and security of communities surrounding highpriority CIKR assets through planning and equipment acquisition.
The BZPP assists responsible jurisdictions2 in building effective prevention and
protection capabilities that will make it more difficult for terrorists to conduct site
surveillance or launch attacks within the immediate vicinity of selected CIKR assets.
These capabilities are enumerated in Buffer Zone Plans (BZPs) that assist in:
•

Identifying significant assets at the site(s) that may be targeted by terrorists for
attack

•

Identifying specific threats and vulnerabilities associated with the site(s) and its
significant assets

•

Developing an appropriate buffer zone extending outward from the facility in
which preventive and protective measures can be employed to make it more
difficult for terrorists to conduct site surveillance or launch attacks

•

Identifying all applicable law enforcement jurisdictions and other Federal, State,
and local agencies having a role in the prevention of, protection against, and
response to terrorist threats or attacks specific to the CIKR site(s) and
appropriate points of contact (POCs) within these organizations

•

Evaluating the capabilities of the responsible jurisdictions with respect to

2

As used throughout this solicitation and regarding FY 2009 BZPP guidance, the term “responsible jurisdiction” shall
refer to the primary agency, whether a State, local, or tribal entity or unit of government, as determined/approved by
the State, that has authority over and around the identified CIKR facility, including the site’s adjacent grounds and/or
structures.

3

planning for terrorism prevention and protection
•

Identifying specific planning, equipment, training, and/or exercise requirements
that better enable responsible jurisdictions to mitigate threats and vulnerabilities
of the site(s) and its buffer zone

In developing and implementing the BZPs, security and preparedness officials at all
levels should seek opportunities to coordinate and leverage funding from multiple
sources, including Federal, State, and local resources.
FY 2009 BZPP funds should be coordinated with appropriate State POCs to support the
development and implementation of a statewide/regional CIKR protection program, as
described above. In addition, DHS is encouraging State and local jurisdictions to
consider the following activities as priorities under the FY 2009 BZPP.
1. Coordination of Operational Activities with Public and Private Sector Partners.
DHS encourages that projects funded through the FY 2009 BZPP support
coordination and direct interaction with private sector safety and security partners at
the identified BZPP site. Examples include signing memorandums of understanding
(MOUs) to allow facility security managers access to video camera surveillance
feeds from cameras purchased through the BZPP.
2. Coordination of Operational and Situational Awareness Activities with Fusion
Centers and/or Emergency Operation Centers (EOCs). DHS encourages
projects funded through the FY 2009 BZPP to support the coordination and direct
interaction with State, regional, and/or Urban Area fusion centers, and/or EOCs
located in the region of the identified BZPP site. Examples include allowing fusion
centers and/or EOCs access to video camera surveillance feeds resulting from
cameras purchased through the BZPP or ensuring the jurisdiction responsible for the
BZPP site has an identified liaison officer responsible for coordinating with and
reporting suspicious activity to the fusion center.
3. Multidisciplinary Involvement and Cooperation. DHS encourages that projects
funded through the FY 2009 BZPP support coordination and involvement of
multidisciplinary partners in the development and implementation of preventive and
protective measures, including emergency management and response, law
enforcement, fire, public works, and public health personnel.
4. Strengthening IED Attack Prevention and Protection Capabilities. DHS
encourages that projects funded through the FY 2009 BZPP work to enhance
capabilities to prevent and protect against terrorist use of Improvised Explosive
Devices (IEDs). This priority aligns with the Homeland Security Grant Program
guidance and the National Priority to Strengthen CBRNE Detection, Response, and
Decontamination Capabilities, as outlined in the National Preparedness Guidelines.
This priority supports the policy outlined in Homeland Security Presidential Directive
19 “Combating Terrorist Use of Explosives in the United States” (HSPD-19) by
emphasizing the need for State and local jurisdictions to take an aggressive,
coordinated, and proactive approach to reducing the threat of a terrorist explosive
4

attack. Examples include planning activities to implement multi-jurisdiction IED
security plans or equipment that enhances the capabilities of bomb squads that
serve the facility to diagnose and defeat IEDs.
5. Integration of Constellation/Automated Critical Asset Management System
(C/ACAMS) and the DHS CIKR Taxonomy in CIKR collection, storage/catalog,
and reporting information technology (IT) solutions, databases, and
processes. DHS encourages those State and local jurisdictions leveraging IT
solutions in support of CIKR assessments and the development of BZPP
documents, including the BZP and VRPP, to ensure these systems collect, store,
categorize, and report CIKR information in accordance with the DHS CIKR
Taxonomy, which is located at https://preparednessportal.dhs.gov/. Additional
information on C/ACAMS is also available at http://www.dhs.gov/acams.

