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pdfFY 2012 HOMELAND SECURITY GRANT PROGRAM (HSGP)
FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)
OVERVIEW INFORMATION
Issued By
U.S. Department of Homeland Security (DHS): Federal Emergency Management
Agency (FEMA)
Catalog of Federal Domestic Assistance (CFDA) Number
97.067
CFDA Title
Homeland Security Grant Program
Funding Opportunity Announcement Title
Fiscal Year (FY) 2012 Homeland Security Grant Program (HSGP)
Authorizing Authority for Program
The Homeland Security Act of 2002 (Public Law 107-296), as amended by section 101
of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Public Law
110-53)
Appropriation Authority for Program
The Consolidated Appropriations Act, 2012, Division D (Public Law 112-74)
FOA Number
DHS-12-GPD-067-000-02
Key Dates and Time
Application Start Date: 02/17/2012
Application Submission Deadline Date: 05/04/2012 at 11:59:59 p.m. EDT
Anticipated Funding Selection Date: 06/29/2012
Anticipated Award Date: 09/30/2012
Other Key Dates
Applying for FY 2012 HSGP funds requires a two-step process. Step One: initial
submission to determine eligibility and Step Two: full application. Applicants are
encouraged to initiate Step One immediately after the FOA is published but no later
than April 27, 2012. This involves submitting a complete Standard Form 424 to
Grants.gov Successful completion of this step is necessary for FEMA to determine
eligibility of the applicant. Late submissions of Step One to Grants.gov could result in
applicants missing the application deadline in Step Two. Once FEMA has determined
an applicant to be eligible, applicants can proceed to Step Two which involves
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submitting the full application package via the Non Disaster (ND) Grants system. The
submission deadline for the full application package is May 4, 2012. For additional
details see section X of the full FOA.
Intergovernmental Review
Is an intergovernmental review required?
Yes
No
If yes, applicants must contact their State’s Single Point of Contact (SPOC) to
determine if the program has been selected for State review and comply with the State’s
process under Executive Order 12372. Names and addresses of the SPOCs are
maintained at the Office of Management and Budget’s (OMB’s) home page at
http://www.whitehouse.gov/omb/grants_spoc.
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FOA EXECUTIVE SUMMARY
Program Type
Select the applicable program type:
New
Continuing
One-time
Date of origin for Program: 11/25/2002
Opportunity Category
Select the applicable opportunity category:
Discretionary
Mandatory
Competitive (OPSG only)
Non-competitive
Sole Source
Application Process
DHS makes all funding opportunities available through the common electronic
“storefront” Grants.gov, accessible on the Internet at http://www.grants.gov. If you
experience difficulties accessing information or have any questions, please call the
Grants.gov customer support hotline at (800) 518-4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.grants.gov, 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.”
For additional details on how to apply, please refer to section X of the full FOA.
Eligible Applicants
The following entities are eligible to apply directly to FEMA under this solicitation:
State governments
For additional information, see the Eligibility Criteria section of this FOA.
Type of Funding Instrument
Select the applicable funding instrument:
Grant
Cooperative Agreement
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Cost Share or Match
Select the applicable requirement:
Cost Match
Cost Share
None Required
Maintenance of Effort
Is there a Maintenance of Effort (MOE) requirement?
Yes
No
Management and Administration
A maximum of up to five percent (5%) of HSGP funds awarded may be retained by the
State, and any funds retained are to be used solely for management and administration
(M&A) purposes associated with the HSGP award. This includes allowability of M&A for
OPSG. States may pass through a portion of the State M&A allocation to local subgrantees to support local M&A activities. Sub-grantees may also retain a maximum of
up to five percent (5%) of funding passed through by the State solely for M&A purposes
associated with the HSGP award.
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FULL FOA
I.
Funding Opportunity Description
Program Overview and Priorities
The FY 2012 HSGP is comprised of three interconnected grant programs:
State Homeland Security Program (SHSP): SHSP supports the
implementation of State Homeland Security Strategies to address the identified
planning, organization, equipment, training, and exercise needs to prevent,
protect against, mitigate, respond to, and recover from acts of terrorism and other
catastrophic events.
Urban Areas Security Initiative (UASI): The UASI program addresses the
unique planning, organization, equipment, training, and exercise needs of highthreat, high-density Urban Areas, and assists them in building an enhanced and
sustainable capacity to prevent, protect against, mitigate, respond to, and
recover from acts of terrorism.
Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and
coordination among local, tribal, territorial, State, and Federal law enforcement
agencies in a joint mission to secure the United States’ borders along routes of
ingress from international borders to include travel corridors in States bordering
Mexico and Canada, as well as States and territories with international water
borders.
Although no longer funded as discrete grant programs, all activities and costs allowed
under the FY 2010 Buffer Zone Protection Program (BZPP), FY 2010 Interoperable
Emergency Communications Grant Program (IECGP), FY 2011 Citizen Corps Program
(CCP), FY 2011 Driver’s License Security Grant Program (DLSGP), and FY 2011
Metropolitan Medical Response System (MMRS) grant program are allowable and
encouraged activities and costs under the FY 2012 HSGP. For additional information
on allowable activities under the aforementioned grant programs, please refer to
http://www.fema.gov/government/grant/nondisaster.shtm.
Program Objectives
The FY 2012 HSGP plays an important role in the implementation of Presidential Policy
Directive 8 (PPD-8) by supporting the development and sustainment of core
capabilities. Core capabilities are essential for the execution of each of the five mission
areas outlined in the National Preparedness Goal (NPG). The development and
sustainment of these core capabilities are not exclusive to any single level of
government or organization, but rather require the combined effort of the whole
community. The FY 2012 HSGP supports all core capabilities in the Prevention,
Protection, Mitigation, Response, and Recovery mission areas based on allowable
costs.
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Examples of tangible outcomes from FY 2012 HSGP include building and sustaining
core capabilities through:
Planning
Maintenance and Sustainment
Maturation and Enhancement of State and Major Urban Area Fusion Centers
Building Law Enforcement Terrorism Prevention Capabilities
Threat and Hazard Identification and Risk Assessment (THIRA)
Whole Community Approach to Security and Emergency Management
Typing of Equipment and Training
For additional details on PPD-8, please refer to
http://www.dhs.gov/xabout/laws/gc_1215444247124.shtm. For additional information
on program priorities and objectives for FY 2012 HSGP, refer to Appendix B – Program
Specific Priorities.
II.
Funding Information
Award Amounts, Important Dates, and Extensions
Available Funding for this FOA: $830,976,000.
HSGP Programs
State Homeland Security Program
Urban Areas Security Initiative
Operation Stonegarden
Total
FY 2012 Allocation
$294,000,000
$490,376,000
$46,600,000
$830,976,000
Projected Number of Awards: 56
Projected Award Start Date(s): 09/30/2012
Projected Award End Date(s): 09/30/2014
Period of Performance: 24 months
Grantees must accept their grant awards no later than 90 days from the award date.
The grantee shall notify the awarding agency of its intent to accept and proceed with
work under the award, or provide a written notice of intent to decline. Funds will remain
on hold until the grantee accepts the award through official correspondence (e.g.,
written, electronic signature, signed letter or fax to Grant Programs Directorate [GPD])
and all other conditions of award have been satisfied, or the award is otherwise
rescinded. Failure to accept the grant award within the 90 day timeframe may result in
a loss of funds.
For details on program-specific funding amounts, please refer to Appendix A – Program
Specific Allocations.
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Period of Performance
Is an extension to the period of performance permitted?
Yes
No
The periods of performance outlined above support the effort to expedite the outlay of
grant funding and provide economic stimulus. Agencies should request waivers
sparingly, and they will be granted only due to compelling legal, policy, or operational
challenges. For example, grantees may request waivers from the deadlines outlined
above for discretionary grant funds where adjusting the timeline for spending will
constitute a verifiable legal breach of contract by the grantee with vendors or subrecipients, or where a specific statute or regulation mandates an environmental review
that cannot be completed within this timeframe or where other exceptional
circumstances warrant a discrete waiver.
Additional Funding Information
In FY 2012, the total amount of funds distributed under this grant program will be
$830,976,000. The specific information regarding funding allocations for the three
HSGP programs are detailed below:
SHSP Allocations: FY 2012 SHSP funds will be allocated based on three factors:
minimum amounts as legislatively mandated, DHS’ risk methodology, and anticipated
effectiveness based on the strength of the Investment Justification (IJ). Each State and
territory will receive a minimum allocation under SHSP using the thresholds established
in the 9/11 Act. All 50 States, the District of Columbia, and Puerto Rico will receive 0.35
percent of the total funds allocated for grants under Section 2003 and Section 2004 of
the Homeland Security Act of 2002, as amended by the 9/11 Act, for SHSP. Four
territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin
Islands) will receive a minimum allocation of 0.08 percent of the total funds allocated for
grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as
amended by the 9/11 Act, for SHSP. Please refer to Appendix A – Program Specific
Allocations for additional details.
UASI Allocations: FY 2012 UASI funds will be allocated based on DHS’ risk
methodology and anticipated effectiveness based on the strength of the IJ. Eligible
candidates for the FY 2012 UASI program have been determined through an analysis of
relative risk of terrorism faced by the 100 most populous metropolitan statistical areas in
the United States, in accordance with the 9/11 Act. Please refer to Appendix A –
Program Specific Allocations for additional details.
Law Enforcement Terrorism Prevention Activities (LETPA) Allocations: Per the
Homeland Security Act of 2002 (Public Law 107–296), Title XX, § 2006, as amended by
the 9/11 Act, Title I, §101, August 3, 2007, 121 Stat. 280, 6 U.S.C. § 607, States are
required to ensure that at least 25 percent (25%) of the combined HSGP funds
allocated under SHSP and UASI are dedicated towards law enforcement terrorism
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prevention activities linked to one or more core capabilities within the NPG. The LETPA
allocation can be from SHSP, UASI or both.
OPSG Allocations: FY 2012 OPSG funds will be allocated based on risk-based
prioritization using a U.S. Customs and Border Protection (CBP) Sector-specific border
risk methodology to include, but not limited to: threat, vulnerability, miles of border, and
other border-specific “law enforcement intelligence,” as well as feasibility of FY 2012
Operation Orders to designated localities within the United States border States and
territories. Please refer to Appendix A – Program Specific Allocations for additional
details.
Eligible sub-recipients under the FY 2012 OPSG are local units of government at the
county level and federally-recognized tribal governments in the States bordering
Canada (including Alaska), States bordering Mexico, and States and territories with
international water borders. The State Administrative Agency (SAA) is the only entity
eligible to apply to FEMA for FY 2012 OPSG funds on behalf of the county or similar
level of government and federally-recognized tribal governments. Eligible States and
territories without a county or similar level of government structure are authorized to
accept applications on behalf of the alternative unit of local government. SAAs in this
situation must advise FEMA in writing as to their intent. Note: Not all eligible applicants
are guaranteed to receive funding under the FY 2012 OPSG. Please refer to Appendix
A – Program Specific Allocations for additional details.
III.
Eligibility Information
Eligibility Criteria
All 56 States and territories are eligible to apply for SHSP funds. For those States and
territories that are eligible for UASI and/or OPSG funds, the SAA is the only entity
eligible to submit applications to FEMA on behalf of UASI and OPSG applicants.
IV.
Funding Restrictions
Restrictions on Use of Award Funds
DHS grant funds may only be used for the purpose set forth in the grant, and must be
consistent with the statutory authority for the award. Grant funds may not be used for
matching funds for other Federal grants/cooperative agreements, lobbying, or
intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal
funds may not be used to sue the Federal government or any other government entity.
Pre-award costs are allowable only with the written consent of DHS and if they are
included in the award agreement.
Federal employees are prohibited from serving in any capacity (paid or unpaid) on any
proposal submitted under this program. Federal employees may not receive funds
under this award.
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There may be limitations on the use of HSGP funds for the following categories of costs:
Management and Administration
Planning
Organization
Equipment
Training
Exercises
Maintenance and Sustainment
Critical Emergency Supplies
Construction and Renovation
For additional details on restrictions on the use of funds, please refer to Appendix C –
Funding Guidelines. In addition, there are specific restrictions on funds for certain
components of HSGP, including the following:
SHSP and UASI Pass-Through Requirements: Awards made to the SAA for HSGP
carry additional pass-through requirements. Pass-through is defined as an obligation
on the part of the States to make funds available to local units of government,
combinations of local units, or other specific groups or organizations. The State’s passthrough requirement must be met within 45 days of the award date for the HSGP. Four
requirements must be met to pass-through grant funds:
There must be some action to establish a firm commitment on the part of the
awarding entity
The action must be unconditional on the part of the awarding entity (i.e., no
contingencies for availability of SAA funds)
There must be documentary evidence of the commitment
The award terms must be communicated to the official grantee
The SAA must obligate at least 80 percent (80%) of the funds awarded under SHSP
and UASI to local units of government within 45 days of receipt of the funds. For Puerto
Rico, the SAA must also obligate at least 80 percent (80%) of the funds to local units of
government within 45 days of receipt of the funds. No pass-through requirements will
be applied to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands,
and the Commonwealth of the Northern Mariana Islands. Any UASI funds retained by
the SAA must be used to directly support the designated Urban Areas in the State.
Under SHSP, the State may retain more than 20 percent (20%) of SHSP funding for
expenditure made by the State on behalf of the local unit of government. This may
occur only with the written consent of the local unit of government, with the written
consent specifying the amount of funds to be retained and the intended use of funds. If
a written consent agreement is already in place from previous fiscal years, FEMA will
continue to recognize it for FY 2012. If any modifications to the existing agreement are
necessary to reflect new initiatives, States should contact their assigned FEMA Program
Analyst.
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If UASI funds are used by the SAA in support of the Urban Area, the SAA must, as part
of the up to 10 Investments, propose an Investment describing how UASI funds will be
used by the SAA to directly support the Urban Area.
OPSG Funds: The recipient is prohibited from obligating or expending funds provided
through this award until each unique and specific county level or equivalent Operational
Order/Fragmentary Operations Order with an embedded estimated operational budget
has been reviewed and approved through an official e-mail notice issued by FEMA
removing this special programmatic condition.
Funds Transfer Restriction: The recipient is prohibited from transferring funds
between programs (SHSP, UASI, and OPSG). Grantees are allowed to submit an
Investment/project where funds come from multiple funding sources (i.e., SHSP/UASI);
however, grantees are not allowed to divert funding from one program to another due to
the risk-based funding allocations, which were made at the discretion of DHS.
For additional details on restrictions on the use of funds, please refer to Appendix C –
Funding Guidelines.
V.
Application Review Information and Selection Process
Application Review Information
FY 2012 HSGP applications will be evaluated through a review process for
completeness, adherence to programmatic guidelines, and anticipated effectiveness of
the proposed Investments. The results from the review process may require applicants
to revise submissions before the release of HSGP funding.
SHSP and UASI: FEMA will verify compliance with all administrative and eligibility
criteria identified in the application kit, to include the required submission of IJ by the
established due dates. State and Urban Area Homeland Security Strategies will also be
examined for context.
OPSG: Applications will be reviewed by the SAA and CBP/Border Patrol (BP) Sector
Headquarters for completeness and adherence to programmatic guidelines as well as
operational content prior to submission to FEMA.
Operations Orders developed at the county level should be inclusive of city, county,
tribal, and other local law enforcement agencies that are eligible to participate in OPSG
operational activities, with the emphasis on the Executive Summary, Mission, and
Budget. This information will be used to evaluate the anticipated feasibility, need, and
impact of the Operations Orders.
FEMA will verify compliance with all administrative and eligibility criteria identified in the
application kit, to include the required submission of Operations Orders and Inventory of
Operations Orders by the established due dates. FEMA and CBP/BP will use the
results of both the risk analysis and the Federal review to make recommendations for
funding to the Secretary of Homeland Security.
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SAA and CBP/BP OPSG Program leads will ensure a coordinated approach to maintain
application and operations order pre-submission accountability.
Following the review by State and CBP/BP Sector Headquarters, each application will
be forwarded for review by a Federal review panel comprised of evaluators from
components within FEMA and CBP/BP Headquarters.
Application Selection Process
FY 2012 SHSP and UASI are non-competitive programs. For additional information on
FY 2012 SHSP and UASI allocations, refer to Appendix A – FY 2012 Program Specific
Allocations.
Funds for FY 2012 OPSG will be allocated competitively. This includes the use of riskbased prioritization using CBP Sector-specific border risk to include, but not limited to:
threat, vulnerability, miles of border, and other border-specific law enforcement
intelligence. Each applicant’s final funding allocation will be determined by using a
combination of the results of the risk analysis and feasibility of the Operations Orders.
VI.
Post-Selection and Pre-Award Guidelines
Notice of Award
All successful applicants for all DHS grant and cooperative agreements are required to
comply with DHS Standard Administrative Terms and Conditions available within
Section 6.1.1 of http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policymanual.pdf.
Upon approval of an application, the award will be made in the form of a grant. The
date the approval of award is entered in the system is the “award date.” Notification of
award approval is made through the ND Grants system through an automatic e-mail to
the grantee point of contact listed in the initial application. Once an award has been
approved and recorded in the system, a notice is sent to the authorized grant official.
Follow the directions in the notification to accept your award documents. The
authorized grant official should carefully read the award package for instructions on
administering the grant and to learn more about the terms and conditions associated
with responsibilities under Federal awards.
Administrative and Federal Financial Requirements
Grantees are obligated to submit various financial and programmatic reports as a
condition of their award acceptance. Please see below for a summary of financial
and/or programmatic reports as required. Future awards and funds drawdown may be
withheld if these reports are delinquent.
1. Federal Financial Report (FFR) – required quarterly. Obligations and
expenditures must be reported on a quarterly basis through the FFR (SF-425). 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.
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Future awards and fund draw downs may be withheld if these reports are delinquent.
The final FFR is due 90 days after the end date of the performance period. FFRs
must be filed electronically through the Payment and Reporting System (PARS).
2. Initial Strategy Implementation Plan (ISIP). Following the award of grant funds,
awardees will be responsible for reporting planned expenditures of the newly
awarded grant funds to meet the pass-through requirement. The applicable SAAs
are responsible for completing and submitting the ISIP online. The ISIP is due within
45 days of the award date.
3. Grant Close-Out Process. Within 90 days after the end of the period of
performance, or after a Grant Adjustment Notice (GAN) has been issued to close out
a grant, whichever comes first, grantees must submit a final FFR and final progress
report detailing all accomplishments throughout the period of performance. 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 period of performance
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
FFR. The grantee is responsible for returning any funds that have been drawn down
but remain as unliquidated on grantee financial records.
Programmatic Reporting Requirements
1. Performance Progress Report (SF-PPR). Awardees are responsible for providing
updated performance reports using the SF-PPR (OMB Control Number: 0970-0334)
on a semi-annual basis. The SF-PPR 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 through December 31). Grantees
should submit the SF-PPR as an attachment to the ND Grants system. The SF-PPR
can be accessed online at http://www.na.fs.fed.us/fap/SFPPR_Cover%20Sheet.pdf.