5

PART II.

AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 BZPP, describes the basic distribution method
used to determine final grant awards, and identifies all eligible applicants for FY 2009
BZPP 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 BZPP will be $48,575,000.
This year’s BZPP analysis builds upon the program plan and methodology in place last
year. Tier 1 and Tier 2 assets have been prioritized, and funds are being systematically
applied to address the list of assets supported by the BZPP. Based upon the results of
DHS prioritization work with State and local stakeholders and partners, the following
States, territories, and the District of Columbia are eligible to participate in, and receive
funding under, the FY 2009 BZPP. The specific sites and their locations are sensitive
and DHS has directly contacted each State with information regarding the identity and
location, as well as funding amounts of the selected high-risk sites in their area. The
available funding is summarized in Table 1 below.

6

Table 1. FY 2009 BZPP Funding Allocations
State/Territory

Allocation

State/Territory

Allocation

Alabama

$400,000

Montana

$400,000

Alaska

$400,000

Nebraska

Arizona

$400,000

Nevada

Arkansas

$400,000

New Hampshire

California

$5,200,000

New Jersey

$3,600,000

Colorado

$600,000

New Mexico

$400,000

Connecticut

$400,000

New York

$4,787,500

Delaware

$400,000

North Carolina

$2,500,000

District of Columbia

$600,000

North Dakota

$1,000,000
$400,000
$200,000

$200,000

Florida

$800,000

Ohio

$600,000

Georgia

$600,000

Oklahoma

$800,000

Hawaii

$200,000

Oregon

$400,000

Idaho

$800,000

Pennsylvania

$1,400,000

Illinois

$3,000,000

Rhode Island

$200,000

Indiana

$1,000,000

South Carolina

$400,000

Iowa

$600,000

South Dakota

Kansas

$600,000

Tennessee

$1,887,500

Kentucky

$400,000

Texas

$4,200,000

Louisiana

$1,200,000

Maine
Maryland
Massachusetts

$200,000
$1,000,000
$800,000

U.S. Virgin Islands

$400,000

$200,000

Utah

$200,000

Virginia

$600,000

Washington

$600,000

Michigan

$800,000

West Virginia

$600,000

Minnesota

$200,000

Wisconsin

$400,000

Mississippi

$400,000

Wyoming

$200,000

Missouri

$600,000

Total

$48,575,000

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PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
The Governor of each State has designated a State Administrative Agency (SAA) to
apply for and administer the funds under the FY 2009 BZPP.3 The SAA is the only
agency eligible to apply for FY 2009 BZPP funds and is responsible for obligating the
BZPP funds to the appropriate local units of government4 or other designated recipients.
The SAA must coordinate all BZPP activities with the respective State Homeland
Security Advisor (HSA).
To be eligible to receive FY 2009 BZPP funding, applicants must meet NIMS
compliance requirements. The NIMSCAST will be the required means to report FY 2008
NIMS compliance for FY 2009 preparedness award eligibility. All State and territory
grantees were required to submit their compliance assessment via the NIMSCAST by
September 30, 2008 in order to be eligible for FY 2009 preparedness programs. The
State or territory department/agency grantee reserves the right to determine compliance
reporting requirements of their sub-awardees (locals) in order to disperse funds at the
local level.
For FY 2009 there are no new NIMS compliance objectives. If FY 2008 NIMS
compliance was reported using NIMSCAST and the grantee has met all NIMS
compliance requirements, then NIMSCAST will only require an update in FY 2009.
Additional information on achieving compliance is available through the FEMA National
Integration Center (NIC) at http://www.fema.gov/emergency/nims/.
The risk methodology for the FY 2009 BZPP is consistent across the infrastructure
security activities and is linked to the risk methodology used to determine eligibility for
the core DHS State and local grant programs. Leveraging information collected through
State data calls and Federal Sector Specific Agency (SSA) input, DHS has made
substantial gains in the accuracy of data incorporated into its analyses to yield a better
understanding of the relative risk to specific CIKR sites. This improvement provides

3

As defined in the Homeland Security Act of 2002, the term ‘‘State’’ means “any State of the United States, the District of Columbia,
the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana
Islands, and any possession of the United States.” 6 U.S.C. § 101.
4

As defined in the House Report (H. Rept. 110-862, p. 115) and the Senate Report (S. Rept. 110-396, p. 109) accompanying the
Consolidated Security, Disaster Assistance, and Continuing Appropriations Act of 2009 (Public Law 110-329), the term “local unit of
government” means “any county, city, village, town, district, borough, parish, port authority, transit authority, intercity rail provider,
commuter rail system, freight rail provider, water district, regional planning commission, council of government, Indian tribe with
jurisdiction over Indian country, authorized tribal organization, Alaska Native village, independent authority, special district, or other
political subdivision of any State.”