Grantees will be required to report on progress towards implementing plans
described in their application. Additionally, as part of the SF-PPR, grantees will be
required to report on progress towards implementing the following performance
measures:
All grantees, as part of programmatic monitoring, will be required to describe how
expenditures first support maintenance and sustainment of current NPG core
capabilities. For additional information on maintenance and sustainment, please
see Appendix B – FY 2012 HSGP Program Specific Priorities
For SHSP and UASI, grantees that maintain an emergency operations plan
(EOP) are required to submit a Plan Analysis Tool annually and are required to
include bi-annual updates on percentage of completion of the Comprehensive
Preparedness Guide (CPG) 101 v.2 compliance (for additional information, see
http://www.fema.gov/prepared/plan.shtm)
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For SHSP and UASI, grantees will report the number of people trained in a given
capability to support a reported number of defined resource typed teams (e.g., 63
responders were trained in structural collapse to support 23 Type 2 USAR
Teams)
For SHSP and UASI, grantees will report the total number of a defined type of
resource and capabilities built utilizing the resources of this grant
For SHSP and UASI, grantees will report what equipment was purchased and
what typed capability it supports
For SHSP and UASI, fusion centers will report on the achievement of capabilities
and compliance with measurement requirements within the Maturation and
Enhancement of State and Major Urban Area Fusion Centers priority through the
annual Fusion Center Assessment Program managed by DHS Office of
Intelligence and Analysis (I&A) and reported to FEMA
For SHSP and UASI, grantees will submit a certification indicating the number of
personnel involved in the Nationwide Suspicious Activity Reporting (SAR)
Initiative (NSI) as well as the number of personnel who have completed the
required training
For SHSP and UASI, grantees should establish a planning body and
demonstrate that the membership and activities reflect the whole community
2. State Preparedness Report (SPR) Submittal. Section 652(c) of the Post-Katrina
Emergency Management Reform Act of 2006 (Public Law 109-295), 6 U.S.C.
§752(c), requires any State that receives Federal preparedness assistance to submit
an SPR to FEMA. States submitted the most recent SPR in December 2011, which
meets this requirement in order to receive funding under the FY 2012 HSGP.
3. Biannual Strategy Implementation Reports (BSIR). Grantees are responsible for
completing and submitting the BSIR reports as a complement to the SF-PPR. 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 through December 31). Updated obligations and expenditure
information must be provided within the BSIR to show progress made toward
meeting strategic goals and objectives. The first BSIR is not due until at least six
months after the award notice has been received by the grantee.
4. Exercise Evaluation and Improvement. Exercises implemented with grant funds
should evaluate performance of the capabilities required to respond to the exercise
scenario. Guidance related to exercise evaluation and the implementation of
improvements is defined in the Homeland Security Exercise and Evaluation Program
(HSEEP) located at https://hseep.dhs.gov.
5. 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.
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Monitoring may be accomplished through either a desk-based review or on-site
monitoring visits, or both. Monitoring will involve the review and analysis of the
financial, programmatic, performance, compliance and administrative processes,
policies, activities, and other attributes of each Federal assistance award and will
identify areas where technical assistance, corrective actions and other support may
be needed.
VII.
DHS FEMA Contact Information
Contact and Resource Information
This section describes several resources that may help applicants in completing a
FEMA grant application. These points of contact are also available for successful
applicants who may require assistance during execution of their award.
Financial and Administrative Information
1. Grant Programs Directorate (GPD). FEMA GPD’s Grant Operations Division
Business Office will provide fiscal support, including pre- and post-award
administration and technical assistance, to the grant programs included in this
solicitation. Callers will be directed to a point of contact who will be able to assist
with their financial or administrative question. Additional guidance and information
can be obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail
to [email protected].
2. FEMA Regions. FEMA Regions may also provide fiscal support, including pre- and
post-award administration and technical assistance, to the grant programs included
in this solicitation. For a list of contacts, please go to
http://www.fema.gov/about/contact/regions.shtm.
3. GPD Environmental Planning and Historic Preservation (GPD-EHP). The FEMA
GPD-EHP Team provides guidance and information to grantees and sub-grantees
related to submission of materials for EHP review. All EHP Review Packets should
be sent to [email protected].
Programmatic Information
1. Centralized Scheduling and Information Desk (CSID). CSID is a non-emergency
comprehensive management and information resource developed by DHS for grants
stakeholders. CSID provides general information on all FEMA grant programs and
maintains a comprehensive database containing key personnel contact information
at the Federal, State, and local levels. When necessary, grantees will be directed to
a Federal point of contact who can answer specific programmatic questions or
concerns. CSID can be reached by phone at (800) 368-6498 or by e-mail at
[email protected], Monday through Friday, 9:00 a.m. – 5:30 p.m. EST.
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Systems Information
1. Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov
customer support hotline at (800) 518-4726.
2. Non Disaster (ND) Grants. For technical assistance with the ND Grants system,
please contact [email protected] or (800) 865-4076.
VIII.
Other Critical Information
Emergency Management Assistance Compact (EMAC) Membership
In support of the NPG, HSGP recipients must belong to or be located in member States
of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana
Islands, which are not required to belong to EMAC at this time.
National Incident Management System (NIMS) Implementation
In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of
Domestic Incidents, the adoption of NIMS is a requirement to receive Federal
preparedness assistance, through grants, contracts, and other activities.
Prior to allocation of any Federal preparedness awards in FY 2012, grantees must
ensure compliance and/or alignment with FY 2011 NIMS implementation plan. The list
of objectives against which progress and achievement are assessed and reported can
be found at
http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item
2.
The primary grantee/administrator of FY 2012 HSGP award funds is responsible for
determining if sub-awardees have demonstrated sufficient progress in NIMS
implementation to disburse awards.
FEMA has developed the NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use of
those standards. This guideline describes credentialing and typing processes and
identifies tools which Federal Emergency Response Officials (FERO) and emergency
managers at all levels of government may use both routinely and to facilitate
multijurisdictional coordinated responses.
Although State, local, tribal, and private sector partners—including nongovernmental
organizations—are not required to credential their personnel in accordance with these
guidelines, FEMA strongly encourages them to do so in order to leverage the Federal
investment in the Federal Information Processing Standards (FIPS) 201 infrastructure
and to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information can be found at
http://www.fema.gov/pdf/emergency/nims/nims_alert_cred_guideline.pdf.
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Grantees must update their EOPs at least once every two years. An evaluation matrix to
describe progress towards complying with CPG 101 v.2 is published at
http://www.fema.gov/prepared/plan.html.
Grantees proposing use of grant funding for geospatial information and technology
should review the latest version of the DHS Geospatial Guidance that serves as a
supplemental resource available at
http://www.fema.gov/pdf/government/grant/2010/fy10_hsgp_geo.pdf.
FEMA will disseminate guidance during FY 2012 on completing a Threat and Hazard
Identification and Risk Assessment (THIRA).
IX.
How to Apply
Application Instructions
Investment Justification (SHSP and UASI). As part of the FY 2012 HSGP application
process for SHSP and UASI funds, applicants must develop a formal IJ that addresses
each Investment being proposed for funding. The IJ must demonstrate how proposed
projects address gaps and deficiencies in delivering one or more core capabilities
outlined in the NPG and must also describe engagement with and/or impacts on the
general population, to include children and individuals with disabilities such as those
with access and functional needs. The IJ must demonstrate the ability to provide
enhancements consistent with the purpose of the program and guidance provided by
FEMA.
Instructions for SHSP
Applicants may propose up to 10 Investments within their IJ to describe the
activities they would like to implement with SHSP funds
Of the up to 10 Investments, applicants are required to propose at least one
Investment to provide funding support to the State’s primary fusion center, as
designated by the Governor. Grantees must coordinate with the fusion center
when developing a fusion center Investment prior to submission
Instructions for UASI
Urban Areas may propose up to 10 Investments within their IJ to describe the
activities they would like to implement with UASI funds
If applicable, of the up to 10 Investments, Urban Areas are required to propose at
least one Investment in support of a DHS-recognized fusion center within the
Urban Area. Grantees must coordinate with the fusion center when developing a
fusion center Investment prior to submission
If UASI funds are used by the SAA in support of the Urban Area, the SAA must,
as part of the up to 10 Investments, propose an Investment describing how UASI
funds will be used by the SAA to directly support the Urban Area
16
For specific instructions on completing and submitting Investments, please refer to
Appendix D – FY 2012 HSGP Investment Justification Template and Instructions (OMB
Control Number: 1660-0125/FEMA Form 089-1).
Operations Order and Detailed Budget Summary (OPSG). As part of the FY 2012
OPSG application process, each eligible local unit of government at the county level or
federally-recognized tribal government must develop their Operations Order in
coordination with State and Federal law enforcement agencies, to include, but not
limited to CBP/BP. Operations Orders that are developed at the county level should be
inclusive of city, county, tribal, and other local law enforcement agencies that are
eligible to participate in OPSG operational activities, and the Operations Order should
address this in the Executive Summary. The details should include the names of the
agencies, the points of contact, and the individual funding requests. All applications
must be coordinated through the CBP sector office and that BP will forward application
to the SAA for review.
X.
Application and Submission Information
Address to Request Application Package
FEMA makes all funding opportunities available on the Internet at
http://www.grants.gov. If you experience difficulties accessing information or have any
questions please call the Grants.gov customer support hotline at (800) 518-4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.grants.gov, select “Apply for Grants,” then select the CFDA
number (97.067) or the FOA number (DHS-12-GPD-067-000-02) and “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.”
Content and Form of Application
1. Application via Grants.gov. All applicants must file their applications using the
Administration’s common electronic “storefront” – http://www.grants.gov. Eligible
grantees must apply for funding through this portal, accessible on the Internet at
http://www.grants.gov.
The application must be started and submitted using Grants.gov after Central
Contractor Registration (CCR) is confirmed. The on-line application includes the
following required form:
Standard Form 424, Application for Federal Assistance
Applying for FY 2012 HSGP funds requires a two-step process. Step One: initial
submission to determine eligibility and Step Two: full application. Applicants are
encouraged to initiate Step One as soon after the FOA is published but no later than
17
April 27, 2012. This involves submitting a complete Standard Form 424 to
www.grants.gov. The Standard Form 424 will be retrieved by ND Grants and the
system will automatically populate the relevant data fields in the application.
Successful completion of this step is necessary for FEMA to determine eligibility of
the applicant. Late submissions to Grants.gov to complete Step One could result in
applicants missing the application deadline in Step Two. Once FEMA has
determined an applicant to be eligible, applicants can proceed to Step Two which
involves submitting the full application package via the ND Grants system. The
submission deadline for the full application package is May 4, 2012.
The application must be completed and final submission made through the ND
Grants system located at https://portal.fema.gov. If you need assistance registering
for the ND Grants system, please contact [email protected] or (800) 865-4076.
Applicants are encouraged to begin their ND Grants registration at the time of
solicitation to ensure they have adequate time to start and complete their application
submission. Unless otherwise referenced, the ND Grants system includes the
following required forms and submissions:
Standard Form 424A, Budget Information (Non-construction)
Standard Form 424B, Standard Assurances (Non-construction)
Standard Form 424C, Budget Information (Construction)
Standard Form 424D, Standard Assurances (Construction)
Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has
engaged or intends to engage in lobbying activities)
Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying
FEMA Form 20-16C, Certifications Regarding Lobbying; Debarment,
Suspension and Other Responsibility Matters; and Drug-Free Workplace
Requirements (available at
http://www.fema.gov/library/viewRecord.do?id=2628)
For SHSP and UASI funds, an IJ Report from the Grants Reporting Tool (see
Appendix D – FY 2012 HSGP Investment Justification Template and
Instructions) (OMB Control Number: 1660-0125/FEMA Form 089-1)
For UASI funds, an overview of the Urban Area Working Groups (UAWG)
structure and a list of members and their associated jurisdictions
For OPSG funds, Operations Orders and Detailed Budget Summary from
eligible local units of government at the county level and federally-recognized
tribal governments within States and territories (OMB Control Number: 16600119/FEMA Form 089-16)
For OPSG funds, inventory of Operations Orders in FEMA-provided template
The program title listed in the CFDA is “Homeland Security Grant Program.” The CFDA
number is 97.067.
2. Dun and Bradstreet Data Universal Numbering System (DUNS) Number. The
applicant must provide a DUNS number with their application. This number is a
required field within http://www.grants.gov and for CCR. Organizations should verify
18
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.
3. Valid CCR. The application process also involves an updated and current
registration by the applicant, which must be confirmed at http://www.ccr.gov.
Applicants will obtain FOA Overviews and Full Announcement information from the
Grants.gov website where the full FOA is posted.
In addition, the following Telephone Device for the Deaf (TDD) and/or Federal
Information Relay Service (FIRS) number available for this Announcement is: (800)
462-7585.
Applications will be processed through the Grants.gov portal or the ND Grants system.
Hard copies of the application will not be accepted.
19
Appendix A – FY 2012 Program Specific Allocations
FY 2012 SHSP Allocations
State/Territory
FY 2012 Allocation
State/Territory
FY 2012 Allocation
Alabama
$2,801,316 Montana
$2,801,316
Alaska
$2,801,316 Nebraska
$2,801,316
$640,301 Nevada
$2,801,316
American Samoa
Arizona
$3,310,348 New Hampshire
$2,801,316
Arkansas
$2,801,316 New Jersey
$6,230,200
California
$43,503,883 New Mexico
$2,801,316
Colorado
$2,801,316 New York
Connecticut
$2,801,316 North Carolina
$3,977,858
Delaware
$2,801,316 North Dakota
$2,801,316
District of Columbia
$2,984,245 Northern Mariana Islands
Florida
$8,839,003 Ohio
$5,578,064
Georgia
$4,932,320 Oklahoma
$2,801,316
Guam
$640,301 Oregon
$55,610,384
$640,301
$2,801,316
Hawaii
$2,801,316 Pennsylvania
$7,265,475
Idaho
$2,801,316 Puerto Rico
$2,801,316
Illinois
$11,852,469 Rhode Island
$2,801,316
Indiana
$2,801,316 South Carolina
$2,801,316
Iowa
$2,801,316 South Dakota
$2,801,316
Kansas
$2,801,316 Tennessee
$2,801,316
Kentucky
$2,801,316 Texas
Louisiana
$2,801,316 U.S. Virgin Islands
Maine
$2,801,316 Utah
$2,801,316
Maryland
$4,438,106 Vermont
$2,801,316
Massachusetts
$4,073,885 Virginia
$5,372,259
Michigan
$4,898,578 Washington
$4,705,147
Minnesota
$2,801,316 West Virginia
$2,801,316
Mississippi
$2,801,316 Wisconsin
$2,801,316
Missouri
$2,801,316 Wyoming
$2,801,316
Total
$15,820,512
$640,301
$294,000,000
20
Appendix A – FY 2012 Program Specific Allocations
FY 2012 UASI Allocations
State/Territory
Arizona
Urban Area
FY 2012 Allocation
Phoenix Area
Anaheim/Santa Ana Area
California
$4,018,455
$4,455,106
Bay Area
$26,423,268
Los Angeles/Long Beach Area
$61,029,547
Riverside Area
$1,521,937
San Diego Area
$9,156,712
Colorado
Denver Area
$2,527,525
District of Columbia
National Capital Region
$51,839,027
Miami/Fort Lauderdale Area
$5,401,304
Orlando Area
$1,447,416
Tampa Area
$2,595,211
Georgia
Atlanta Area
$5,283,893
Illinois
Chicago Area
$47,703,062
Indiana
Indianapolis Area
$1,250,000
Louisiana
New Orleans Area
$1,250,000
Maryland
Baltimore Area
$4,116,111
Massachusetts
Boston Area
Michigan
Detroit Area
$5,232,574
Minnesota
Twin Cities Area
$3,270,673
Kansas City Area
$1,250,000
St. Louis Area
$2,908,188
Florida
Missouri
$10,861,397
Nevada
Las Vegas Area
New Jersey
Jersey City/Newark Area
New York
New York City Area
North Carolina
Charlotte Area
Oregon
Portland Area
Pennsylvania
Philadelphia Area
$14,268,859
Dallas/Fort Worth/Arlington Area
$14,292,691
Houston Area
$23,936,523
Texas
Washington
$1,826,923
$21,663,035
$151,579,096
$1,494,751
$2,157,259
San Antonio Area
$1,250,000
Seattle Area
$4,365,457
Total
$490,376,000
21
Appendix A – FY 2012 Program Specific Allocations
FY 2012 SHSP and UASI LETPA Minimum
Alabama
$
Total
Allocation by
State
2,801,316 $ 2,801,316
Alaska
$
2,801,316
$
$
640,301
$
640,301
$
160,075
$
3,310,348
$
7,328,803
$
1,832,201
$
2,801,316
$
2,801,316
$
700,329
State/Territory
Eligible
Urban Area(s)
FY 2012 UASI
Allocation
Total UASI
Allocation
American Samoa
Arizona
Phoenix Area
$4,018,455 $
Anaheim/Santa Ana Area
$4,455,106
4,018,455
Arkansas
Bay Area
California
Los Angeles/Long Beach Area
Riverside Area
Colorado
Total SHSP
Allocation
$26,423,268
$61,029,547 $ 102,586,570 $ 43,503,883
LETPA
Minimum
$
700,329
2,801,316
$
700,329
$ 146,090,453 $ 36,522,613
$1,521,937
San Diego Area
$9,156,712
Denver Area
$2,527,525 $
$
2,801,316
$
5,328,841
$
Connecticut
$
2,801,316
$
2,801,316
$
700,329
Delaware
$
2,801,316
$
2,801,316
$
700,329
$
2,984,245 $ 54,823,272 $ 13,705,818
$
8,839,003 $ 18,282,934
$
4,932,320 $ 10,216,213
District of Columbia
Florida
Georgia
National Capital Region
2,527,525
$51,839,027 $ 51,839,027
Miami/Fort Lauderdale Area
$5,401,304
Orlando Area
$1,447,416 $
Tampa Area
$2,595,211
Atlanta Area
$5,283,893 $
9,443,931
5,283,893
1,332,210
$
4,570,734
$
2,554,053
Guam
$
640,301
$
640,301
$
160,075
Hawaii
$
2,801,316
$
2,801,316
$
700,329
$
2,801,316
$
2,801,316
$
700,329
Idaho
Illinois
Chicago Area
Indiana
Indianapolis Area
$47,703,062 $ 47,703,062 $ 11,852,469 $ 59,555,531 $ 14,888,883
$1,250,000 $ 1,250,000 $ 2,801,316 $ 4,051,316 $ 1,012,829
Iowa
$
2,801,316
$
2,801,316
$
700,329
Kansas
$
2,801,316
$
2,801,316
$
700,329
Kentucky
Louisiana
$
2,801,316
$
2,801,316
$
700,329
New Orleans Area
$1,250,000 $
1,250,000
$
2,801,316
$
4,051,316
$
1,012,829
$
2,801,316
$
2,801,316
$
700,329
Baltimore Area
$4,116,111 $
4,116,111
$
4,438,106
$
8,554,217
$
2,138,554
Maine
Maryland
Massachusetts
Boston Area
$
4,073,885 $ 14,935,282
$
3,733,821
Michigan
Detroit Area
$5,232,574 $
5,232,574
$
4,898,578 $ 10,131,152
$
2,532,788
Minnesota
Twin Cities Area
$3,270,673 $
3,270,673
$
2,801,316
$
6,071,989
$
1,517,997
$
2,801,316
$
2,801,316
$
700,329
$
2,801,316
$
6,959,504
$
1,739,876
$10,861,397 $ 10,861,397
Mississippi
Missouri
Kansas City Area
$1,250,000
St. Louis Area
$2,908,188
$
4,158,188
Montana
$
2,801,316
$
2,801,316
$
700,329
Nebraska
$
2,801,316
$
2,801,316
$
700,329
1,157,060
Nevada
Las Vegas Area
$1,826,923 $
1,826,923
New Hampshire
New Jersey
Jersey City/Newark Area
New Mexico
New York
New York City Area
$21,663,035 $ 21,663,035
$
2,801,316
$
4,628,239
$
$
2,801,316
$
2,801,316
$
700,329
$
6,230,200 $ 27,893,235
$
6,973,309
$
2,801,316
$
700,329
$151,579,096 $ 151,579,096 $ 55,610,384
22
Appendix A – FY 2012 Program Specific Allocations
$
2,801,316
$ 207,189,480 $ 51,797,370
FY 2012 SHSP and UASI LETPA Minimum (cont.)