8

DHS with the ability to focus the allocation of BZPP resources to those jurisdictions
responsible for the highest risk sites.
Based on risk, all BZPP sites have been selected prior to the grant announcement
Therefore, FY 2009 BZPP funding allocated to any given State or territory is entirely a
function of the number, type, and character of pre-identified higher-risk sites within their
respective jurisdictions; there are no discretionary sites. Several States have high-risk
sites that are close in proximity to one another. DHS will work closely with these States
and provide supplemental guidance for these strategic projects within the FY 2009
BZPP timelines to ensure coordinated planning5.
Through the FY 2009 BZPP, DHS continues to build on its cross-sector baseline
knowledge of CIKR and the systematic approach initiated in FY 2006 to focus sufficient
resources to reduce the risk associated with the highest priority CIKR assets across
certain targeted sectors. These include:
•
•
•
•
•
•
•
•
•
•

Highest consequence chemical facilities
Nuclear power plants
Higher consequence liquefied natural gas facilities
Critical water/wastewater systems
Higher consequence dams
Transportation system critical nodes
Critical telecommunications facilities
Critical banking and finance facilities
Critical public health and healthcare facilities
Select food and agriculture facilities

Characterization of CIKR Tiers
DHS has established a set of consequence thresholds to identify sites that are
considered CIKR Tier 1 assets, and thus eligible for higher funding levels. To be
considered CIKR Tier 1, the asset or system must be documented to have the potential,
if successfully destroyed or disrupted through terrorist attack, to cause major national or
regional impacts.6 These include combinations of the following characteristics:
•
•
•
•

Nationally significant loss of life
Severe cascading economic impacts
Mass evacuations with relocation for an extended period of time
Impact to a city, region, or sector of the economy due to contamination,
destruction, or disruption of vital services to the public

5

In the course of closing gaps at sites specifically identified by DHS in the 2009 BZPP, if a State has any residual grant funding
remaining from the allocation provided upon completion of all necessary activities to develop and implement a BZP at the DHS
selected site(s), the State may submit a justification to reallocate the residual funds to an alternative Tier 1 or 2 CIKR site to DHS for
approval.

6

DHS is increasingly leveraging a common risk model as outlined in the NIPP Base Plan to provide a systematic and comparable
estimate of risk that can help inform national and sector-level risk management decisions. This model is maturing and it is expected
that new risks will be identified as more assets and systems are assessed.

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•

Severe national security impacts

DHS worked with the Sector Specific Agencies (SSAs) to establish sector-by-sector
criteria for CIKR Tier 2 assets that would identify those CIKR sites having inherently
greater consequence potential than other assets within their sectors. DHS worked with
States to identify assets that met these criteria. Sites nominated by the States through
this process were subsequently validated by the Federal SSAs. CIKR sites that may
otherwise meet the criteria identified above, but are not being addressed through the FY
2009 BZPP, include:
•

•

Sites that have successfully enhanced their prevention and protection posture by
reducing their exposure to the risk of a terrorist attack through prior BZPP grant
funding
Sites eligible for funding through the Homeland Security Grant Program (HSGP)
and/or other grant program funding that more directly addresses risks associated
with the specific site

This year’s BZPP analysis builds upon the program plan and methodology in place last
year. Tier 1 and Tier 2 assets have been prioritized based on risk, and funds are being
systematically applied to address the list of assets supported by the BZPP. The specific
sites and their locations are sensitive, and DHS has directly contacted each State with
information regarding the identity and location, as well as funding amounts, of the
selected high-risk sites in their area.
Note: FY 2009 BZPP materials and site lists may not be distributed to anyone
outside those entities working in an official capacity to manage, develop, and
implement the BZPP at the identified sites. All BZPP generated materials must
also be clearly labeled and distributed according to the requirements listed in the
FY 2009 BZPP Guidance and Application Kit.
B. Cost Sharing
There is no required cost sharing, matching, or cost participation for the FY 2009 BZPP.
C. Restrictions
Please see Part IV.E. for Management & Administration (M&A) limits and
allowable/unallowable costs guidance.

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PART IV.

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

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
“Buffer Zone Protection Program.” The CFDA number is 97.078. When completing
the on-line application, applicants should identify their submissions as new, nonconstruction 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.
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

11

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. Buffer Zone Plans (BZPs) and Vulnerability Reduction Purchasing Plans
(VRPPs). The Office of Infrastructure Protection (IP), Protective Security
Coordination Division (PSCD) provides a range of support to BZPP grantees and
sub-grantees. The PSCD can provide a federally guided vulnerability assessment
team to assist in the development of the BZP. BZP workshops, which train law
enforcement and other homeland security prevention personnel on the BZP
development process, are also available to support grantee and sub-grantee
jurisdictions.
While conducting a BZP assessment with DHS assistance, a Site Assistance Visit
(SAV) will also be conducted, when possible. The purpose of conducting a SAV in
coordination with the BZP assessment is to provide the CIKR owner and operator
with a comprehensive facility report. This coordinated process reduces the need to
revisit a site for a more detailed assessment, thus reducing the impact on
owner/operators and on State and local homeland security personnel. Additionally,
conducting these assessments simultaneously will provide a more thorough BZP
and SAV report for State, local, and private sector partners in support of coordinated
prevention and protection efforts of CIKR.
•

The responsible jurisdiction is required to notify and include their Protective
Security Advisor (PSA) in the BZP assessment. The PSA will coordinate Federal
resources to ensure the appropriate level of support and/or resources are
available during the BZP workshop and/or assessment.

•

Site vulnerability and jurisdiction capability assessments are critical elements of
the BZPP process. The responsible jurisdiction is expected to evaluate their
relevant prevention and protection capabilities in accordance with the Target
Capabilities List (TCL), and conduct, or leverage, existing vulnerability
assessments of the specific CIKR site, including the zone outside the perimeter
of the potential target. The assessment process must include coordination with
security management, where possible, and consideration of security and safety
measures already in place at the facility.

•

The responsible jurisdiction is required to share these assessments with DHS,
upon request, so that DHS may better prioritize preventive and protective
programs, as they may be relevant to emerging and specific threats.

12

•

Upon completion of these assessments, the responsible jurisdiction must
complete the BZP template in coordination with the State for each identified
CIKR site. Additionally, the development of the BZP must be coordinated with
the following entities, as applicable and when possible:
o
o
o
o
o

Urban Area Working Groups (UAWGs)
Area Maritime Security Committees (AMSCs)
Regional Transit Security Working Groups (RTSWGs)
Protective Security Advisors (PSAs)
Sector Specific Agencies (SSAs) (information on the SSAs is located at
http://www.dhs.gov/xlibrary/assets/NIPP_SectorOverview.pdf)

•

The BZP template serves as a useful tool that can be integrated to support CIKR
protection program planning efforts across all sectors. The BZP will assist in
identifying preventive and protective measures necessary to protect the CIKR
site, mitigate vulnerabilities, and/or close capability gaps. This includes a
description of required planning, equipment, training, and exercises necessary to
address identified vulnerabilities and/or capability gaps.

•

Upon completion of the BZP, the jurisdiction must complete a VRPP. The VRPP
identifies a spending plan, including the planning activities and equipment
necessary to implement the BZP. If multiple sites are identified in a single VRPP,
the responsible jurisdiction should ensure that any requested equipment is
available to support the implementation of preventive and protective measures
for all identified sites in the VRPP, as appropriate and applicable. For more
information on assessments or the assessment process, please contact
[email protected].

BZPP Coordination Requirements
Use of FY 2009 BZPP funds must be consistent with the State and/or Urban Area
Homeland Security Strategy. Therefore, the BZP and VRPP must be coordinated
between the SAA and HSA, as well as any applicable State strategy planning teams,
UAWGs, RTSWGs, and/or AMSCs, as applicable.
1. State Coordination. Upon completion of the BZP and VRPP, the responsible
jurisdiction must submit the BZP and VRPP to the SAA (in coordination with the
HSA) for:
o Coordination of the BZPP with State Homeland Security Strategies, priorities,
and programs;
o Coordination with related HSGP and other grant funding; and,
o Certification that the BZP and VRPP supports and/or compliments: a)
Statewide efforts to develop a CIKR protection program and implement CIKR
protection capabilities, as directed in the NIPP, and b) the implementation of
the NIPP as a national priority, as reflected within each respective State’s
Homeland Security Strategy.