$
Total
Allocation by
State
3,977,858 $ 5,472,609
$
1,368,152
North Dakota
$
2,801,316
$
2,801,316
$
700,329
Northern Mariana Islands
$
640,301
$
640,301
$
160,075
Ohio
$
5,578,064
$
5,578,064
$
1,394,516
State/Territory
North Carolina
Eligible
Urban Area(s)
FY 2012 UASI
Allocation
Charlotte Area
Total UASI
Allocation
$1,494,751 $
1,494,751
Oklahoma
Oregon
Portland Area
Pennsylvania
Philadelphia Area
$2,157,259 $
2,157,259
Total SHSP
Allocation
LETPA
Minimum
$
2,801,316
$
2,801,316
$
700,329
$
2,801,316
$
4,958,575
$
1,239,644
5,383,583
$
7,265,475 $ 21,534,334
$
Puerto Rico
$
2,801,316
$
2,801,316
$
700,329
Rhode Island
$
2,801,316
$
2,801,316
$
700,329
$14,268,859 $ 14,268,859
South Carolina
$
2,801,316
$
2,801,316
$
700,329
South Dakota
$
2,801,316
$
2,801,316
$
700,329
$
2,801,316
$
2,801,316
$
700,329
Tennessee
Texas
Dallas/Fort Worth/Arlington Area
$14,292,691
Houston Area
$23,936,523 $ 39,479,214 $ 15,820,512 $ 55,299,726 $ 13,824,932
San Antonio Area
$1,250,000
U.S. Virgin Islands
$
640,301
$
640,301
$
160,075
Utah
$
2,801,316
$
2,801,316
$
700,329
Vermont
$
2,801,316
$
2,801,316
$
700,329
Virginia
$
5,372,259
$
5,372,259
$
1,343,065
2,267,651
$
4,705,147
$
9,070,604
$
West Virginia
Washington
$
2,801,316
$
2,801,316
$
700,329
Wisconsin
$
2,801,316
$
2,801,316
$
700,329
$
2,801,316
$
2,801,316
$
Seattle Area
$4,365,457 $
4,365,457
Wyoming
Total
$490,376,000
$294,000,000
$784,376,000
700,329
$196,094,000
FY 2012 OPSG Eligible States and Territories
States and Territories
Alabama
Massachusetts
Pennsylvania
Alaska
Michigan
Rhode Island
Arizona
Minnesota
South Carolina
California
Mississippi
Texas
Connecticut
Montana
Vermont
Delaware
New Hampshire
Virginia
Florida
New Jersey
Washington
Georgia
New Mexico
Wisconsin
Hawaii
New York
Puerto Rico
Idaho
North Carolina
U.S. Virgin Islands
Louisiana
North Dakota
American Samoa
Maine
Ohio
Guam
Maryland
Oregon
Northern Mariana Islands
Note: Not all applicants are guaranteed to receive funding under the FY 2012 OPSG.
23
Appendix A – FY 2012 Program Specific Allocations
Appendix B – FY 2012 Program Specific Priorities
Presidential Policy Directive 8: National Preparedness
Presidential Policy Directive 8: National Preparedness (PPD-8), signed on March 30,
2011, describes the Nation’s approach to preparing for the threats and hazards that
pose the greatest risk to the security of the United States. National preparedness is the
shared responsibility of our whole community. Every member contributes, including
individuals, communities, the private and nonprofit sectors, faith-based organizations,
and Federal, State, and local governments. We describe our security and resilience
posture through the core capabilities that are necessary to address risks, and we will
use an integrated, layered, and all-of-Nation approach as our foundation. We define
success as a secure and resilient Nation with the capabilities required across the whole
community to prevent, protect against, mitigate, respond to, and recover from the
threats and hazards that pose the greatest risk.
National preparedness is the shared responsibility of all levels of government, the
private and nonprofit sectors, and individual citizens. The objective of PPD-8 is to
facilitate an integrated, all-of-Nation, risk informed, capabilities-based approach to
preparedness.
Using the core capabilities, we achieve the NPG by:
Preventing, avoiding, or stopping a threatened or an actual act of terrorism.
Protecting our citizens, residents, visitors, and assets against the greatest threats
and hazards in a manner that allows our interests, aspirations, and way of life to
thrive.
Mitigating the loss of life and property by lessening the impact of future disasters.
Responding quickly to save lives, protect property and the environment, and
meet basic human needs in the aftermath of a catastrophic incident.
Recovering through a focus on the timely restoration, strengthening, and
revitalization of infrastructure, housing, and a sustainable economy, as well as
the health, social, cultural, historic, and environmental fabric of communities
affected by a catastrophic incident.
The core capabilities contained in the NPG are the distinct critical elements necessary
for our success. They are highly interdependent and will require us to use existing
preparedness networks and activities, improve training and exercise programs, promote
innovation, and ensure that the administrative, finance, and logistics systems are in
place to support these capabilities. The core capabilities represent an evolution from the
Target Capabilities List (TCL). The transition from TCL to core capabilities expands the
focus to include mitigation and allows greater focus on prevention and protection
activities.
To support building, sustaining, and delivering these core capabilities grantees will use
elements of the National Preparedness System (NPS). The NPS is to be an integrated
24
Appendix B – FY 2012 Program Specific Priorities
set of guidance, programs, and processes that can be implemented and measured at all
levels of government, thereby enabling the Nation to achieve the Goal.
Building and Sustaining Core Capabilities
Capabilities are the means to accomplish a mission, function, or objective based on the
performance of related tasks, under specified conditions, to target levels of
performance. The most essential of these capabilities are the core capabilities
identified in the NPG. Complex and far-reaching threats and hazards require the whole
community to integrate preparedness efforts in order to build, sustain, and deliver the
core capabilities and achieve the desired outcomes identified in the NPG.
Working together, subject matter experts, government officials, and elected leaders can
develop strategies to allocate resources effectively, as well as leverage available
assistance to reduce risk. These strategies consider both how to sustain current levels
of capability and address gaps in order to achieve the NPG. Achieving the NPG will
require participation and resource support from all levels of government. Not all
capabilities can be addressed in a given funding cycle, nor can funding be expected to
flow from any one source. Officials must prioritize the achievement of capabilities to
most effectively ensure security and resilience while understanding the effects of not
addressing identified gaps. Building and sustaining capabilities will include a
combination of organizational resources, equipment, training, and education. Grants
and technical assistance may also be available to support building and sustaining
capabilities. Consideration must also be given to finding, connecting to, and
strengthening community resources by leveraging the expertise and capacity of
individuals, communities, private and nonprofit sectors, faith-based organizations, and
all levels of government. Jurisdictions may also choose to use mutual aid agreements to
fill gaps or work with partners to develop regional capabilities. Ultimately, a jurisdiction
may need to rely on other levels of government to address a gap in capability. This
expectation should be communicated well before the time arises when the capabilities
are most urgently needed.
As these issues are considered in light of the eligible activities, an effective risk
assessment must guide jurisdictions’ efforts. This risk picture will cover the range of
threats and hazards, from those a community faces daily to those infrequent events that
would stress the core capabilities of a jurisdiction. Coupled with the desired outcomes
established by a community, this combined perspective is crucial to enabling all levels
of government to effectively estimate the level of capabilities required to address its
risks.
Files and information on PPD-8 can be found at http://www.fema.gov/ppd8.
The President’s FY 2013 budget has proposed substantial changes to DHS grant
programs. FY 2012 grant programs will prepare grantees for the transition to new
requirements in FY 2013 in the following ways:
25
Appendix B – FY 2012 Program Specific Priorities
Begin the process of transitioning from separate preparedness grant programs in
FY 2011 to a more streamlined model within the construct of the FY 2012
appropriations
Continue the transition to address the core capabilities outlined in the NPG
Implement a two year period of performance with very limited extensions
Grantees are encouraged to familiarize themselves with the grant proposals in the
President’s FY 2013 budget.
FY 2012 HSGP and Alignment to PPD-8
The FY 2012 HSGP plays an important role in the implementation of PPD-8 by
supporting the development and sustainment of core capabilities. Core capabilities are
essential for the execution of each of the five mission areas outlined in the NPG. The
development and sustainment of these core capabilities are not exclusive to any single
level of government or organization, but rather require the combined effort of the whole
community. The FY 2012 HSGP supports all core capabilities in the Prevention,
Protection, Mitigation, Response, and Recovery mission areas based on allowable
costs.
Funding Allocations Based Upon Risk
Based upon ongoing intelligence analysis and threat assessments, DHS continues to
focus the bulk of SHSP, UASI, and OPSG funds based upon risk. Risk is evaluated at
the Federal level using an analytical model developed by DHS in conjunction with other
Federal entities. Risk is defined as the product of three principal variables:
Threat – the likelihood of an attack occurring;
Vulnerability – the relative exposure to an attack; and
Consequence – the expected impact of an attack.
The risk model is used to allocate HSGP funds and is informed by the risk to specific
threats and vulnerabilities—taking into account regional variations—to include the
potential risk of terrorism to people, critical infrastructure, and economic security to
estimate the relative risk of terrorism faced by a given area. In FY 2012 the threat
analysis now takes into account threats from domestic violent extremists as well as
international terrorist groups and those individuals inspired by terrorists abroad.
FY 2012 Priorities and Requirements
Priority One: Implementation of PPD-8 and the Whole Community Approach to
Security and Emergency Management
FEMA preparedness grant programs offer resources for State, local, tribal, and regional
partners to support activities described within PPD-8, NPG, and the Whole Community
Approach to Security and Emergency Management, to include development and
sustainment of critical capabilities needed to close gaps, increasing national to
preparedness.
26
Appendix B – FY 2012 Program Specific Priorities
Advancing “Whole Community” Approach to Security and Emergency Management.
Communities are challenged to develop collective, local abilities to withstand the
potential impacts of natural disasters and terrorist threats, respond quickly, and recover
in a way that sustains or improves the community’s overall well-being. Achieving this
collective capacity calls for innovative approaches across the community, including
emergency management to build up existing practices, institutions, and organizations
that help make local communities successful, and that can leverage this infrastructure if
and when an incident occurs (for details see
http://www.fema.gov/about/wholecommunity.shtm).
Objective One: Completion of Threat and Hazard Identification and Risk
Assessment (THIRA). THIRA processes at all levels of government establish a
foundation to justify and guide preparedness activities and investments. A common
approach to that process will enable the whole community to maintain a baseline
understanding of the risks that they face, facilitating efforts to identify capability and
resource gaps, focus capability improvements, and inform the community of actions
they can take to manage their risks. In order to qualify for FY 2012 funding, all
grantees shall develop and maintain a THIRA.
THIRAs should include the range of threats and hazards faced by an applicant. The
assessment should be based on analysis of the relative consequences of the various
threats and hazards with consideration of empirical data to the maximum degree
possible. An effective THIRA will allow the applicant to compare and prioritize risks,
even if they are dissimilar, by identifying possible threats and hazards, the associated
vulnerabilities and cascading effects. THIRA findings should be incorporated into
each applicant’s preparedness strategy, planning, IJ, and assessment
documentation–addressing capability gaps identified during the THIRA process.
An intergovernmental THIRA system is envisioned in the National Preparedness
System in which jurisdictions' respective THIRAs can inform one another using a
common methodological framework. FEMA will continue to refine the process and
disseminate guidance throughout FY 2012. Grantees should work with FEMA to
incorporate additional guidance into their THIRA as it becomes available.
Measurement Methods
Percentage of THIRAs that meet the qualifications set forth by DHS
Reporting
Grantees will be required to develop a THIRA and upload a copy on ND
Grants no later than December 31, 2012. The THIRA must be updated and
reviewed by DHS for consistency and content annually
Objective Two: Planning. The CPG 101 v.2 September 2010 helps planners at all
levels of government in their efforts to develop and maintain viable all-hazards, all27
Appendix B – FY 2012 Program Specific Priorities
threats emergency operations plans (EOPs) by engaging the whole community in
thinking through the life cycle of a potential crisis, determining required capabilities,
and establishing a framework for roles and responsibilities. All SHSP and UASI
grantees that maintain, or revise as necessary, an EOP shall ensure their
consistency with the CPG 101 v2 September 2010 which serves as the foundation for
State, local, tribal, and territory emergency planning. CPG 101 v.2 can be found at
http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf. Grantees must
update their EOPs at least once every two years. A Plan Analysis Tool to describe
progress towards complying with CPG 101 v.2 is published and available at
http://www.fema.gov/prepared/plan.shtm.
Measurement Method
All SHSP and UASI grantees will report progress toward making their EOPs
compliant with CPG 101 v.2 by completing the Plan Analysis Tool for
Compliance with CPG 101 v.2 available at
http://www.fema.gov/prepared/plan.shtm
Reporting
Any SHSP or UASI grantee that maintains an EOP is required to submit the
above referenced Plan Analysis Tool annually and is required to include biannual updates on percentage completion of CPG 101 v.2 compliance within
the SF-PPR
Objective Three: Organization – Typing of Equipment and Training. SHSP and
UASI provide funding for equipment, training, and exercises for the prevention,
protection against, response to and recovery from terrorism events. A well executed
mission requires carefully managed resources (personnel, teams, facilities,
equipment, and/or supplies) from the Whole Community to meet incident needs.
Utilization of standardized resource management concepts such as typing,
inventorying, organizing, and tracking will facilitate the dispatch, deployment, and
recovery of resources before, during, and after an incident.
Measurement Method
Percentage of total equipment that was purchased using a typed resource
under the NIMS in support of developing or maintaining core capability
Percentage of all personnel trained in a given capability to support a reported
number of defined resource typed teams (e.g., Technical search and rescue
equipment for urban search and rescue must be identified for use in the
development of a NIMS defined Urban Search and Rescue (USAR) team or to
outfit technical rescue specialists as typed single resources)
Percentage of defined type of resource and core capabilities built utilizing
grant funds
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Appendix B – FY 2012 Program Specific Priorities
Reporting
All grantees will report what equipment was purchased and what typed
capability it supports as part of SF-PPR reporting;
All grantees will report in the SF-PPR the number of people trained in a given
capability to support a reported number of defined resource typed teams (e.g.,
63 responders were trained in structural collapse to support 23 Type 2 USAR
Teams); and
All grantees will report the total number of a defined type of resource and core
capabilities built utilizing the resources of this grant as part of the SF-PPR.
Objective Four: Sustaining Capabilities. In this time of limited resources, HSGP
grantees should ensure that grant funding is utilized to sustain core capabilities within
the NPG that were funded by past HSGP funding cycles to include training of
personnel and lifecycle replacement of equipment. New capabilities should not be
built at the expense of maintaining current, essential capabilities. If new capabilities
are being built utilizing HSGP funding, grantees must ensure that the capabilities are
able to be deployable outside of their community to support regional and national
efforts. All capabilities being built or sustained must have a clear linkage one or more
core capabilities in the NPG.
Measurement Method
Percentage of proposed funding, on a project by project basis, supporting the
sustainment of the NPG’s core capabilities
Reporting
As part of programmatic monitoring grantees will be required to describe how
expenditures first support maintenance and sustainment of current NPG core
capabilities within the SF-PPR
Priority Two: Building and Sustaining Law Enforcement Terrorism Prevention
Capabilities1
As the terrorist threat to the United States has evolved, Federal, State, and local
governments have sought to expand their capacity to detect and mitigate the threat
posed by those who seek to carry out violent attacks against the people, government or
critical infrastructure of the United States. The threat posed by homegrown terrorism is
real and not limited to a single ideology. Foreign terrorist groups affiliated with al-Qaida,
and individual terrorist thought leaders, are actively seeking to recruit or inspire
Westerners to carry out attacks against western and United States targets. The United
States must remain vigilant against homegrown and foreign terrorist threats.
1
Note that this priority has been renamed from Building Prevention and Protection Capabilities in FY 2011 to Building Law
Enforcement Terrorism Prevention Capabilities in FY 2012.
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Appendix B – FY 2012 Program Specific Priorities
In support of the NPG’s core capabilities, DHS encourages the use of SHSP and UASI
funding for programs and initiatives that directly support local efforts to enable
interdiction and disruption of terrorist activity through enhanced understanding and
recognition of pre-operational activity and other crimes, that may be precursors or
indicators of terrorist activity, in accordance with applicable P/CRCL protections. Such
activities include:
Maturation and enhancement of recognized State and major Urban Area fusion
centers, including information sharing and analysis, target hardening, threat
recognition, and terrorist interdiction, and training/ hiring of intelligence analysts;
Implementation and maintenance of the Nationwide SAR Initiative (NSI),
including training for front line personnel on identifying and reporting suspicious
activities;
Implementation of the “If You See Something, Say Something™” campaign to
raise public awareness of indicators of terrorism and violent crime and
associated efforts to increase the sharing of information with public and private
sector partners, including nonprofit organizations;
Training for countering violent extremism; development, implementation, and/or
expansion of programs to engage communities that may be targeted by violent
extremist radicalization; and the development and implementation of projects to
partner with local communities to prevent radicalization to violence, in
accordance with the Strategic Implementation Plan (SIP) to the National Strategy
on Empowering Local Partners to Prevent Violent Extremism in the United
States; and
Increase physical security, via law enforcement personnel and other protective
measures by implementing preventive and protective measures related to at-risk
nonprofit organizations.
Objective One: NSI Training. All personnel funded with SHSP and UASI funding
and engaged in the NSI will complete the Department’s NSI training.
Measurement Method
Percentage of SHSP and UASI funded personnel who are engaged in the NSI
and have completed the training
Reporting
Submission of a certification as part of SF-PPR indicating the number of
personnel involved in the NSI as well as the number of personnel who have
completed the required training
Priority Three: Maturation and Enhancement of State and Major Urban Area
Fusion Centers
One of the Department‘s highest priorities in FY 2012 remains support for recognized
State and major Urban Area fusion centers and the maturation of the Information
30
Appendix B – FY 2012 Program Specific Priorities
Sharing Environment (ISE). Fusion centers serve as focal points within the State and
local environment for the receipt, analysis, gathering, and sharing of threat-related
information between the Federal government and State, local, tribal, territorial (SLTT)
and private sector partners. Building a National Network of Fusion Centers (National
Network) empowers law enforcement, fire, emergency management and homeland
security personnel by helping them understand local implications of national
intelligence, thus enabling them to better protect their communities.