13

2. Private Sector Coordination. CIKR assets are largely privately-owned and
operated. Enhancing public/private partnerships will leverage private sector
initiatives, resources, and capabilities, as permitted by applicable laws and
regulations.
3. Urban Area Working Group (UAWG) Coordination. Each identified Urban Areas
Security Initiative (UASI) geographical area is governed by an UAWG. The UAWG
is composed of multidiscipline and multijurisdictional representatives and is
responsible for coordinating the development and implementation of all UASI
program initiatives, Urban Area Homeland Security Strategy development, and any
direct services that are delivered by DHS. The responsible jurisdiction must
coordinate the development and implementation of the BZP and VRPP with any
UAWGs, as applicable to the geographic area, to ensure all programs, plans, and
requested resources are coordinated and leveraged across the region.
4. Protective Security Advisor (PSA) Coordination. DHS has deployed PSAs in
major metropolitan areas throughout the country to assist State and local efforts to
identify and protect CIKR and to ensure national risk assessments are better
informed through State and local input. PSAs implement DHS’ mission to protect
CIKR by fostering improved coordination at the State and local level through their
support for national CIKR protection-related programs. The responsible jurisdiction
must coordinate with and include their PSA in the assessment of CIKR identified for
BZPP funding to ensure all necessary resources are made available for the
development of the BZP.
Submission of the BZP and VRPP
• The BZP and VRPP must be provided to the SAA, to coordinate BZPP
implementation with existing State and/or Urban Area Homeland Security
Strategies and programs, implementation of the NIPP, and related HSGP and
CIKR protection program funding.
•

The SAA, in coordination with the HSA, must certify that each BZP and the
requested resources/activities in the associated VRPP support and/or
complement:
o Statewide efforts to develop, implement, and/or operate a CIKR protection
program and associated capabilities, as directed in the NIPP
o The implementation of the NIPP national priority, as reflected within each
respective State’s Homeland Security Strategy.

•

These certifications and concurrences must be comprehensively detailed by the
SAA within the SAA section of the VRPP.

•

If requesting Protected Critical Infrastructure Information (PCII) protection, the
SAA must complete the Express and Certification Statements located within the
BZP. The templates must remain in their original format if PCII protection is

14

requested (i.e., Excel and Word) unless the documents are submitted using the
Automated Critical Asset Management System (ACAMS) tool. Any submissions
utilizing the ACAMS tool should be submitted in the Adobe PDF format. If PCII
protection is not requested, the Express and Certification statements must be
removed from the BZP template prior to submission.
•

The BZPs and VRPPs must be submitted electronically via the FEMA
Preparedness Portal located at: https://preparednessportal.dhs.gov/. The SAA
must submit the BZP and VRPP for each site into the individual FY 2009 State
folder provided for DHS approval by November 30, 2009. If States fail to
submit all BZPP materials by this date, the requirements of the grant have
not been met, and necessary steps may be taken by DHS to deobligate
funds.

•

The certified BZPs and VRPPs will be reviewed by DHS to ensure that BZPP
programmatic and planning activities and requested equipment are allowable and
coordinated with overall Statewide CIKR protection efforts and related strategic
goals and objectives.

•

Upon review and approval of the BZPs and VRPPs by DHS, the SAA will be
notified and the responsible jurisdiction(s) may drawdown and expend grant
funds obligated by the SAA for implementation of the BZP.

•

If the BZP and/or VRPP are incomplete or do not meet program requirements,
the SAA may be requested to re-submit program materials or provide additional
information. All resubmissions must contain updated, complete versions of both
the BZP and VRPP and appropriately identify whether PCII protection is
requested. Any submissions that fail to follow any of the guidelines above
will neither be accepted nor reviewed.

•

All email correspondence between the grantee and DHS related to the
application, submission, approval, and/or revision of BZPs and VRPPs must
carbon copy the [email protected] email address. The actual BZPs and VRPPs
themselves should never be sent via email.

•

Funds under the FY 2009 BZPP may not be obligated, drawn down, or disbursed
by the State to the responsible jurisdiction of the identified site, until all of the
above steps have been completed by the jurisdiction and approved by DHS.

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.