A National Network also provides a mechanism for the Federal government to receive
information from SLTT partners, which helps create a more complete intelligence
picture at the National level. With timely, accurate information on potential terrorist
threats, fusion centers can also directly contribute to and inform investigations initiated
and conducted by Federal entities, such as the Joint Terrorism Task Forces led by the
Federal Bureau of Investigation (FBI). The 2010 National Security Strategy identifies
fusion centers as critical in enlisting all of our intelligence, law enforcement, fire,
emergency, management, and homeland security capabilities to prevent acts of
terrorism on American soil.
In support of this strategic vision, the Department is requiring recognized State and
major Urban Area fusion centers to participate in an annual assessment of their
achievement of Critical Operational Capabilities (COCs) and Enabling Capabilities
(ECs), as based upon the Global Justice Information Sharing Initiative‘s (Global)
Baseline Capabilities for State and Major Urban Area Fusion Centers. The four COCs
are: receive; analyze; disseminate; and gather. The four ECs are: Privacy, Civil Rights,
and Civil Liberties (P/CRCL) Protection; Sustainment Strategy; Communications and
Outreach; and Security. The results from this assessment will help fusion centers
identify gaps in their operational and enabling capabilities. Mitigating these gaps will
enhance fusion centers’ capacity to improve the nation’s ability to safeguard the
homeland and prevent terrorist and criminal activity, while enabling local officials to
better protect their communities.
As maturation of the National Network is one of the Department‘s highest priorities in FY
2012, DHS is requiring that all fusion center related funding requests be consolidated
into a single (1) Investment for States or Urban Areas, in which recognized fusion
centers reside, and this Investment must address funding support for the recognized
fusion center. Grantees must coordinate with the fusion center when developing a
fusion center Investment prior to submission, and Investment requests must
directly align to and reference any capability gaps identified during the center’s
individual 2011 Fusion Center Assessment Report. In particular, each proposed
project included in the fusion center Investment must reference the
corresponding COC or EC, as well as associated attribute(s), the funding
investment is intended to address. Additionally, any jurisdiction or agency that
leverages HSGP funds to support intelligence- or fusion process-related activities (i.e.,
intelligence unit, real time crime information and analysis centers, etc.) must ensure
these efforts are integrated and/or coordinated with the respective State or major Urban
Area fusion center(s).
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Appendix B – FY 2012 Program Specific Priorities
Background: The Baseline Capabilities for State and Major Urban Area Fusion Centers
(September 2008) identifies the baseline capabilities for fusion centers and the
operational standards necessary to achieve each of the capabilities across the National
Network. Fusion centers, in partnership with the Federal Government, prioritized four
COCs, which reflect the operational priorities of the National Network, and four ECs,
which provide a foundation for the fusion process. During the annual fusion center
assessment, fusion centers are assessed on their ability to execute the COCs and ECs.
Objective One: Baseline Capabilities. Fusion centers leveraging SHSP and/or
UASI grant funds must prioritize the allocation of these grant funds to any capability
gaps identified as a result of the 2011 Fusion Center Assessment and, only after
identified capability gaps have been addressed, maintain and enhance capabilities in
execution of the COCs and ECs. This will ensure the implementation of common and
consistent operational standards across the National Network.
Objective Two: Analytic Capabilities. All fusion center analytic personnel must
demonstrate qualifications that meet or exceed competencies identified in the
Common Competencies for State, Local, and Tribal Intelligence Analysts. In addition
to these training requirements, fusion centers should also continue to mature their
analytic capabilities by addressing gaps in analytic capability identified during the
annual fusion center assessment.
Measurement Methods (Fusion Center Reporting and Compliance)
In order to effectively measure implementation of this priority, recognized State
and major Urban Area fusion centers leveraging SHSP and/or UASI grant funds
will be evaluated based upon compliance with the following:
Successful completion of the annual Fusion Center Assessment Program
managed by the DHS Office of Intelligence and Analysis (I&A). The Fusion
Center Assessment Program is comprised of the self assessment, validation,
staffing and product tables, and cost assessment data and will evaluate each
Fusion Center against the four COCs
Have approved plans, policies, or SOPs and, per the Fusion Center
Assessment Program, demonstrate improvement in each of the four COCs
Have an approved P/CRCL policy that is determined to be at least as
comprehensive as the ISE Privacy Guidelines
Conduct an annual audit of their P/CRCL policy in accordance with the Privacy
Civil Rights and Civil Liberties Compliance Verification for the Intelligence
Enterprise (http://it.ojp.gov/docdownloader.aspx?ddid=1285)
Ensure all staff receive annual training on both the center‘s P/CRCL policies
and 28 CFR Part 23
All fusion center analytic personnel must meet designated competencies, as
identified in the Common Competencies for State, Local, and Tribal
Intelligence Analysts, that have been acquired through experience or training
courses Successfully complete an exercise to evaluate the implementation of
32
Appendix B – FY 2012 Program Specific Priorities
the four COCs at least once every two years and address any corrective
actions arising from the successfully completed exercises
Reporting
For SHSP and UASI, fusion centers will report on the achievement of
capabilities and compliance with measurement requirements within the
Maturation and Enhancement of State and Major Urban Area Fusion Centers
priority through the annual Fusion Center Assessment Program managed by
DHS I&A and reported to FEMA
HSGP Program Priorities
Homeland Security Strategy Updates
State and Urban Area Homeland Security Strategies are designed to 1) provide a
blueprint for comprehensive, enterprise-wide planning for homeland security efforts; and
2) provide a strategic plan for the use of related Federal, State, local, tribal, and private
resources within the State and/or Urban Area before, during, and after threatened or
actual domestic terrorist attacks, major disasters, and other emergencies.
State and Urban Area Homeland Security Strategies should be updated every two (2)
years at a minimum, to ensure that their strategies continue to address all homeland
security mission areas (prevent, protect against, respond to, recover from, and mitigate
all hazards) and reflect how their goals and objectives align to PPD-8 and the Whole
Community approach. When revisiting and updating the strategies, goals, and
objectives, States and Urban Areas are strongly encouraged to consider collaboration
across disciplines, jurisdictions, and agencies within the framework of the mission areas
and based on a capability-based planning approach.
Whole Community Engagement
DHS strongly encourages States, Urban Areas and regions to work with the Whole
Community to advance community and individual preparedness and to work as a nation
to build and sustain resilience.
Collaboration with Tribes
DHS strongly encourages States, Urban Areas, and regions to work with tribal nations
in overall initiatives such as whole community emergency preparedness and
management planning as well as other partnership areas.
Collaboration with Nonprofit Organizations
DHS strongly encourages States, Urban Areas, and regions to work with the nonprofit
community, including through the dedication of LETPA funds and resources, to address
the terrorism prevention concerns and needs of the nonprofit sector.
Consolidation of Law Enforcement Terrorism Prevention Activities
Per the Homeland Security Act of 2002 (Public Law 107–296), Title XX, § 2006, as
amended by the 9/11 Act, Title I, §101, August 3, 2007, 121 Stat. 280, 6 U.S.C. § 607,
33
Appendix B – FY 2012 Program Specific Priorities
States are required to ensure that at least 25 percent (25%) of the combined HSGP
funds allocated under SHSP and UASI are dedicated towards law enforcement
terrorism prevention activities. The LETPA allocation can be from SHSP, UASI or both.
This requirement does not include award funds from OPSG. Please refer to Appendix A
– Program Specific Allocations for LETPA minimum allocations for SHSP and UASI by
jurisdiction.
In order to leverage funds for LETPA, activities outlined in the Building Law
Enforcement Terrorism Prevention Capabilities are eligible for use of LETPA focused
funds. Other terrorism prevention activities proposed for funding under LETPA must be
approved by the FEMA Administrator.
Supplemental SHSP Guidance
The SHSP is a core assistance program that provides funds to build capabilities at the
State, local, tribal, and territorial levels, to enhance our national resilience to absorb
disruptions and rapidly recover from incidents both natural and manmade as well as to
implement the goals and objectives included in State homeland security strategies and
initiatives in their State Preparedness Report (SPR).
Activities implemented under SHSP must support terrorism preparedness by building or
enhancing capabilities that relate to the prevention of, protection from, mitigation of,
response to, and recovery from terrorism in order to be considered eligible. However,
many capabilities which support terrorism preparedness simultaneously support
preparedness for other hazards. Grantees must demonstrate this dual-use quality for
any activities implemented under this program that are not explicitly focused on
terrorism preparedness.
Governance
Homeland security partners should examine how they integrate preparedness activities
across disciplines, agencies, and levels of government, including State, territorial, local,
and tribal units of government. A cohesive planning framework should be incorporated
that builds and implements homeland security initiatives which leverage DHS resources,
as well as other Federal, State, territory, local, private sector, and tribal resources.
Specific attention should be paid to how all available preparedness funding sources
(multiple Federal sources as well as State and local sources) can be effectively utilized
in a collaborative manner to support the whole community approach to emergency
preparedness and management and to the enhancement of overall capabilities.
The FY 2012 HSGP re-emphasizes the importance of creating or utilizing existing
governing bodies to act on this guidance and coordinate grant resources. Examples
include: State Senior Advisory Committees, Urban Area Working Groups (UAWGs),
Statewide Interoperability Governing Board (SIGB), County Emergency Management
and Fire Departments, Area Maritime Security Committees, Citizen Corps Councils or
their equivalent, and Children’s Working Groups. To ensure ongoing coordination
efforts, SAAs are encouraged to share community preparedness information submitted
in the State’s BSIR with the State Citizen Corps Program Manager or his/her equivalent.
34
Appendix B – FY 2012 Program Specific Priorities
As a reminder, the membership of the Senior Advisory Committee must, at a minimum,
include the following State officials directly responsible for the administration of FEMA
GPD grants, Centers for Disease Control and Prevention (CDC), Assistant Secretary for
Preparedness and Response (ASPR) cooperative agreements, and Emergency Medical
Services for Children (EMSC) grants: the SAA, ASPR Hospital Preparedness Program
(HPP) Coordinator, and CDC Public Health Emergency Preparedness (PHEP) Program
Director. In addition, program representatives from the following entities should be
members of the committee: State Homeland Security Advisor (if this role is not also the
SAA), State Emergency Management Agency Director, State Public Health Officer,
State Public Safety Officer (and SAA for Justice Assistance Grants, if different), State
Court Official, State EMS Director, State Trauma System Manager, Statewide
Interoperability Coordinator, State Citizen Corps or equivalent Point of Contact (POC),
the State EMSC Coordinator, State Education Department, State Human Services
Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area
POC, United States Coast Guard Area Command or Captain of the Port, Senior
Members of the Regional Transit Security Working Group, Senior Security Officials from
Major Transportation Systems, and the Adjutant General.
Supplemental UASI Guidance
The UASI program is intended to provide financial assistance to address the unique
multi-discipline planning, organization, equipment, training, and exercise needs of highthreat, high-density Urban Areas, and to assist these Areas in building and sustaining
capabilities to prevent, protect against, mitigate, respond to, and recover from threats or
acts of terrorism using the Whole Community approach. Activities implemented with
UASI funds must support terrorism preparedness by building or enhancing capabilities
that relate to the prevention of, protection from, mitigation of, response to or recovery
from terrorism in order to be considered eligible. However, many capabilities which
support terrorism preparedness simultaneously support preparedness for other hazards.
Grantees must demonstrate the dual-use quality for any activities implemented that are
not explicitly focused on terrorism preparedness.
Urban Areas must use UASI funds to employ regional approaches to overall
preparedness and are encouraged to adopt regional response structures whenever
appropriate. UASI program implementation and governance must include regional
partners and should have balanced representation among entities with operational
responsibilities for prevention, protection, mitigation, response, and recovery activities
within the region. In some instances Urban Area boundaries cross State borders. States
must ensure that the identified Urban Areas take an inclusive regional approach to the
development and implementation of the FY 2012 UASI program and involve the
contiguous jurisdictions, mutual aid partners, port authorities, rail and transit authorities,
State agencies, Statewide Interoperability Coordinators, Citizen Corps Council(s) or
their equivalent, and campus law enforcement in their program activities.
Grantees must also demonstrate the integration of children and individuals with
disabilities or access and functional needs into activities implemented under this
program.
35
Appendix B – FY 2012 Program Specific Priorities
Composition
Pursuant to provisions of the 9/11 Act, eligible FY 2012 UASI sites were determined
based on an analysis of relative risk of the 100 most populous Metropolitan Statistical
Areas (MSAs), as defined by OMB. MSAs are used by DHS to determine eligibility for
participation in the program. Geographical areas queried do not equate to minimum
mandated membership representation of an Urban Area, nor does this guarantee
funding for geographical areas queried. UAWGs must continue to take a regional
approach to membership but are not required to expand or contract existing Urban Area
participation to conform to MSA composition as a result of this legislative change.
Detailed information on MSAs is publicly available from the United States Census
Bureau at http://www.census.gov/population/www/metroareas/metrodef.html.
Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and
programmatic administration requirements of the FY 2012 UASI program.
Identify POCs. The SAA must confirm a specific POC with the designated
Urban Area. The SAA POCs are responsible for identifying and coordinating with
the POC for the UAWG. This information must be provided to FEMA with the
grant application. SAAs must work with existing Urban Areas to ensure that
information for current POCs is on file with FEMA.
Define the Urban Area. The SAA POC, in coordination with the candidate
Urban Areas, must define the Urban Area, as it will apply to the FY 2012 UASI
program. The identified city or combined entity represents the candidate Urban
Area eligible to apply for funding under the FY 2012 UASI program. For those
Urban Areas with a combined entity, that area represents the minimum area that
must be part of the defined Urban Area. The definition of the Urban Area is
limited to jurisdictions contiguous to the geographic area used to determine
eligibility, or those jurisdictions in that area which have established formal mutual
aid agreements. States may request a waiver for this limitation for regions
previously established by Executive Order, law, or compact. For the purposes of
the FY 2012 UASI program, the Washington, D.C. Urban Area will consist of the
National Capital Region (NCR) as set forth in 10 U.S.C. §2674(f)(2). In
coordination with the UAWG, the SAA POC may redefine the geographic
boundaries of an existing Urban Area, as it will apply to the FY 2012 UASI
program. The SAA POC must notify FEMA of this change.
Establish the UAWG. Membership in the UAWG must provide either direct or
indirect representation for all the jurisdictions and response disciplines (including
law enforcement, fire, and emergency management) that comprise the defined
Urban Area. It must also be inclusive of local Citizen Corps Council or their
equivalent and tribal representatives. The UAWG should also ensure the
integration of local emergency management, health, and medical systems into a
coordinated, sustained local capability to respond effectively to a mass casualty
incident. The UAWG should also include officials responsible for the
36
Appendix B – FY 2012 Program Specific Priorities
administration of Center for Disease Control (CDC) and Office of the Assistant
Secretary for Preparedness and Response (ASPR) cooperative agreements.
Finally, it is also recommended that members advocating on behalf of vulnerable
populations including youth, the elderly and individuals with functional needs,
socio-economic factors and cultural diversity, be invited to provide
representation.
The SAA POC must ensure that appropriate representation for the defined Urban
Area is included per this guidance. FEMA strongly encourages that, wherever
possible, previously established local working groups should be leveraged for
this purpose to ensure that UASI resources are managed in the most efficient
and effective manner possible. The UAWG may also support State efforts to
develop the State Preparedness Report, particularly as it relates to UASI
activities.
An overview of the UAWG structure and a list of members and their associated
jurisdictions must be provided to FEMA along with the grant application. Urban
Areas must notify the SAA of any updates to the UAWG structure or
membership, of which the SAA must thereafter provide notification to FEMA.
Governance. The jurisdictions identified in Appendix A – FY 2012 Program
Specific Allocations represent the candidate Urban Areas eligible to apply for
funding. The UAWG will be responsible for coordinating the development and
implementation of all program initiatives. States and Urban Areas must consider
including counties within which the cities reside, contiguous jurisdictions, MSAs,
operational areas, and mutual aid partners, as appropriate, in the governance
process.
In keeping with sound project management practices, the UAWG must ensure
that its approach to critical issues such as membership, governance structure,
voting rights, grant management and administration responsibilities, and funding
allocation methodologies are formalized in a working group charter or other form
of standard operating procedure related to the UASI governance. The charter
must also outline how decisions made in UAWG meetings will be documented
and shared with UAWG members. The UAWG charter must be on file with
FEMA prior to drawing down FY 2012 UASI funding and must be available to all
UAWG members to promote transparency in decision-making related to the UASI
program.
Urban Area Homeland Security Strategy. Urban Areas must utilize their Urban
Area Homeland Security Strategy as the basis for requesting funds to support
Investments identified in their UASI IJ. There must be a clear correlation
between the goals, objectives, and priorities identified in the Urban Area
Homeland Security Strategy and proposed FY 2012 UASI program activities. In
addition, the Urban Area Homeland Security Strategy must also be consistent
with and supportive of the State Homeland Security Strategy. All Urban Areas
37
Appendix B – FY 2012 Program Specific Priorities
receiving funding in FY 2012 must have an approved Urban Area Homeland
Security Strategy.
Allocation of Funds
The use and allocation of all grant funds available through the FY 2012 UASI program
must focus on the Investments identified in the Urban Area’s IJ and the implementation
of the FEMA-approved Urban Area Homeland Security Strategy. The use of funds must
also be consistent with overall UASI program guidelines, the State Homeland Security
Strategy, PPD-8: National Preparedness, and must develop or sustain one or more core
capabilities in the NPG. Funds used to support whole community and individual
preparedness related efforts, such as engaging non-governmental organizations and
vulnerable populations demonstrating the integration of children and individuals with
disabilities or access and functional needs in all phases of emergency management,
participation of disaster volunteers, such as Community Emergency Response Teams
(CERT)in training, exercises and response and recovery operations, and educating the
public should be coordinated with local CERT programs, Citizen Corps Councils or their
equivalent.
The UAWG, in coordination with the SAA POC, must develop a methodology for
allocating funding available through the UASI program. The UAWG must reach
consensus on all UASI funding allocations. If consensus cannot be reached within the
45-day time period allotted for the State to obligate funds to sub-grantees, the SAA
must make the allocation determination. The SAA must provide written documentation
verifying the consensus of the UAWG, or the failure to achieve otherwise, on the
allocation of funds and submit it to FEMA immediately after the 45-day time period
allotted for the State to obligate funds to sub-grantees.
Any UASI funds retained by the State must be used in direct support of the Urban Area.
States must provide documentation to the UAWG and FEMA upon request
demonstrating how any UASI funds retained by the State are directly supporting the
Urban Area. If the SAA intends to retain any UASI funds, the SAA must prepare an
Investment that demonstrates how the retained funds will be used to directly support the
designated Urban Area in the State. This Investment should be included in the
designated Urban Area’s IJ.
Supplemental OPSG Guidance
OPSG provides funding to designated localities to enhance cooperation and
coordination between Federal, State, local, tribal, and territorial law enforcement
agencies in a joint mission to secure the United States borders along routes of ingress
from international borders to include travel corridors in States bordering Mexico and
Canada, as well as States and territories with International water borders.
FY 2012 OPSG is intended to support United States border States and territories in
accomplishing the following objectives:
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Appendix B – FY 2012 Program Specific Priorities
Increase capability to prevent, protect against, and respond to border security
issues;
Encourage local operational objectives and capabilities to enhance National and
State Homeland Security Strategies (such as the Federal Secure Borders
Initiative and United States Customs and Border Protection (CBP)/Border Patrol
(BP) strategies);
Increase coordination and collaboration among Federal, State, local, tribal, and
territorial law enforcement agencies;
Continue the distinct capability enhancements required for border security and
border protection;
Provide intelligence-based operations through CBP/BP Sector Level experts to
ensure safety and operational oversight of Federal, State, local, tribal, and
territorial law enforcement agencies participating in OPSG operational activities;
Support a request to the Governor to activate, deploy, or redeploy specialized
National Guard Units/Packages and/or elements of State law enforcement to
increase or augment specialized/technical law enforcement elements operational
activities; and
Continue to increase operational, material and technological readiness of State,
local, tribal, and territorial law enforcement agencies.
The FY 2012 OPSG funds must be used to increase operational capabilities of Federal,
State, local, tribal, and territorial law enforcement, promoting a layered, coordinated
approach to law enforcement within United States border States and territories.
Federal, State, Local, Tribal, and Territorial OPSG Integrated Planning Team
(IPT). It is recommended that Federal, State, local, tribal, and territorial partners
establish and maintain an OPSG IPT with representation from all participating
law enforcement agencies, co-chaired by representatives from CBP/BP, the
SAA, and participating law enforcement agencies’ OPSG program
representatives.
Coordination Requirements. All operational plans should be crafted in
cooperation and coordination among Federal, State, local, tribal, and territorial
partners. Consideration will be given to applications that are coordinated across
multiple jurisdictions. All applicants must coordinate with the CBP/BP Sector
Headquarters with geographic responsibility for the applicant’s location in
developing and submitting an Operations Order with an embedded budget to the
SAA.
After awards are announced, prospective grant recipients will re-scope the draft
Operations Order and resubmit as a final Operations Order with an embedded budget,
based on actual dollar amounts to be awarded. Final Operations Orders will be
approved by the appropriate Sector Headquarters and forwarded to Headquarters,
Office of Border Patrol, Washington, D.C., before funding is released.
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Appendix B – FY 2012 Program Specific Priorities
Grantees may not begin operations, obligate, or expend any funds until the final
Operations Order and embedded budget has been approved by FEMA GPD and
CBP/BP Headquarters and any existing special conditions and/or restrictions are
removed. FY 2012 OPSG activities are expected to maximize HSGP strategic planning
efforts and integration with State, tribal, territory, Urban Area, and local Homeland
Security Strategies.
Additional Coordination Requirements
Although CCP and MMRS are no longer funded as discrete grant programs within
HSGP, the following coordination requirements will remain in place for FY 2012 for
proposed activities that support mass casualty incident preparedness as well as citizen
preparedness.
Mass Casualty Incident Preparedness. Mass casualty preparedness must be
conducted in collaboration with State/city/local health department who administer
Federal funds from the Department of Health and Human Services for this purpose.
Preparedness efforts should enhance the integration of local emergency management,
health, and medical systems into a coordinated, sustained local capability to respond
effectively to a mass casualty incident. Grantees must also demonstrate how their
investments will increase the effectiveness of emergency preparedness planning and
response for the whole community by integrating and coordinating activities for children
and adults with disabilities and others with access and functional needs. Further,
grantees are strongly encouraged to collaborate with local, regional, and State health
and medical partners, such as Medical Reserve Corps Units and Citizen Corps Councils
or their equivalent, as well as leverage other Federal programs, such as the HHS ASPR
Hospital Preparedness Program and Emergency Systems for Advance Registration of
Volunteer Health Professionals (ESAR-VHP), CDC Cities Readiness Initiative (CRI),
PHEP, and Strategic National Stockpile Programs. Grantees are also encouraged to
engage in multi-discipline preparation across first responder community, including
Emergency Medical Services (EMS) for response to catastrophic events and acts of
terrorism.
Citizen Preparedness. Citizen preparedness must be coordinated by an integrated
body of government and nongovernmental representatives. State and local government
recipients of HSGP funds must have a body to serve as their Citizen Corps Council or
their equivalent with membership that includes, but is not limited to: representatives
from emergency management, homeland security, law enforcement, fire service,
emergency medical services/public health or their designee, elected officials, the private
sector (especially privately owned critical infrastructure), private nonprofits,
nongovernmental organizations (including faith-based, community-based, and voluntary
organizations), and advocacy groups for children, seniors, people with disabilities and
others with access and functional needs. Furthermore, citizen preparedness efforts
should include advocates and specialists representing the unique needs of infants and
children and representatives from the disability community.
40
Appendix B – FY 2012 Program Specific Priorities
Appendix C – Funding Guidelines
Grantees must comply with all the requirements in 44 CFR Part §13 and 2 CFR Part
§215.
In general, grantees should consult with their FEMA Headquarters Program Analyst
prior to making any Investment that does not clearly meet the allowable expense criteria
established by the FOA. Funding guidelines established within this section support the
five mission areas—Prevention, Protection, Mitigation, Response, and Recovery—and
associated core capabilities within the NPG.
Management and Administration (SHSP, UASI, and OPSG)
A maximum of up to five percent (5%) of HSGP funds awarded may be retained by the
State, and any funds retained are to be used solely for management and administration
purposes associated with the HSGP award. This includes allowability of M&A for
OPSG. States may pass through a portion of the State M&A allocation to local subgrantees to support local M&A activities. Sub-grantees may also retain a maximum of
up to five percent (5%) of funding passed through by the State solely for management
and administration purposes associated with the HSGP award. For additional
information on M&A, refer to Information Bulletin 365 located at
http://www.fema.gov/government/grant/bulletins/index.shtm#1.
Allowable Investments made in support of the HSGP priorities as well as other
capability-enhancing projects must fall into the categories of planning, organization,
exercises, training, or equipment.
Planning (SHSP, UASI, and OPSG)
FY 2012 SHSP and UASI funds may be used for a range of emergency preparedness
and management planning activities and that support Performance Objectives such as
THIRA and Planning, by placing an emphasis on updating and maintaining a current
EOP that conforms to the guidelines outlined in CPG 101 v.2 as well as development
and maintenance of a THIRA. Planning must include participation from all stakeholders
in the community who are able to contribute critical perspectives and may have a role in
executing the plan. Planning should be flexible enough to address incidents of varying
types and magnitudes.
Grantees must use the CPG 101: Developing and Maintaining Emergency Operations
Plans in order to develop robust and effective plans. For additional information, please
see http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf.
Organization (SHSP and UASI Only)
Organizational activities include:
Program management;
Development of whole community partnerships;
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Appendix C – Funding Guidelines
Structures and mechanisms for information sharing between the public and
private sector;
Tools, resources and activities that facilitate shared situational awareness
between the public and private sectors;
Operational Support;
As identified in priority one utilization of standardized resource management
concepts such as typing, inventorying, organizing, and tracking to facilitate the
dispatch, deployment, and recovery of resources before, during, and after an
incident;
Responding to an increase in the threat level under the National Terrorism
Advisory System (NTAS), or needs in resulting from a National Special Security
Event; and
Paying salaries and benefits for personnel to serve as qualified intelligence
analysts.
States and Urban Areas must justify proposed expenditures of SHSP or UASI funds to
support organization activities within their IJ submission by using historical data or other
analysis. All States are allowed to utilize up to 50 percent (50%) of their FY 2012 SHSP
funding and all Urban Areas are allowed up to 50 percent (50%) of their FY 2012 UASI
funding for personnel costs. At the request of a recipient of a grant, the Administrator
may grant a waiver of the 50 percent (50%) limitation noted above. Organizational
activities under SHSP and UASI include:
Intelligence analysts. Per the Personnel Reimbursement for Intelligence
Cooperation and Enhancement (PRICE) of Homeland Security Act (Public Law
110-412), SHSP and UASI funds may be used to hire new staff and/or contractor
positions to serve as intelligence analysts to enable information/intelligence
sharing capabilities, as well as support existing intelligence analysts previously
covered by SHSP or UASI funding. In order to be hired as an intelligence
analyst, staff and/or contractor personnel must meet at least one of the following
criteria:
- Successfully complete training to ensure baseline proficiency in
intelligence analysis and production within six months of being hired;
and/or,
- Previously served as an intelligence analyst for a minimum of two years
either in a Federal intelligence agency, the military, or State and/or local
law enforcement intelligence unit
As identified in the Maturation and Enhancement of State and Major Urban Area Fusion
Centers priority, all fusion centers analytic personnel must demonstrate qualifications
that meet or exceed competencies identified in the Common Competencies for State,
Local, and Tribal Intelligence Analysts, which outlines the minimum categories of
training needed for intelligence analysts. These include subject-matter expertise,
analytic methodologies, customer-service ethics, information handling and processing
skills, critical thinking skills, computer literacy, and objectivity and intellectual honesty.
A certificate of completion of such training must be on file with the SAA and must be
42
Appendix C – Funding Guidelines
made available to FEMA Program Analysts upon request. In addition to these training
requirements, fusion centers should also continue to mature their analytic capabilities by
addressing gaps in analytic capability identified during the fusion center’s BCA.
Overtime costs. Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities specifically related to
homeland security and specifically requested by a Federal agency. Allowable
costs are limited to overtime associated with federally requested participation in
eligible fusion activities including anti-terrorism task forces, Joint Terrorism Task
Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime
Transportation Security Act of 2002), DHS Border Enforcement Security Task
Forces, and Integrated Border Enforcement Teams. Grant funding can only be
used in proportion to the Federal man-hour estimate, and only after funding for
these activities from other Federal sources (i.e. FBI JTTF payments to State and
local agencies) has been exhausted. Under no circumstances should DHS grant
funding be used to pay for costs already supported by funding from another
Federal source.
Operational overtime costs. In support of efforts to enhance capabilities for
detecting, deterring, disrupting, and preventing acts of terrorism, operational
overtime costs are allowable for increased security measures at critical
infrastructure sites. FY 2012 SHSP or UASI funds for organizational costs may
be used to support select operational expenses associated with increased
security measures at critical infrastructure sites in the following authorized
categories:
- Backfill and overtime expenses (as defined in this FOA) for staffing State
or Major Urban Area fusion centers;
- Hiring of contracted security for critical infrastructure sites;
- Public safety overtime (as defined in this FOA);
- Title 32 or State Active Duty National Guard deployments to protect critical
infrastructure sites, including all resources that are part of the standard
National Guard deployment package (Note: Consumable costs, such as
fuel expenses, are not allowed except as part of the standard National
Guard deployment package); and
- Increased border security activities in coordination with CBP, as outlined
in Information Bulletin 135.
FY 2012 SHSP funds may only be spent for operational overtime costs upon prior
approval provided in writing by the FEMA Administrator.
Note: States with UASI jurisdictions can use funds retained at the State level to
reimburse eligible operational overtime expenses incurred by the State (per the above
guidance limitations and up to a maximum of 50 percent (50%) of the State share of the
UASI grant). Any UASI funds retained by the State must be used in direct support of
the Urban Area. States must provide documentation to the Urban Area Working Group
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Appendix C – Funding Guidelines
(UAWG) and FEMA upon request demonstrating how any UASI funds retained by the
State would directly support the Urban Area.
Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, response, and recovery equipment
categories and equipment standards for FY 2012 HSGP are listed on the web-based
version of the Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB), at https://www.rkb.us. 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.
Grantees (including sub-grantees) that are using FY 2012 HSGP funds to support
emergency communications activities should comply with the FY 2012 SAFECOM
Guidance for Emergency Communication Grants, including provisions on technical
standards that ensure and enhance interoperable communications. Emergency
communications activities include the purchase of Interoperable Communications
Equipment and technologies such as voice-over-internet protocol bridging or gateway
devices, or equipment to support the build out of wireless broadband networks in the
700 MHz public safety band under the Federal Communications Commission Waiver
Order. SAFECOM guidance can be found at http://www.safecomprogram.gov.
Grant funds may be used for the procurement of medical countermeasures.
Procurement of medical countermeasures must be conducted in collaboration with
State/city/local health department who administer Federal funds from the Department of
Health and Human Services for this purpose. Procurement must have a sound threat
based justification with an aim to reduce the consequences of mass casualty incidents
during the first crucial hours of a response. Prior to procuring pharmaceuticals,
grantees must have in place an inventory management plan to avoid large periodic
variations in supplies due to coinciding purchase and expiration dates. Grantees are
encouraged to enter into rotational procurement agreements with vendors and
distributors. Purchases of pharmaceuticals must include a budget for the disposal of
expired drugs within the period of performance of the FY 2012 HSGP. The cost of
disposal cannot be carried over to another FEMA grant or grant period.
Training (SHSP and UASI)
States, territories, and Urban Areas may use HSGP funds to develop a homeland
security training program. Allowable training-related costs under HSGP include the
establishment, support, conduct, and attendance of training specifically identified under
the SHSP and UASI programs and/or in conjunction with emergency preparedness
training by other Federal agencies (e.g., HHS, Department of Transportation). Training
conducted using HSGP funds should address a performance gap identified through an
After Action Report/Improvement Plan (AAR/IP) or contribute to building a capability that
will be evaluated through an exercise. Exercises should be used to provide the
opportunity to demonstrate and validate skills learned in training, as well as to identify
training gaps. Any training or training gaps, including those for children and individuals
44
Appendix C – Funding Guidelines
with disabilities or access and functional needs, should be identified in the AAR/IP and
addressed in the State or Urban Area training cycle. All training and exercises
conducted with HSGP funds should support the development and testing of the
jurisdiction’s EOP or specific annexes, and validation of completed corrective actions
from previous exercises or real world events, where applicable.
Exercises (SHSP and UASI)
Exercises conducted with FEMA support should be managed and executed in
accordance with the Homeland Security Exercise and Evaluation Program (HSEEP).
HSEEP Guidance for exercise design, development, conduct, evaluation, and
improvement planning is located at https://hseep.dhs.gov.
All exercises using HSGP funding must be NIMS compliant. More information is
available online at the National Integration Center at
http://www.fema.gov/emergency/nims/index.shtm.
All States and Urban Areas are required to conduct a Training and Exercise Planning
Workshop (TEPW) and develop a Multi-Year Training and Exercise Plan (TEP) on an
annual basis. Such plans should take into consideration anticipated training and
exercise needs of the respective jurisdiction for at least the immediate year, with
exercises being targeted to provide responders the opportunity to utilize training
received. Such plan should also include a training and exercise schedule and States’
and Urban Areas’ priority capabilities to focus the allocation of exercise resources. This
Plan is to be submitted to the State’s respective Exercise Program point of contact. The
State Exercise Program point of contact should submit a copy of the Plan to
[email protected]. All scheduled training and exercises included in the Plan should be
entered in the HSEEP National Exercise Schedule (NEXS) System, located in the
HSEEP Toolkit on the HSEEP website. A TEPW user guide and a template of the
Multi-Year Training and Exercise Plan can be found on the HSEEP website at
https://hseep.dhs.gov. States and Urban Areas are also encouraged to participate in
their respective FEMA Regional Training and Exercise Workshop (conducted annually)
and coordinate/integrate State and Urban Area exercise initiatives accordingly. Where
applicable, the Training and Exercise Plans should include training and exercises that
support specialized programs, such as the Regional Catastrophic Preparedness Grant
Program.
Grantees must develop AAR/IPs following the completion of exercises funded under this
program; the use of HSEEP is strongly encouraged. AAR/IPs are to be submitted to
[email protected]. Please ensure the documents are encrypted (password-protected)
and the password is also sent to [email protected] via a separate email.
Maintenance and Sustainment (SHSP, UASI, and OPSG)
The use of FEMA preparedness grant funds for maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees are allowable under all active and
future grant awards, unless otherwise noted.
45
Appendix C – Funding Guidelines
FY 2012 grant funds are intended to support the NPG by funding projects that build and
sustain the core capabilities necessary to prevent, protect against, mitigate the effects
of, respond to, and recover from those threats that pose the greatest risk to the security
of the Nation. In order to provide grantees the ability to meet this objective, the policy
set forth in GPD’s Information Bulletin 336 (Maintenance and Sustainment) has been
expanded to allow for the support of equipment that has previously been purchased with
both Federal grant and non-Federal grant funding. Grantees need to ensure that
eligible costs for maintenance and sustainment be an allowable expenditure under
applicable grant programs and support one of the core capabilities in the five mission
areas contained within the NPG and be deployable through EMAC, where applicable.
Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI Only)
The following activities are eligible for use of LETPA focused funds:
Maturation and enhancement of recognized State and major Urban Area fusion
centers, including information sharing and analysis, target hardening, threat
recognition, and terrorist interdiction, and training/ hiring of intelligence analysts;
Implementation and maintenance of the Nationwide SAR Initiative (NSI),
including training for front line personnel on identifying and reporting suspicious
activities;
Implementation of the “If You See Something, Say Something™” campaign to
raise public awareness of indicators of terrorism and violent crime and
associated efforts to increase the sharing of information with public and private
sector partners, including nonprofit organizations;
Training for countering violent extremism; development, implementation, and/or
expansion of programs to engage communities that may be targeted by violent
extremist radicalization; and the development and implementation of projects to
partner with local communities to prevent radicalization to violence, in
accordance with the Strategic Implementation Plan (SIP) to the National Strategy
on Empowering Local Partners to Prevent Violent Extremism in the United
States; and
Increase physical security, via law enforcement personnel and other protective
measures by implementing preventive and protective measures related to at-risk
nonprofit organizations.
For additional information, refer to the Building Law Enforcement Terrorism Prevention
Capabilities priority within Appendix B – FY 2012 HSGP Program Specific Priorities.
Critical Emergency Supplies (SHSP and UASI Only)
In furtherance of DHS’s mission, critical emergency supplies, such as shelf stable food
products, water, and basic medical supplies are an allowable expense under SHSP and
UASI. Prior to allocating grant funding for stockpiling purposes, each State must have
FEMA’s approval of a viable inventory management plan, an effective distribution
strategy, sustainment costs for such an effort, and logistics expertise to avoid situations
where funds are wasted because supplies are rendered ineffective due to lack of
planning.
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Appendix C – Funding Guidelines
The inventory management plan and distribution strategy, to include sustainment costs,
will be developed and monitored by FEMA GPD with the assistance of the FEMA
Logistics Management Directorate (LMD). GPD will coordinate with LMD and the
respective FEMA Region to provide program oversight and technical assistance as it
relates to the purchase of critical emergency supplies under UASI. GPD and LMD will
establish guidelines and requirements for the purchase of these supplies under UASI
and monitor development and status of the State’s inventory management plan and
distribution strategy.
The States (through their Emergency Management Office) are strongly encouraged to
consult with their respective FEMA Regional Logistics Chief regarding disaster logisticsrelated issues. The States are further encouraged to share their FEMA approved plans
with local jurisdictions and tribes to meet minimum inventory management plan
requirements when using FEMA grant funds.
Construction and Renovation (SHSP and UASI Only)
Project construction using SHSP and UASI funds may not exceed the greater of
$1,000,000 or 15% of the grant award. For the purposes of the limitations on funding
levels, communications towers are not considered construction.