15

The SAA must submit the BZP and VRPP for each site to DHS for approval by
November 30, 2009. If States fail to submit all BZPP materials by this date,
requirements of the grant have not been met, and necessary steps may be taken
by DHS to deobligate funds.
D. Intergovernmental Review
Executive Order 12372 requires applicants from State and local units of government or
other organizations providing services within a State to submit a copy of the application
to the State Single Point of Contact (SPOC), if one exists, and if this program has been
selected for review by the State. Applicants must contact their State SPOC to
determine if the program has been selected for State review. Executive Order 12372
can be referenced at http://www.archives.gov/federal-register/codification/executiveorder/12372.html. The names and addresses of the SPOCs are listed on OMB’s home
page, available at: http://www.whitehouse.gov/omb/grants/spoc.html.
E. Funding Restrictions
The applicable SAAs will be responsible for administration of the FY 2009 BZPP. In
administering the program, the SAA must work with eligible applicants to comply with
the following general requirements:
1. Management and Administration (M&A) limits. A maximum of three percent
(3%) of funds awarded may be retained by the State, and any funds retained are to
be used solely for management and administrative purposes associated with the
BZPP award.
The following M&A costs are allowable only within the period of performance of the
grant program:
• Hiring of full-time or part-time staff or contractors/consultants:
o To assist with the management and/or administration of the FY 2009
BZPP.
o To assist with the coordination and implementation requirements of the FY
2009 BZPP.
• Hiring of full-time or part-time staff or contractors/consultants and expenses
related to:
o Meeting compliance with reporting and data collection requirements,
including data call requests.
o FY 2009 BZPP pre-application submission management activities and
application requirements.
• Travel expenses.
• Meeting-related expenses.
• Other allowable M&A expenses:

16

o Acquisition of authorized office equipment, including personal computers,
laptop computers, printers, LCD projectors, and other equipment or
software which may be required to support the implementation of the BZP
or VRPP.
o Recurring fees/charges associated with certain equipment, such as cell
phones, faxes, etc.
o Leasing and/or renting of space for newly hired personnel to administer
the FY 2009 BZPP.
2. Allowable Costs. FY 2009 BZPP allowable costs are divided into the following
categories:
•
•

Planning
Equipment acquisition

This section provides guidance on the types of expenditures that are allowable under
the FY 2009 BZPP. Grantees are encouraged to contact their FEMA Program Analyst
regarding authorized and unauthorized expenditures.
Planning
Planning activities are central to the implementation of the FY 2009 BZPP, which is
designed as a planning tool to integrate the efforts of local agencies and their private
sector partners. Accordingly, responsible jurisdictions may use BZPP programmatic
funds to support multidiscipline prevention and protection-focused planning activities
specific to the selected facility. However, the priority should continue to be on mitigating
equipment and resource shortfalls identified in the development of the BZPP. Grantees
should also confer with their State and local homeland security partners to determine
additional funding source opportunities for planning-related purposes (such as FEMA's
Homeland Security Grant Program).
FY 2009 BZPP funds may be used for a range of homeland security and CIKR
protection planning activities, such as:
•

Developing and implementing homeland security and CIKR support
programs and adopting DHS national initiatives limited to the following:
o Implementing the National Preparedness Guidelines, as they relate to
implementation of the NIPP and SSPs.
o Building or enhancing preventive radiological and nuclear detection programs.
o Establishing or enhancing mutual aid agreements or MOUs to ensure
cooperation with respect to CIKR protection.
o Developing communications and interoperability protocols and solutions with
the BZPP site.
o Developing or enhancing radiological and nuclear alarm resolution reachback
relationships across local, State and Federal partners.
o Developing or updating resource inventory assets in accordance to typed
resource definitions issued by the National Integration Center (NIC).

17

o Designing State and local geospatial data systems.
•

Developing related terrorism prevention and protection programs including:
o Planning to enhance preventive detection capabilities, security and population
evacuation in the vicinity of specified CIKR during heightened alerts,
advanced warning of a possible terrorist incident, and/or to support mitigation
efforts.
o Multi-discipline preparation and integration across the homeland security
community.
o Developing or enhancing radiological and nuclear alarm resolution protocols
and procedures.
o Developing and planning for information/intelligence sharing groups and/or
fusion centers.
o Developing and implementing CIKR capabilities within fusion centers and/or
intelligence units, in accordance with the forthcoming Critical Infrastructure
and Key Resource Protection Capabilities for Fusion Centers7
o Developing and implementing liaison officer programs to share CIKR
information with fusion centers and/or intelligence units.
o Acquiring systems allowing connectivity to Federal data networks, such as the
National Crime Information Center (NCIC) and Integrated Automated
Fingerprint Identification System (IAFIS), as appropriate.