Written approval must be provided by FEMA prior to the use of any HSGP funds for
construction or renovation. When applying for construction funds, including
communications towers, at the time of application, grantees are highly encouraged to
submit evidence of approved zoning ordinances, architectural plans, any other locally
required planning permits and documents, and to have completed as many steps as
possible for a successful EHP review in support of their proposal for funding (e.g.,
completing the FCC’s Section 106 review process for tower construction projects;
coordination with their State Historic Preservation Office to identify potential historic
preservation issues and to discuss the potential for project effects). Projects for which
the grantee believes an Environmental Assessment (EA) may be needed, as defined in
44 CFR 10.8 and 10.9, must also be identified to the FEMA Program Analyst within six
(6) months of the award and completed EHP review packets must be submitted no later
than 12 months before the end of the Period of Performance. EHP review packets
should be sent to [email protected].
FEMA is legally required to consider the potential impacts of all HSGP projects on
environmental resources and historic properties. Grantees must comply with all
applicable environmental planning and historic preservation (EHP) laws, regulations,
and Executive Orders (EOs) in order to draw down their FY 2012 HSGP grant funds. To
avoid unnecessary delays in starting a project, grantees are encouraged to pay close
attention to the reporting requirements for an EHP review. For more information on
FEMA’s EHP requirements, SAAs should refer to Information Bulletins 329 and 345
(http://www.fema.gov/government/grant/bulletins/index.shtm).
FY 2012 HSGP Program grantees using funds for construction projects must comply
with the Davis-Bacon Act (40 U.S.C. 3141 et seq.). Grant recipients must ensure that
47
Appendix C – Funding Guidelines
their contractors or subcontractors for construction projects pay workers employed
directly at the work-site no less than the prevailing wages and fringe benefits paid on
projects of a similar character. Additional information, including Department of Labor
wage determinations, is available from the following website:
http://www.dol.gov/compliance/laws/comp-dbra.htm.
OPSG funds may not be used for any type of construction.
Personnel (SHSP and UASI)
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order
to perform allowable FY 2012 HSGP planning, training, exercise, and equipment
activities. A personnel cost cap of up to 50 percent (50%) of total SHSP and UASI
program funds may be used for personnel and personnel-related activities as directed
by the Personnel Reimbursement for Intelligence Cooperation and Enhancement
(PRICE) of Homeland Security Act (Public Law 110-412). Grantees who wish to seek a
waiver from the personnel cost cap must provide documentation explaining why the cap
should be waived; waiver requests will be considered only under extreme
circumstances. In general, the use of SHSP and UASI funding to pay for staff and/or
contractor regular time or overtime/backfill is considered a personnel cost.
For further details, SAAs should refer to Information Bulletin 358 or contact their FEMA
Headquarters Program Analyst.
FY 2012 HSGP funds may not be used to support the hiring of any personnel for the
purposes of fulfilling traditional public health and safety duties or to supplant traditional
public health and safety positions and responsibilities.
Definitions for hiring, overtime, backfill-related overtime, and supplanting remain
unchanged from FY 2011 HSGP.
Operational Packages (SHSP and UASI)
Applicants may elect to pursue operational package (OPack) funding, such as Canine
Teams, Mobile Explosive Screening Teams, and Anti Terrorism Teams, for new
capabilities as well as sustain existing OPacks. Applicants must commit to minimum
training standards to be set by the Department for all federally funded security positions.
Applicants must also ensure that the capabilities are able to be deployable, through
EMAC, outside of their community to support regional and national efforts. When
requesting OPacks-related projects, applicants must demonstrate the need for
developing a new capability at the expense of sustaining existing core capability.
Applicants are reminded that personnel-related activities associated with OPacks will be
subject to the PRICE Act requirements in which all States are allowed to utilize up to 50
percent (50%) of their FY 2012 SHSP funding and all Urban Areas are allowed up to 50
percent (50%) of their FY 2012 UASI funding for personnel costs.
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Appendix C – Funding Guidelines
Western Hemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the
implementation activities associated with the Western Hemisphere Travel Initiative
(WHTI), including the issuance of WHTI-compliant tribal identification cards. More
information on the WHTI may be found at
http://www.dhs.gov/files/programs/gc_1200693579776.shtm or
http://www.getyouhome.gov/html/eng_map.html.
Other Secure Identification Initiatives (SHSP)
SHSP funds may also be used to support the Department’s additional efforts to
enhance secure identification. Activities that facilitate secure identification, including IT
enhancements for identification management and verification systems are a priority.
DHS is currently developing and implementing a number of screening programs in
which secure identification credentials figure prominently. These include the
Transportation Worker Identification Credential (TWIC) program which promotes
tamper-resistant biometric credentials for workers who require unescorted access to
secure areas of ports, vessels, outer continental shelf facilities, and all credentialed
merchant mariners; and the credentialing of first responders which entails enhancing
real-time electronic authentication of identity and attribute(s) (qualification, certification,
authorization, and/or privilege) of emergency response/critical government personnel
responding to terrorist attacks or other catastrophic events.
States are encouraged to continue implementing activities previously funded through
DLSGP that focus on securing driver’s license and identification card issuance
processes. Initiatives related to securing identification should:
Have the greatest impact upon reducing the issuance and use of fraudulent
driver’s license and identification cards;
Reduce the cost of program implementation for individuals, States, and the
Federal government;
Expedite State progress toward meeting minimum security standards; and
Plan and expedite State-specific activities to support Federal data and document
verification requirements and standards.
Operations (OPSG)
The intent of OPSG is to focus on operational aspects of enhancing coordination
between Federal, State, local, tribal, and territorial law enforcement agencies to
increase the security of the United States Borders. While equipment is an allowable
expense, the FY 2012 OPSG is not intended to be an equipment-centric grant.
Operational Overtime. Operational overtime costs associated with law
enforcement activities, in support of border law enforcement agencies for
increased border security enhancement. Per the PRICE of Homeland Security
Act (Public Law 110-412), all grantees are allowed to utilize up to 50 percent
(50%) of their FY 2012 OPSG funding for personnel related costs, which include
overtime activities. At the request of a grant recipient, the FEMA Administrator
49
Appendix C – Funding Guidelines
may waive the 50 percent (50%) personnel cap. Waiver decisions are at the
discretion of the FEMA Administrator and will be considered on a case-by-case
basis. A formal FY 2012 OPSG personnel waiver request should:
- Be requested on official letterhead, include a written justification, and be
signed by the authorized representative of the SAA;
- Include a budget and method of calculation of personnel costs both in
percentage of the grant award and in total dollar amount. To avoid
supplanting issues, the request must also include a three-year staffing
history for the requesting entity;
- Include an approved Operations Order from the CBP/BP Sector office
which supports the SAA’s written justification;
- Be coordinated with the CBP Sector and Office of the Border Patrol; and
- Be forwarded electronically by the SAA to FEMA GPD Program Analyst.
Part Time Personnel. FY 2012 OPSG funds may be used to pay additional
current part time law enforcement personnel salaries in order to bring them to
temporary full time status.
Travel, Per Diem, and Lodging. Travel and per diem include costs associated
with the deployment/redeployment of personnel to border areas and for travel
associated with law enforcement entities assisting other local jurisdictions in law
enforcement activities. In addition, costs to support up to six (6) month
deployment of law enforcement personnel to critical Southwest Border locations
to support operational activities (travel costs must be in accordance with
applicable travel regulations).
Vehicle and Equipment Rentals
Vehicle/Equipment Maintenance
Fuel Cost and/or Mileage Reimbursement. There is no cap for reimbursement of
operational activities.
Activate Reserve State, local, tribal, and territorial law enforcement personnel.
Supporting a request to the Governor to activate, deploy, or redeploy specialized
National Guard Units/Package and/or elements of State law enforcement to
increase or augment specialized/technical law enforcement elements operational
activities.
Backfill. Costs associated with backfill for personnel supporting operational
activities.
Law Enforcement Readiness. Use of FY 2012 OPSG funds may be used to
increase operational, material, and technological readiness of State, local, tribal,
and territorial law enforcement agencies.
Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with staffing and general IT
computing equipment and hardware, such as personal computers, faxes, copy
machines, modems, etc. The FY 2012 OPSG is not intended as a hiring program.
Therefore, applying funds toward hiring full-time or permanent sworn public safety
officers is unallowable. FY 2012 OPSG funding shall not be used to supplant inherent
routine patrols and law enforcement operations or activities not directly related to
providing enhanced coordination between local and Federal law enforcement agencies.
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Appendix C – Funding Guidelines
Finally, construction and/or renovation costs are prohibited under OPSG. Applicants
should refer to Information Bulletin 358
(http://www.fema.gov/government/grant/bulletins/index.shtm) or contact their FEMA
Headquarters Program Analyst at (800) 368-6498 for guidance and clarification.
Examples of Allowable Activities for SHSP and UASI
Planning Activities
Examples of planning activities include:
Developing hazard/threat-specific annexes that incorporate the range of
prevention, protection, mitigation, response, and recovery activities
Developing and implementing homeland security support programs and adopting
DHS national initiatives including but not limited to the following:
- Implementing the NPG and the Whole Community Approach to Security
and Emergency Management
- Pre-event recovery planning
- Implementing the National Infrastructure Protection Plan (NIPP) and
associated Sector Specific Plans
- Enhancing and implementing Statewide Communication Interoperable
Plan (SCIP) and Tactical Interoperable Communications Plans (TICP) that
align with the goals, objectives, and initiatives of the National Emergency
Communications Plan (NECP)
- Costs associated with the adoption, implementation, and adherence to
NIMS compliance requirements, including implementing the NIMS
National Credentialing Framework
- Modifying existing incident management and EOPs to ensure proper
alignment with the National Response Framework (NRF) coordinating
structures, processes, and protocols
- Establishing or enhancing mutual aid agreements
- Developing communications and interoperability protocols and solutions
- Conducting local, regional, and tribal program implementation meetings
- Developing or updating resource inventory assets in accordance to typed
resource definitions issued by the NIC
- Designing State and local geospatial data systems
- Developing and conducting public education and outreach campaigns,
including promoting individual, family, and organizational emergency
preparedness; alerts and warnings education; promoting training,
exercise, and volunteer opportunities; informing the public about
emergency plans, evacuation routes, shelter locations; and evacuation
plans as well as CBRNE prevention awareness
- Designing programs to address targeting at-risk populations and engaging
them in emergency management planning efforts
- Activities, materials, services, tools and equipment to achieve planning,
protection, mitigation, response and recovery that is inclusive of people
with disabilities (physical, programmatic and communications access for
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Appendix C – Funding Guidelines
people with physical, sensory, mental health, intellectual and cognitive
disabilities)
- Preparing materials for State Preparedness Reports (SPRs)
- WHTI implementation activities including the issuance of WHTI-compliant
tribal identification cards
Developing related terrorism prevention activities including:
- Developing THIRA that reflects a representative make up and composition
of the jurisdiction
- Developing initiatives that directly support local efforts to understand,
recognize, prepare for, prevent, mitigate, and respond to pre-operational
activity and other crimes that are precursors or indicators of terrorist
activity, in accordance with civil rights/civil liberties protections
- Developing law enforcement prevention activities, to include establishing
and/or enhancing a fusion center
- Hiring an IT specialist to plan, develop, and implement the IT applications
necessary for a fusion center
- Developing and planning for information/intelligence sharing groups
- Integrating and coordinating the fire service, emergency management,
public health care, public safety, and health security data-gathering
(threats to human and animal health) within State and Major Urban Area
fusion centers to achieve early warning, monitoring, and mitigation of
threats
- Integrating and coordinating private sector participation with fusion center
activities
- Developing and implementing preventive radiological/nuclear detection
activities
- Acquiring systems allowing connectivity to State, local, tribal, territorial,
and Federal data networks, such as the National Crime Information Center
(NCIC) and Integrated Automated Fingerprint Identification System
(IAFIS), as appropriate
- Planning to enhance security during heightened alerts, terrorist incidents,
and/or during mitigation and recovery
- Multi-discipline preparation across first responder community, including
EMS for response to catastrophic events and acts of terrorism
- Accessible public information/education: printed and electronic materials,
public service announcements, seminars/town hall meetings, and web
postings coordinated through local Citizen Corps Councils or their
equivalent
- Volunteer programs and other activities to strengthen citizen participation
- Conducting public education campaigns including promoting suspicious
activity reporting and preparedness; individual, family, and organizational
emergency preparedness; promoting the Ready campaign; and/or
creating State, regional, or local emergency preparedness efforts that
build upon the Ready campaign
- Evaluating Critical Infrastructure Protection (CIP) security equipment
and/or personnel requirements to protect and secure sites
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Appendix C – Funding Guidelines
- CIP cost assessments, including resources (e.g., financial, personnel)
required for security enhancements/deployments
- Multi-Jurisdiction Bombing Prevention Plans (MJBPP)
- Underwater Terrorist Protection Plans
Developing and enhancing plans and protocols, including but not limited to:
- Community-based planning to advance “whole community” security and
emergency management
- Incorporating government/non-governmental collaboration, citizen
preparedness, and volunteer participation into State and local government
homeland security strategies, policies, guidance, plans, and evaluations
- Developing, enhancing, maintaining a current EOP that conforms to the
guidelines outlined in the CPG 101 v.2
- Developing or enhancing local, regional, or Statewide strategic or tactical
interoperable emergency communications plans
- Activities associated with a conversion from wideband to narrowband
voice channels to support interoperability
- Implementing SCIP and TICPs that align with the goals, objectives, and
initiatives of the NECP
- Developing protocols or standard operating procedures for specialized
teams to incorporate the use of equipment acquired through this grant
program
- Developing terrorism prevention/protection plans
- Developing plans, procedures, and requirements for the management of
infrastructure and resources related to HSGP and implementation of State
or Urban Area Homeland Security Strategies
- Developing plans for mass evacuation and pre-positioning equipment
- Developing or enhancing plans for responding to mass casualty incidents
caused by any hazards
- Developing or enhancing applicable procedures and operational guides to
implement the response actions within the local plan including patient
tracking that addresses identifying and tracking children, access and
functional needs population, and the elderly and keeping families intact
where possible
- Developing or enhancing border security plans
- Developing or enhancing cyber security and risk mitigation plans
- Developing or enhancing secondary health screening protocols at major
points of entry (e.g., air, rail, port)
- Developing or enhancing agriculture/food security risk mitigation,
response, and recovery plans
- Developing public/private sector partnership emergency response,
assessment, and resource sharing plans
- Developing or enhancing plans to engage and interface with, and to
increase the capacity of, private sector/non-governmental entities working
to meet the human service response and recovery needs of survivors
- Developing or updating local or regional communications plans
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Appendix C – Funding Guidelines
- Developing plans to support and assist jurisdictions, such as port
authorities and rail and mass transit agencies
- Developing or enhancing continuity of operations and continuity of
government plans
- Developing or enhancing existing catastrophic incident response and
recovery plans to include and integrate Federal assets provided under the
NRF
- Developing plans and response procedures for adjudicating, validating
and responding to an alarm from a chemical or biological detector
(response procedures should include emergency response procedures
integrating local first responders)
- Developing or enhancing evacuation plans
- Developing mechanisms for utilizing the National Emergency Family
Registry and Locator System (NEFRLS)
- Developing or enhancing plans to prepare for surge capacity of volunteers
- Developing or enhancing the State emergency medical services systems
- Developing or enhancing plans for donations and volunteer management
and the engagement/integration of private sector/non-governmental
entities in preparedness, mitigation, response, and recovery activities
- Developing or enhancing Bombing Prevention Plans
- Developing school preparedness plans
- Developing preparedness plans for child congregate care facilities,
including group residential facilities, juvenile detention facilities, and
public/private child care facilities
- Developing plans to educate youth on disaster preparedness
- Ensuring jurisdiction EOPs adequately address warnings, emergency
public information, evacuation, sheltering, mass care, resource
management from non-governmental sources, unaffiliated volunteer and
donations management, and volunteer resource integration to support
each Emergency Support Function, to include appropriate considerations
for integrating activities, materials, services, tools and equipment to
achieve planning inclusive of people with disabilities (physical,
programmatic and communications access for people with physical,
sensory, mental health, intellectual and cognitive disabilities). Developing
and implementing civil rights, civil liberties, and privacy policies,
procedures, and protocols
- Designing and developing State, local, tribal, and territorial geospatial data
systems
- Developing and implementing statewide electronic patient care reporting
systems compliant with the National Emergency Medical Services
Information System (NEMSIS)
- Costs associated with inclusive practices and the provision of reasonable
accommodations and modifications to provide full access for children and
adults with disabilities
Developing or conducting assessments, including but not limited to:
- Developing pre-event recovery plans
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Appendix C – Funding Guidelines
- Conducting point vulnerability assessments at critical infrastructure
sites/key assets and develop remediation/security plans
- Conducting or updating interoperable emergency communications
capabilities assessments at the local, regional, or Statewide level
- Developing border security operations plans in coordination with CBP
- Developing, implementing, and reviewing Area Maritime Security Plans for
ports, waterways, and coastal areas
- Updating and refining threat matrices
- Conducting cyber risk and vulnerability assessments
- Conducting assessments and exercising existing catastrophic incident
response and recovery plans and capabilities to identify critical gaps that
cannot be met by existing local, regional, and State resources
- Conducting Bombing Prevention Capability Analysis
- Activities that directly support the identification of specific catastrophic
incident priority response and recovery projected needs across disciplines
(e.g., law enforcement, fire, EMS, public health, behavioral health, public
works, agriculture, information technology, and citizen preparedness)
- Activities that directly support the identification of pre-designated
temporary housing sites
- Activities that support the identification and development of alternate care
sites
- Conducting community assessments, surveys, and research of
vulnerabilities and resource needs to determine how to meet needs and
build effective and tailored strategies for educating individuals conducting
assessments of the extent to which compliance with the integration
mandate of disability laws is being achieved
- Soft target security planning (e.g., public gatherings)
Identifying resources for medical supplies necessary to support children during
an emergency, including pharmaceuticals and pediatric-sized equipment on
which first responders and medical providers are trained
Ensuring subject matter experts, durable medical equipment, consumable
medical supplies and other resources required to assist children and adults with
disabilities to maintain health, safety and usual levels of independence in general
population environments
Developing and implementing a community preparedness strategy for the
State/local jurisdiction
Establishing, expanding, and maintaining volunteer programs and volunteer
recruitment efforts that support disaster preparedness and/or response
- Citizen support for emergency responders is critical through year-round
volunteer programs and as surge capacity in disaster response, including
but not limited to: Citizen Corps Affiliate Programs and Organizations,
Community Emergency Response Teams (CERT), Fire Corps, Medical
Reserve Corps (MRC), Neighborhood Watch/USAonWatch, Volunteers in
Police Service (VIPS), and jurisdiction specific volunteer efforts
Establishing and sustaining Citizen Corps Councils or their equivalent
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Appendix C – Funding Guidelines
Working with youth-serving organizations to develop and sustain a youth
preparedness program
Organization Activities
The following organization activities in support of public-private partnerships are
allowable expenses.
Program management:
- Salary for a dedicated liaison who acts as the primary point of contact,
coordinates the public-private partnership and ensures proper
implementation of the strategic plan
- Facilities, including meeting space and work space for private sector
liaisons. Grantees are encouraged to use free space/locations/facilities,
whenever possible, prior to the rental of space/locations/facilities
- Supplies needed to support regular communications
Utilization of standardized resource management concepts such as typing,
inventorying, organizing, and tracking to facilitate the dispatch, deployment, and
recovery of resources before, during, and after an incident
Sustain partnership efforts to include:
- Support for in-person meetings, events, and conferences that bring the
public and private sectors together. Grantees are encouraged to use free
space/locations/facilities, whenever possible, prior to the rental of
space/locations/facilities
- Web-based and social media tactics (webinars, emails, newsletters, alerts,
databases, online collaboration tools, website development and
maintenance, etc)
- Innovative approaches for reaching the Whole Community to include
translated material for individuals that are blind and or have low vision
capability and those with English as a second language and coalitions
among citizens.
- Leverage already existing structures and mechanisms, such as Citizen
Corps, for sharing information and engaging members of the Whole
Community to include: for-profit and not-for-profit entities, faith based and
community organizations, youth-serving and youth advocates, those that
support socio-economic and diverse cultures
Structures and mechanisms for information sharing between the public and
private sector:
- Tools, software, programs, and other mechanisms that support two-way
information sharing during normal and emergency operations
- Means to receive input or feedback from the private sector, and
encourage participation from civic leaders from all sectors
- Regular and timely communications on subjects relating to all phases of
emergency management, such as newsletters, emails, and alerts
Tools, resources and activities that facilitate shared situational awareness
between the public and private sectors
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Appendix C – Funding Guidelines
- Web-based and new media platforms that allow real-time information
exchange
- Asset mapping, such as participation in FEMA’s Total Asset Visibility and
LogViz initiatives
- A seat(s) in the emergency operation center, or virtual EOC
Operational Support:
- Tools for identifying and tracking available paid and unpaid disaster
response resources
- Dedicated space and equipment for private sector representation within a
State, county, or city emergency operation center
- A dedicated business emergency operations center that works with the
State, county or city EOC (not construction)
- Tools for real time information sharing between the public and private
sector
- Licensing, screening, or other requirements for access to real EOC or
virtual EOC
Training Information
Training Information Reporting System (“Web-Forms”). Web-Forms is an electronic
form/data management system built to assist the SAA and its designated State/territory
Training Point of Contact (TPOC) with the reporting of State and Federal sponsored
training supported by HSGP funds. Web-Forms can be accessed through the FEMA
Toolkit located at http://www.firstrespondertraining.gov/admin.
FEMA resources include a number of different training sources:
FEMA Provided Training. These programs or courses are developed for and
delivered by institutions and organizations funded by FEMA. This includes the
Center for Domestic Preparedness (CDP), the Emergency Management Institute
(EMI) and the National Training and Education Division (NTED) training partner
programs including, the Competitive and Continuing Training Grant programs,
the National Domestic Preparedness Consortium (NDPC) and the Rural
Domestic Preparedness Consortium (RDPC).
Training Not Provided by FEMA. These courses are either State sponsored or
Federal sponsored, coordinated and approved by the SAA or their designated
TPOC, and fall within the FEMA mission scope to prepare State, local, tribal, and
territorial personnel to prevent, protect against, mitigate, respond to, and recover
from acts of terrorism or catastrophic events.
State Sponsored Courses. These courses are developed for and/or delivered by
institutions or organizations other than Federal entities or FEMA and are
sponsored by the SAA or their designated TPOC.
Approved State Sponsored Course Catalog. This catalog lists State/territory
sponsored courses that fall within the FEMA mission scope and have been
approved through the FEMA course review and approval process. An updated
version of this catalog can be accessed at http://www.firstrespondertraining.gov.
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Appendix C – Funding Guidelines
Federal Sponsored Courses. This catalog lists courses developed for and/or
delivered by institutions funded by Federal entities other than FEMA. These
courses are listed at http://www.firstrespondertraining.gov.
Approved Federal Sponsored Course Catalog. This catalog lists Federalsponsored courses that fall within the FEMA mission scope, and have been
approved through the FEMA course review and approval process. An updated
version of this catalog can be accessed at http://www.firstrespondertraining.gov.
Additionally the new National Preparedness Directorate (NPD) Online Course
Catalog (OCC) allows access to courses delivered by the CDP, EMI, and NTED.
It can be accessed at http://training.fema.gov/occ/.
Joint Training and Exercises with the Public and Private Sectors. These courses
are sponsored and coordinated by private sector entities to enhance publicprivate partnerships for training personnel to prevent, protect against, mitigate,
respond to, and recover from acts of terrorism or catastrophic events.
FEMA Provided Training. FEMA funds the direct delivery of a variety of courses
that States, tribes, and territories can request to meet training needs. These
courses are listed in the NTED approved course catalog listed at
http://training.fema.gov/.
Each FEMA training partner should contact the SAA or designated TPOC for locations
within the State that are appropriate for the training. When the direct delivery funds are
exhausted, the training partner can continue to offer the classes to the States through
one of two methods—the Voluntary Training Enhancement Program (VTEP) or the
Excess Delivery Acquisition Program (EDAP).
VTEP is a voluntary program designed to increase flexibility for States and territories
while enhancing NTE’s training delivery capability and complementing the current
training partner pool. Funding from previous fiscal years may be used to support a
State, territory, or Urban Area’s implementation of this program. Through VTEP, the
SAA has the authority to adopt various NTED provided programs for delivery by
institutions within its State and local jurisdictions, and designate institutions as
recognized providers for the identified standardized curriculum.
EDAP allows NTED training partner to charge for a course delivery when the Federal
grant that developed the program is completed or more deliveries of a requested class
are needed than the grant funds can accommodate. The cost per class is approved by
FEMA so that States pay for the cost of instruction only, not the curriculum development
costs that were paid by FEMA training grant funds. HSGP funds can be used to pay for
the delivery of these classes within a State at the request of the SAA/TPOC.
Attending Training Not Provided by FEMA (State or Federal Sponsored Courses).
States, territories, and Urban Areas are not required to request approval from FEMA for
personnel to attend training not provided by FEMA (State or Federal-sponsored
courses) provided that the training is coordinated with and approved by the SAA or
TPOC and falls within the FEMA mission scope and the jurisdiction’s EOP and strategy
of preparing State, local, tribal, and territorial personnel or citizens to prevent, protect
against, mitigate, respond to, and recover from acts of terrorism or catastrophic events.
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Appendix C – Funding Guidelines
States, territories, and Urban Areas are required, within 30 days after attendance, to
submit information through the SAA or TPOC via Web-Forms on all training not
provided by FEMA, but supported with HSGP funds. This information will consist of
course title, course description, mission area, level of training, the training provider, the
date of the course, the number and associated disciplines of the individuals, and the
sponsoring jurisdiction. States, territories, and Urban Areas intending to use FEMA
funds to support attendance at training not provided by FEMA must ensure these
courses:
Fall within the FEMA mission scope to prepare State, local, tribal, and territorial
personnel to prevent, protect against, mitigate, respond to, and recover from acts
of terrorism and catastrophic events;
Build additional capabilities that: (a) support a specific training need identified by
the State, territory, and Urban Area, and (b) comport with the State, territory, or
Urban Area Homeland Security Strategy;
Address specific tasks and/or competencies articulated in FEMA’s Emergency
Responder Guidelines and the Homeland Security Guidelines for Prevention and
Deterrence;
Address specific capabilities and related tasks articulated in PPD-8; and
Support the specific program training activities identified in the individual HSGP
grant programs (SHSP, UASI, and OPSG) for which the funding will be used.
FEMA will conduct periodic reviews of all State, territory, and Urban Area training
funded by FEMA. These reviews may include requests for all course materials and
physical observation of, or participation in, the funded training. If these reviews
determine that courses are outside the scope of this guidance, grantees will be asked to
repay grant funds expended in support of those efforts.
State and Federal-Sponsored Course Catalogs. Courses approved through NTED
will be added to either the approved State Sponsored Course Catalog or the Federal
Sponsored Course Catalog. Courses identified within these catalogs may be attended
on an unlimited basis within any State/territory as long as the training is coordinated and
approved by the SAA/TPOC. A full description of the NTED Course Development,
Review, and Approval Process, as well as the approved course catalogs, can be found
at http://www.firstrespondertraining.gov/odp_webforms. NTED will respond to the initial
request for review within 15 days with one of the following outcomes:
Course concept is approved as consistent with the State plan and the State
should submit the full course package for subject matter expert review and
comment or
Course concept is disapproved as inconsistent with State plan, FEMA guidance,
or is exactly the same as another course in the catalog (no need for another
approval, refer to the curriculum already developed and approved).
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Appendix C – Funding Guidelines
At any time, the SAA/TPOC (for State-sponsored courses) or the Federal Agency POC
(for Federal sponsored courses) may request the addition of a course to the
corresponding approved catalog by submitting the associated Web-Form (i.e., Request
for Addition to the Approved State-Sponsored Catalog) for review. If a class on the
same subject is already in the catalog, the submitting State should provide
documentation as to why the course is unique, after contacting the owner(s) of the other
courses to review the curriculum. This step is required to avoid unnecessary duplication
of similar courses in the catalog, allow States to share course development costs,
permit all States to have access to new or unique courses developed by other
providers, and allow States to direct their training dollars to delivery rather than
development. If it is determined that the proposed course meets the above listed
criteria, the providing entity (SAA/TPOC or Federal Agency POC) will be invited to
submit the Course Review and Approval Request Form along with all supporting
training materials.
For further information on developing courses using the instructional design
methodology and tools that can facilitate the process, SAAs and TPOCs are
encouraged to review the NTED Strategy for Blended Learning and access the
Responder Training Development Center (RTDC) available at
http://www.firstrespondertraining.gov/rtdc/state/.
FEMA funds must be used to supplement, not supplant, existing funds that have been
appropriated for the same purpose.
States and territories are required to conduct an Improvement Plan Workshop and
Training and Exercise Plan Workshop to identify best practices, capability gaps, key
priorities, and major events over a multi-year time frame and to align training and
exercises in support of those priorities. A Multi-year Training and Exercise Plan will be
produced from the Training and Exercise Plan Workshop to include the State’s training
and exercise priorities, associated training and exercise capabilities, and a multi-year
training and exercise schedule. Further guidance concerning the Multi-year Training
and Exercise Plan can be found in the Exercises section.
Joint Training and Exercises with the Public and Private Sectors. Trainings and
exercises designed to enhance private sector and public sector coordination are
allowable. Overtime pay for first responders and emergency managers who participate
in public-private training and exercises is allowable. In addition, States, territories,
tribes, and local units of government are encouraged to incorporate the private sector in
government-sponsored training and exercises.
Training and exercises for the public or civilian volunteer programs supporting first
responders before, during and after disasters should address the needs of the Whole
Community. Allowable training includes: all-hazards safety such as emergency
preparedness, basic first aid, life saving skills, crime prevention and terrorism
awareness, school preparedness, youth preparedness, public health issues,
mitigation/property damage prevention, safety in the home, light search and rescue
skills, principles of NIMS/ICS, volunteer management, serving and integrating people
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Appendix C – Funding Guidelines
with disabilities, pet care preparedness, training necessary to participate in volunteer
activities, fulfill surge capacity roles, or promotes individual, family, or whole community
safety and preparedness. Exercises that include members of the public or that are
conducted for the public should be coordinated with organizations outside of emergency
management and focus on the importance of personal preparedness and protective
actions.
Allowable Training Costs
Allowable training-related costs include, but are not limited to, the following:
Developing, Delivering, and Evaluating Training. Includes costs related to
administering the training, planning, scheduling, facilities, materials and supplies,
reproduction of materials, disability accommodations, and equipment. Training
should provide the opportunity to demonstrate and validate skills learned, as well
as to identify any gaps in these skills. Any training gaps, including those for
children and individuals with disabilities or access and functional needs, should
be identified in the AAR/IP and addressed in the training cycle. Expenditures to
provide necessary non-structural accommodations for persons with disabilities
and other access and functional needs is allowable (e.g., sign language
interpreters, Communication Access Realtime Translation [CART] and other
modifications of policies and practices to fully include participants with
disabilities). Stakeholders are also encouraged to leverage existing training
provided via educational/professional facilities and to incorporate non-traditional
methodologies such as the internet, distance learning, or home study whenever
such delivery supports training objectives. Pilot courses and innovative
approaches to training citizens and instructors are encouraged.
Training that promotes individual, family, or community safety and preparedness
is encouraged, including: all-hazards safety training such as emergency
preparedness, basic first aid, life saving skills, crime prevention and terrorism
awareness, school preparedness, public health issues, mitigation/property
damage prevention, safety in the home, light search and rescue skills, principles
of NIMS/ICS, volunteer management and volunteer activities, serving and
integrating people with disabilities, pet care preparedness, CPR/AED training,
identity theft workshops, terrorism awareness seminars, and disability-inclusive
community preparedness conferences. The delivery of the CERT Basic Training
Course and supplemental training for CERT members who have completed the
basic training, the CERT Train-the-Trainer Course, and the CERT Program
Manager Course are strongly encouraged.
Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of attendance at FEMA
and/or approved training courses and programs, are allowable. These costs are
allowed only to the extent the payment for such services is in accordance with
the policies of the State or unit(s) of local government and has the approval of
the State or the awarding agency, whichever is applicable. In no case is dual
compensation allowable. That is, an employee of a unit of government may not
receive compensation from their unit or agency of government AND from an
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Appendix C – Funding Guidelines
award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such
work may benefit both activities.
Travel. Costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses
by employees who are on travel status for official business related to approved
training.
Hiring of Full or Part-Time Staff or Contractors/Consultants. Payment of salaries
and fringe benefits to full or part-time staff or contractors/consultants must be in
accordance with the policies of the State or unit(s) of local government and have
the approval of the State or awarding agency, whichever is applicable. Such
costs must be included within the funding allowed for program management
personnel expenses. In no case is dual compensation allowable.
Certification/Recertification of Instructors. States are encouraged to follow the
NTE Instructor Quality Assurance Program to ensure a minimum level of
competency and corresponding levels of evaluation of student learning. This is
particularly important for those courses that involve training of trainers. This
information is contained in Information Bulletin 193, issued October 20, 2005.
Additional information can be obtained at
http://www.fema.gov/good_guidance/download/10146.
Exercise Requirements
Training and Exercise Plan Workshop. States and Urban Areas are required to conduct
an annual Training and Exercise Plan Workshop (TEPW). A Multi-year Training and
Exercise Plan must be developed from the workshops on an annual basis and
submitted to the State’s respective Exercise Program point of contact. The State
Exercise Program point of contact should submit a copy of the State and Urban Area
plans to [email protected].
The Training and Exercise Plan will include the State’s prioritized capability
requirements and a Multi-Year Training and Exercise Plan (schedule) that supports the
identified capabilities. In addition to submission of the Multi-Year Training and Exercise
Plan to [email protected], all scheduled training and exercises should be entered in the
HSEEP National Exercise Scheduling (NEXS) System, located in the HSEEP Toolkit on
the HSEEP website https://hseep.dhs.gov. A TEPW user guides and a template of the
Multi-Year Training and Exercise Plan can be found on the HSEEP website
https://hseep.dhs.gov.
States must complete a cycle of exercise activities during the period of this grant.
Exercises conducted by States and Urban Areas may be used to fulfill similar exercise
requirements required by other grant programs. To this end, grantees are encouraged
to invite representatives/planners involved with other federally-mandated or private
exercise activities. States and Urban Areas are encouraged to share, at a minimum, the
multi-year training and exercise schedule with those departments, agencies, and
organizations included in the plan.
Exercise Scenarios. The scenarios used in HSGP-funded exercises must be
based on the State/Urban Area’s Homeland Security Strategy and plans.
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Appendix C – Funding Guidelines
Acceptable scenarios for SHSP and UASI exercises include: chemical, biological,
radiological, nuclear, explosive, cyber, agricultural and natural or technological
disasters.
The scenarios used in HSGP-funded exercises must focus on validating existing
capabilities, must be large enough in scope and size to exercise multiple
activities and warrant involvement from multiple jurisdictions and disciplines and
non-governmental organizations, and take into account the needs and
requirements for individuals with disabilities. Exercise scenarios should align with
objectives and capabilities identified in the Multi-year Training and Exercise Plan.
Special Event Planning. If a State or Urban Area will be hosting a special event
(e.g., Super Bowl, G-8 Summit), the special event planning should be considered
as a training or exercise activity for the purpose of the Multi-Year Training and
Exercise Plan. The State or Urban Area should plan to use SHSP or UASI
funding to finance training and exercise activities in preparation for those events.
States and Urban Areas should also consider exercises at major venues (e.g.,
arenas, convention centers) that focus on evacuations, communications, and
command and control. States should also anticipate participating in at least one
Regional Exercise annually. States must include all confirmed or planned special
events in the Multi-year Training and Exercise Plan.
Exercise Evaluation and Improvement. Exercises should evaluate performance
of the objectives and capabilities required to respond to the exercise scenario.
Guidance related to exercise evaluation and improvement planning is defined in
the HSEEP located at https://hseep.dhs.gov.
Self-Sustaining Exercise Programs. States are expected to develop a selfsustaining exercise program. A self-sustaining exercise program is one that is
successfully able to implement, maintain, and oversee the Multi-year Training
and Exercise Plan, including the development and delivery of HSGP-funded
exercises. The program must utilize a multi-disciplinary approach to the
development and delivery of exercises, and build upon existing plans, training,
and equipment.
Role of Non-Governmental Entities in Exercises. Non-governmental
participation in all levels of exercises is strongly encouraged. Leaders from nongovernmental entities should be included in the planning, conduct, and
evaluation of an exercise. State, local, tribal, and territorial jurisdictions are
encouraged to develop exercises that test the integration and use of nongovernmental resources provided by non-governmental entities, defined as the
private sector and private non-profit, faith-based, community, disability, volunteer,
and other non-governmental organizations. Non-governmental participation in
exercises should be coordinated with the local Citizen Corps Council(s) or their
equivalent and other partner agencies. The scenarios used in HSGP-funded
exercises must focus on validating existing capabilities, must comply with and be
large enough in scope and size to exercise multiple activities and warrant
involvement from multiple jurisdictions and disciplines and non-governmental
organizations, and take into account the needs and requirements for individuals
with disabilities.
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Appendix C – Funding Guidelines
Allowable Exercise Costs
Allowable exercise-related costs include:
Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. Includes
costs related to planning, meeting space and other meeting costs, facilitation
costs, materials and supplies, travel, and documentation. Grantees are
encouraged to use government or free public space/locations/facilities, whenever
available, prior to the rental of space/locations/facilities. Exercises should
provide the opportunity to demonstrate and validate skills learned, as well as to
identify any gaps in these skills. Any exercise or exercise gaps, including those
for children and individuals with disabilities or access and functional needs,
should be identified in the AAR/IP and addressed in the exercise cycle.
Full or part-time staff may be hired to support exercise-related activities. Such
costs must be included within the funding allowed for program management
personnel expenses.
The applicant's formal written procurement policy or 44 CFR 13.36– whichever is
more stringent – must be followed.
Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of time spent on the
design, development, and conduct of exercises are allowable expenses. These
costs are allowed only to the extent the payment for such services is in
accordance with the policies of the State or unit(s) of local government and has
the approval of the State or the awarding agency, whichever is applicable. In no
case is dual compensation allowable. That is, an employee of a unit of
government may not receive compensation from their unit or agency of
government AND from an award for a single period of time (e.g., 1:00 p.m. to
5:00 p.m.), even though such work may benefit both activities.