• Developing and enhancing plans and protocols, limited to:
o Developing or enhancing EOPs and operating procedures.
o Developing terrorism prevention/deterrence plans.
o Developing or enhancing cyber security plans.
o Developing or enhancing cyber risk mitigation plans.
o Developing public/private sector partnership emergency response,
assessment, and resource sharing plans.
o Developing or updating local or regional communications plans.
o Developing plans to support and assist special needs jurisdictions, such as
port authorities and rail and mass transit agencies.
The VRPP must clearly show how any funds identified for planning activities support the
implementation of prevention and protection capabilities of the responsible jurisdiction,
as they are related to the identified CIKR site(s).
Equipment
FY 2009 BZPP funds may be used for the following categories of equipment. A
comprehensive listing of allowable equipment categories and types is found on the webbased Authorized Equipment List (AEL) on the Responder Knowledge Base (RKB) at
https://www.rkb.us/lists.cfm.
The Standardized Equipment List (SEL) is located at this site as well. In some cases,
items on the SEL are not allowable under BZPP or will not be eligible for purchase
7

An Appendix to the Baseline Capabilities for State and Major Urban Area Fusion Centers

18

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.

#

Table 2. BZPP Allowable Equipment Categories
Category Title

Explosive Device Mitigation and Remediation Equipment8
CBRNE Operational Search and Rescue Equipment9
Information Technology
Cyber Security Enhancement Equipment
Interoperable Communications Equipment
Detection Equipment
Power Equipment
Terrorism Incident Prevention Equipment
Physical Security Enhancement Equipment
Inspection and Screening Systems
Agricultural Terrorism Prevention, Response, and Mitigation
[16]
Equipment
Intervention Equipment - Equipment, Fingerprint Processing, and
[20FP]
Identification9
[2]
[3]
[4]
[5]
[6]
[7]
[10]
[13]
[14]
[15]

Other specialized equipment not listed within the BZPP AEL categories may be
requested by the responsible jurisdiction, as approved by the State. The responsible
jurisdiction must provide a justification, describing and/or identifying all of the following
to their FEMA Program Analyst, who, in consultation with IP, will review the request.
•
•
•
•
•

The reason the equipment is requested.
The target capabilities, per the TCL, the request will support and/or enhance.
How other grant funding has been considered, or may be applied, to support the
request.
How the requested equipment will support the development and/or
implementation of prevention and/or protection capabilities, per the TCL, within
the responsible jurisdiction, as identified by the BZP.
How the equipment will directly address a threat, vulnerability, and/or
consequence directly related to the identified FY 2009 BZPP site and its
responsible jurisdiction, as identified by the BZP (i.e., PPE for a jurisdiction
responsible for a chemical facility or watercraft for a dam).

8

Requests for equipment to support Explosive Device Response Operations must indicate within the
Notes section of the VRPP the name of the FBI accredited bomb squad or prospective bomb squad that
is undergoing the accreditation process that will be receiving and utilizing the requested equipment.
9

Only select sub-categories within AEL Category 3 and 20 are eligible for FY 2009 BZPP funding. These
sections include: 3OE-02, 3OE-07, 03SR-03-LSTN, 03OE-03-LTPA, 03OE-04-LTHH, 03OE-04-LTHE,
03SR-03-SCAM, 03SR-05, 03WA-01-PROP, 03WA-01-ULHH, 03WA-01-ULIT, 03WA-01-UWMD, 03WA02-SONR, and 20FP.

19

•

Address a specific threat, vulnerability, and/or consequence directly related to a
heightened alert period, as related to the site and/or its sector.

3. Unallowable Costs. The following projects and costs are considered ineligible for
award consideration:
•

Hiring of Public Safety Personnel. FY 2009 BZPP 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/or renovation is prohibited
under the FY 2009 BZPP.

•

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.

•

Federal Improvement. Funds may not be used for the improvement of Federal
buildings or for other activities that solely benefit the Federal government.
However, if an identified FY 2009 BZPP site is a federal facility, the FY 2009
BZPP funds may be used by the jurisdiction(s) responsible for the safety and
security of the community surrounding the site to support the implementation of
preventive and protective measures in the buffer zone surrounding that site.

•

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

•

Training and Exercise Activities. Any resulting training or exercise
requirements identified through the BZPP may not be funded with FY 2009 BZPP
funds, but may be funded through other overarching homeland security grant
programs (e.g., State Homeland Security Grant Program and Urban Areas
Security Initiative) in accordance with their stipulated authorized expenditures.

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 BZPs and/or VRPPs

20

•

Initiatives in which Federal agencies are the beneficiary or that enhance Federal
property

•

Initiatives which study technology development

•

Proof-of-concept initiatives

•

Initiatives that duplicate capabilities being provided by the Federal government

•

Operating expenses

•

Reimbursement of pre-award security expenses

•

Other indirect costs

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

21

PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
This section summarizes the core process and priorities used to assess applications
under the FY 2009 BZPP. The FY 2009 BZPP used risk-based formula funding
consistent with FEMA policy outlined in this guidance document. Each applicant’s final
funding allocation is determined through the use of risk analyses.
Applications will be evaluated through a Federal review process for completeness,
adherence to programmatic guidelines, feasibility, and how well the proposed VRPP
expenditures address the identified need(s), vulnerabilities, or capability shortfall(s).
The VRPP requires narrative on overall strategic alignment with State Homeland
Security Strategies and the NIPP, impact and sustainability, and support for the national
priorities and target capabilities. These criteria will be used to evaluate the anticipated
effectiveness of all proposed expenditures.
B. Review Process
The following process will be used to provide final approval to BZP and VRPPs
submitted under the FY 2009 BZPP:
•

FEMA will verify compliance with all administrative and eligibility criteria identified
in the application kit.

•

IP will provide a technical review via subject matter expert to ensure all of the
identified need(s), vulnerabilities, or capability shortfall(s) have been addressed.

•

FEMA will evaluate the narrative provided within the VRPP for overall strategic
alignment with State Homeland Security Strategies and the NIPP, impact and
sustainability, support for the national priorities and target capabilities, and
equipment allowability.

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.

22

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 this 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)

23

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

24

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

25

subjected to discrimination in any program or activity receiving Federal
financial assistance.
•

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

•

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

•

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

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

26

involving disasters, including earthquakes, tornadoes, fires, floods, hurricanes,
and acts of terrorism. Executive Order 13347 requires the Federal government
to encourage consideration of the needs of individuals with disabilities served by
State, local, and tribal governments in emergency preparedness planning.
FEMA has several resources available to assist emergency managers in
planning and response efforts related to people with disabilities and to ensure
compliance with Federal civil rights laws:
•

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

•

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

•

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

•

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

27

accessing Lessons Learned Information Sharing, you can request
membership by registering online.
5.6 -- Compliance with the National Energy Conservation Policy and Energy
Policy Acts. In accordance with the Consolidated Security, Disaster Assistance,
and Continuing Appropriations Act, 2009 (Public Law 110-329), grant funds must
comply with the following two requirements:
•

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

•

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

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

28

projects with the potential to have significant adverse effects on the environment
and/or historic properties, FEMA’s EHP review and consultation may result in a
substantive agreement between the involved parties outlining how the grantee
will avoid the effects, minimize the effects, or, if necessary, compensate for the
effects.
Because of the potential for significant adverse effects to EHP resources or
public controversy, some projects may require an additional assessment or
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
result of the EHP review. Any change to the approved project scope of work will
require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation
Office. Any construction activities that have been initiated without the
necessary EHP review and approval will result in a non-compliance finding
and will not be eligible for FEMA funding.
For more information on FEMA’s EHP requirements, SAAs should refer to
FEMA’s Information Bulletin #271, Environmental Planning and Historic
Preservation Requirements for Grants, available at
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
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FEMA regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
5.9 -- 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 the 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

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

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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 BZPP 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

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with requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining of adequate financial records, and
refunding expenditures disallowed by audits.
Grant Close-Out Process
Within 90 days after the end of the period of performance, grantees must submit a final
FSR and final CAPR detailing all accomplishments throughout the project. After these
reports have been reviewed and approved by FEMA, a close-out notice will be
completed to close out the grant. The notice will indicate the project as closed, list any
remaining funds that will be deobligated, and address the requirement of maintaining
the grant records for three years from the date of the final FSR. The grantee is
responsible for returning any funds that have been drawndown but remain as
unliquidated on grantee financial records.
Required submissions: (1) final SF-269a, due 90 days from end of grant period;
and (2) final CAPR, due 90 days from the end of the grant period.

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PART VII.

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

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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.
4. Homeland Security Preparedness Technical Assistance Program. The
Homeland Security Preparedness Technical Assistance Program (HSPTAP)
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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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