Travel. Travel costs are allowable as expenses by employees who are on travel
status for official business related to the planning and conduct of exercise
project(s) or HSEEP programmatic requirements as described in the HSEEP
website (e.g., Improvement Plan Workshops, Training and Exercise Plan).
Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile
masks, and disposable protective equipment).
Disability Accommodations. Materials, services, tools and equipment for
exercising inclusive of people with disabilities (physical, programmatic and
communications access for people with physical, sensory, mental health,
intellectual and cognitive disabilities).
Other Items. These costs include the rental of equipment and other expenses
used specifically for exercises, costs associated with inclusive practices and the
provision of reasonable accommodations and modifications to provide full access
for children and adults with disabilities.
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Appendix C – Funding Guidelines
Unauthorized Exercise Costs
Unauthorized exercise-related costs include:
Reimbursement for the maintenance and/or wear and tear costs of general use
vehicles (e.g., construction vehicles), medical supplies, and emergency response
apparatus (e.g., fire trucks, ambulances).
Equipment that is purchased for permanent installation and/or use, beyond the
scope of exercise conduct (e.g., electronic messaging signs).
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Appendix C – Funding Guidelines
Appendix D – FY 2012 HSGP Investment Justification
Template and Instructions
Investment Justification (IJ) Application Instructions
States, territories, and Urban Areas are required to use the web-based IJ submission
module provided by FEMA in the Grants Reporting Tool (GRT) for their FY 2012 HSGP
submission. Please allow enough time before (or no later than 11:59 p.m. EDT) May 4,
2012 to complete the IJ in the GRT. Urban Areas should work in accordance with their
respective State’s timelines and processes identified by the SAA to ensure the Urban
Area IJ is submitted by the SAA in compliance with the application deadline.
For instructions on how to log into the GRT and complete the IJ, please reference the
GRT Investment Justification Submission Technical User’s Guide located at
https://www.reporting.odp.dhs.gov/. After the IJ application has been marked ‘complete’
in the GRT, SAAs on behalf of applicants must upload the IJs as attachments with the
application using the ND Grants system located at https://portal.fema.gov. Please note
that applicants should ensure that the IJ accounts for all funds requested by the
applicant and the total funding requested does not exceed the funding allocations
included in Appendix A – Program Specific Allocations.
IJ Planning Worksheet
Applicants may use the Word-based Investment Justification Planning Worksheet,
which is an optional, off-line tool, to help in drafting each Investment to be included as
part of the final HSGP IJ. All responses completed in this worksheet must be
transferred to the applicant’s official IJ located in the GRT. The Worksheet is available
at www.fema.gov/grants along with the FY 2012 HSGP FOA materials.
Multi-Applicant Investments
States, territories, and Urban Areas may propose Multi-Applicant Investments, which
represent a shared interest between two or more States and territories, or a shared
interest between two or more Urban Areas, as one (or more) of their 10 Investment
submissions. Urban Areas cannot submit a Multi-Applicant Investment in partnership
with the State in which they are located. Each participating State or Urban Area must
outline the specific components of the Multi-Applicant Investment for which it would be
responsible and include that Investment in its own submission. For 2012, the MultiApplicant Investments will continue to be evaluated like other Investments as part of the
review process, but will not incorporate a bonus point structure.
The FY 2012 HSGP Multi-Applicant submission process will require Multi-Applicant
partners to identify a submitting partner who will only be required to initiate the MultiApplicant Investment within the GRT by providing the Investment name(s) and the
names of all partners. Once initiated, all partners will independently complete all
sections of their Multi-Applicant Investment. Submitting partners should initiate the
Multi-Applicant process early enough to allow all partners to complete their own
Investments on time.
66
Appendix D – FY 2012 HSGP IJ Template and Instructions
FY 2012 HSGP IJ Outline
Question
Overall Investment Justification Portfolio
Describe how the spectrum of terrorism and natural hazard risks that the
State/territory/Urban Area faces influenced the development of this Investment
Justification to include all Investments.
Identify the amount and percentage of funding that will be dedicated to
Management & Administration expenditures.
I. Overview
I.A Identify the Investment as:
If the Investment is Ongoing, identify the Investment(s) from prior year(s):
I.B
Provide the Investment name:
I.C
I.D
Response
Narrative
(1500 character max)
New, Ongoing
Fiscal Year and
Investment Name
Short Title
(100 character max)
Provide the applicant name
Identify if this Investment focuses on building new capabilities or the
sustainment of existing capabilities.
New, Existing
I.E
II. Baseline
II.A Identify the goals and objectives in your State and/or Urban Area Homeland
Security Strategy supported by this Investment.
II.B Describe existing capability levels that address the identified
goals/objectives and what will be in place to support the Investment prior to
the use of FY 2012 funds.
II.C
Explain the capability gap(s) that this Investment is intended to address.
III. Project Management and Milestones
III.A
Provide the proposed FY 2012 HSGP funding amount for this Investment.
Identify if this is a fusion center Investment.
III.B If applicable, provide the proposed funding amount that is expected to be
obligated towards Law Enforcement Terrorism Prevention Activities
(LETPA)
III.C Identify the NPG Core Capabilities that are supported by this Investment.
For each of the selected Core Capabilities, provide the proposed funding
amount to be obligated from this Investment.
III.D Provide the proposed funding amount to be obligated from this Investment
towards the primary Planning, Organization, Equipment, Training, and
Exercises (POETE) Solution Area.
III.E Identify up to ten projects/activities, with start and end dates, which will be
implemented over the 24 month period of performance. Provide the
following information:
The response will be reviewed to provide
context for the Investment Justification.
Amount/Percentage
State/territory
Urban Area
Provide a description of this Investment, including the planning, organization,
equipment, training, and/or exercises that will be involved.
Review Criteria
The response will be reviewed to provide
context for the Investment.
Narrative
(2500 character max)
The response provides a detailed
description and clear understanding of
various activities that will be supported by
this Investment.
Narrative
(1500 character max)
The response will be reviewed to provide
context for the Investment.
Narrative
(1500 character max)
The response provides a clear
understanding of existing capability levels
and what capability gap(s) the Investment
will address.
Narrative
(1500 character max)
Amount
Amount
Select all that apply
and Amount
The response provides a clear
demonstration and a comprehensive
understanding of how the Investment
supports identified NPG Core Capabilities,
primary POETE Solution Area, and LETPA.
Planning, Organization,
Equipment, Training,
Exercise
Short title
(100 character max)
- Project Name
- Funding Amount
Amount
- Project Management Step
Initiate, Plan, Execute,
Control, Close Out
- Start Month/Year
Month/Year
- End Month/Year
Month/Year
III.F Does this Investment require new construction or renovation, retrofitting, or
modification of existing structures?
IV. Accomplishments and Impact
Describe the outcomes that will be achieved as a result of this Investment.
IV.A The outcomes should demonstrate improvement towards building
capabilities described in Section II, Baseline.
The response provides a clear description
of projects/activities that will demonstrate
progress towards achieving the Investment.
No, Yes
The response will be reviewed to provide
context for the Investment.
Narrative
(1500 character max)
The response provides a clear description
of how the outcomes will be achieved during
the FY 2012 HSGP period of performance.
The response also describes how
accomplishments will bridge capability
gap(s) outlined in Section III, Baseline.
67
Appendix D – FY 2012 HSGP IJ Template and Instructions
Appendix E – FY 2012 OPSG Operations Order
Template and Instructions
Operations Order Instructions
As part of the FY 2012 OPSG application process, each eligible local unit of
government at the county level or federally-recognized tribal government must develop
their Operations Order in coordination with State and Federal law enforcement
agencies, to include, but not limited to CBP/BP. Operations Orders that are developed
at the county level should be inclusive of city, county, tribal, and other local law
enforcement agencies that are eligible to participate in OPSG operational activities, and
the Operations Order should address this in the Executive Summary. The details should
include the names of the agencies, the points of contact, and the individual funding
requests. The OPSG Operations Order Template can be found at
http://www.grants.gov.
Requirements Overview
The Operations Orders must:
Be created and submitted in Microsoft Word (*.doc)
Not exceed six (6) pages in length with the emphasis on the Executive Summary,
Mission, and Budget
Use the following file naming convention when submitting required documents as
part of the FY 2012 OPSG application: “FY 2012 OPSG ”
Due to the competitive nature of this program, separate attachments will neither be
accepted nor reviewed.
Budget Requirements Overview
In an effort to streamline the application process, each applicant is required to submit an
annual budget addressing OPSG related costs and expenses as part of the Operations
Order. This budget should be detailed and should serve to:
Explain how the costs were estimated
Justify the need for the costs incurred
For clarification purposes, the Operations Order may include tables describing cost and
expense elements (e.g., equipment, fuel, vehicle maintenance costs).
Executive Summary Overview
Details to include in the Operations Order Executive Summary:
Identify the organization name, point of contact, committees, and other structures
accountable for implementing OPSG in your jurisdiction. Typically, this will be a
68
Appendix E – FY 2012 OPSG Operations Order Template and Instructions
program lead or manager overseeing operations and individuals assigned to that
agency.
Briefly describe how Federal, State, local, and tribal law enforcement agencies
will work together to establish and enhance coordination and collaboration on
border security issues.
69
Appendix E – FY 2012 OPSG Operations Order Template and Instructions
FY 2012 OPERATION STONEGARDEN (OPSG) OPERATIONS
ORDER AND BUDGET TEMPLATE
Op Order Name:
Op Order Number:
Op Dates:
Report Date:
Operation
From:
To:
Executive Summary
I. SITUATION
A. General Situation:
B. Terrain/Weather:
C. Criminal Element:
D. Friendly Forces:
II. MISSION
III. EXECUTION
A. Management/Supervisor Intent:
B. General Concept:
C. Specific Responsibilities:
1.
2.
3.
D. Coordinating Instructions:
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Appendix E – FY 2012 OPSG Operations Order Template and Instructions
IV. BUDGET
Within the Operations Order, include budgets and operative spending plans in
one-year increments (Year 1 and Year 2). The annual operations should be
practical and able to be completed within the 24-month period of performance.
Grantees may not begin operations, obligate, or expend any funds until the final
Operations Order and embedded budget has been approved by FEMA GPD and
CBP/BP Headquarters and any existing special conditions and/or restrictions are
removed.
The sample table provided below may be used as a guide to the applicant in the
preparation of the budget and Operations Order to be submitted. Using the table
below, compute the total estimated cost under the Narrative Justification column
and indicates the amount of Federal funds requested under the Federal Request
column that will support the project.
A.1 Example - Cost Estimates/Funding Requests (Year 1):
Administration/Logistics/Budget
Narrative Justification
Request
(Computation of Items)
Law Enforcement Operational
$50 per hour OT rate x 11 personnel
Overtime
x 10 hours x 3 day detail x 4 quarters
per year x 2 years
Fringe Benefits for Law
$27.55/hr x 1.5 OT = ($41.33/hr) x
Enforcement
(.062) = ($2.56/hr FICA) x 5840
hrs/yr x 2 yrs
Travel, Lodging, and Per Diem for Federal or below: approx miles of
deployed LE and/or Federally
3,500, 15 days single Occupancy @
sponsored (DHS/FEMA) border
$150 for 5 people
security task forces, conferences
and/or mandatory training
General Equipment
Lines, personal flotation devices,
GPS software updates, marine
batteries, thermal imaging system
Special Equipment
Sea Hawk Boat, Explorer 4x4 Police
with Package
(Requiring separate waiver i.e.,
Planes, boats, vehicles, SUVs,
etc.)
Part-Time to Full-Time Law
Enforcement Personnel
Federal Request
$132,000.00
$29,925.92
$1,750.00
$75,000.00
Activated Reserve Law
Enforcement Personnel
Vehicle
Maintenance
Vehicles:
Fuel Cost
Total
46,800 miles per year x .18 cents per
mile = $8,424.00 x 2 yrs
Tires, engine repair, other
3,342 x $4.50 per gallon = $15,043/yr
x 2 yrs
$16,848.00
$30,086.00
$285,609.92
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Appendix E – FY 2012 OPSG Operations Order Template and Instructions
A.2 Cost Estimates/Funding Requests (Year 2):
< INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE >
V. COMMAND/CONTROL/COMMUNICATION
A. Chain of Command:
B. Unit Command:
C. Communications Detail:
D. Map Coordinates:
Notes:
Longitude:
Degrees:
Decimal:
Location Zone:
Latitude:
Minutes:
Seconds:
ANNEX
A. Administration Annex:
B. Execution Annex:
C. Command Annex:
Media Action Plan:
Legal Review:
Risks:
Photos:
72
Appendix E – FY 2012 OPSG Operations Order Template and Instructions
Appendix F – FY 2012 OPSG Operational Guidance
The success of Operation Stonegarden (OPSG) will be achieved through an integrated,
layered approach to border security and targeted enforcement techniques and strategy.
This also includes fulfillment of specific roles and responsibilities, newly defined
expectations for operations, disciplined reporting procedures, and the introduction of
performance measures in 2012. Successful execution of these objectives will promote
situational awareness among participating agencies and ensure a rapid, fluid response
to emerging border-security conditions.
OPSG uses an integrated approach to address transnational criminal activity. To
achieve unity of effort, it is essential that each participant know the roles and
responsibilities within the integrated planning team. Participation in OPSG is based on
the expectation that State, local, and tribal law enforcement agencies will conduct
border-security operations using an Integrated Planning Team chaired by the U.S.
Border Patrol, which will provide routine monitoring and technical expertise to each
participating agency. Each operation will be reviewed for border-security value and
approved by the corresponding sector’s Chief Patrol Agent or his/her designee.
As OPSG continues to evolve, several proven practices have been recognized,
centered on short-term, periodic operations in support of overarching near and longterm goals. A multi-step process will be established via the area Integrated Planning
Team, including a campaign plan and a cycle of operations to ensure that Stonegarden
participants maintain synergism and have a coordinated and measurable impact on
reducing border-security risk.
Standardized, accurate, and timely reporting will focus on: monitoring program
performance; assessing productivity and results; determining the level of integration and
information sharing; evaluation of money spent and operations conducted; and
developing best practices for future operations. In FY 2012, OPSG has standardized
the form used to capture key data sets. In addition, nationwide standards for submitting
the reporting forms will be implemented.
I. Concept of Operations and Campaign Planning (Post Allocation
Announcement/Pre-Award)
The overarching operational cycle involves three stages; application, concept of
operations, and one or more tactical operational periods, which are all developed by the
Integrated Planning Team.
First Stage: The first stage is outlined in the application process. The original request
and justification for funding will be submitted through the Border Patrol sectors, which is
consistent with the processes used in previous years. The initial application will use an
Integrated Planning Team, made up of operation stakeholders, including the U.S.
Border Patrol.
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Appendix F – FY 2012 OPSG Operational Guidance
Second Stage (Post Award): This stage involves the creation of a Concept of
Operations and occurs after awards are announced. Participants will submit a Concept
of Operations via their Integrated Planning Team that serves two primary purposes:
formation of a campaign plan and capturing the initial, generalized-budgetary intent. A
campaign plan is defined as a series of related law enforcement operations aimed at
accomplishing a strategic or operational objective within a given time and space. The
campaign plan should State the participant agency’s long-term border security
objectives and goals designed to mitigate border-security risk.
OPSG’s two-year performance period exceeds the scope of a single, major, bordersecurity operation. Proper use of the funds may require several short-term operations
that combine to form an ongoing operational cycle, ensuring that Border Patrol
commanders and State, local, and tribal agency partners reserve the flexibility to
respond to the ever-changing elements of border security. Funds should be obligated
as needed to target specific threats or vulnerabilities and ensure that OPSG usage is
commensurate to the unique risk of each border region.
The concept of operations also will articulate the budgetary intent of how funds will be
used throughout the performance period. It can initiate the procurement of equipment,
as well as state how much the county intends to use for management and
administration (M&A) while keeping overtime funds and residual equipment funds
available for use as needed. The Concept of Operations will project planned
expenditures in the following categories: overtime, equipment, instruction, travel,
maintenance, fuel, and administrative funds. If the recipient intends to spend more than
50 percent of their award on overtime over the course of the performance period,
requests for an overtime waiver would be submitted at this time. In addition, if the need
for new equipment is anticipated, requests can be submitted in the concept of
operations to begin the process. The concept of operations will meet both the SAA
expectations to obligate the funds within 45 days of the award announcement and the
demands of the grant’s operational intent. Once the Concept of Operations is submitted
and approved, the area Integrated Planning Team will meet to begin the last stage in
the planning process.
Third Stage: This stage begins when the award recipient is ready to conduct
operations. The area Integrated Planning Team will meet to begin planning tactical
operations. Tactical operational periods are described in detail below.
II. Tactical Operational Period
Operational discipline is necessary for the success of OPSG. Deliberate, adaptive,
integrated, and intelligence-driven planning is critical to conducting targeted
enforcement operations consistent with the objectives of the OPSG grant program. By
participating in the program, the State, local, and tribal agencies agree to conduct
operations designed to reduce border-security risk. Tactical operations will be
conducted on a periodic basis meeting the criteria outlined below.
74
Appendix F – FY 2012 OPSG Operational Guidance
Tactical operational periods are composed of six critical elements: 1) a pre-planning
meeting with the Integrated Planning Team; 2) specified beginning and ending dates; 3)
are intelligence driven, with a nexus to border security; 4) use targeted enforcement
techniques; 5) have clearly stated objectives; and 6) conclude with an after-action
meeting. A campaign should involve several tactical operational periods. These
periods require deliberate on-going planning to ensure command, staff, and unit
activities synchronize to current and future operations. The cyclical nature of the
process will ensure OPSG activities align with the fluctuating border-security threats and
vulnerabilities. Key planners should recognize that shorter, frequent tactical operational
periods increase the flexibility and leverage gained through OPSG funding.
The Integrated Planning Team should leverage information provided by the fusion
center, Border Intelligence Centers or other local intelligence center, when possible and
establish a common operational vision. The Border Patrol sector’s Chief Patrol Agent, or
his/her designee, will ensure that the information or intelligence has a clear nexus to
border security. The frequency and duration of each tactical operational period should
be predicated by local risk factors. The tactical operational period may combine to
develop an operational cycle that is synchronous or asynchronous, connected, or
unconnected, depending on security conditions and the Integrated Planning Teams
intent. Each tactical operational period will begin on a predetermined date and end on a
predetermined date, but the dates may be subject to change commensurate with
emerging security conditions.
Intelligence will be shared and vetted for border security value, driving the focus of
operations. The tactical operational period should focus on specific targets of interest or
specific areas of interest identified by the Integrated Planning Team. Once intelligencedriven targets are identified, the Integrated Planning Team will decide on operational
objectives that reflect the intended impact of operations. The objectives should outline
how the operation will deter, deny, degrade, or dismantle the operational capacity of the
targeted transnational criminal organizations. The starting date of the operational
period should be established to allow sufficient time for the order to be submitted and
approved through Border Patrol Headquarters and the GPD at FEMA headquarters
(FEMA/GPD). Once approved, the operation can be conducted.
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Appendix F – FY 2012 OPSG Operational Guidance
The following diagrams illustrate two different approaches for conducting operations:2
Figure 1: Example of an Ongoing Synchronized Operational Cycle
Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle
III. Reporting Procedures
2
These illustrations reflect a twelve month campaign plan. A campaign plan should be written to encompass the performance
period. Performance periods vary from State to State, please contact the State Administrative Agency in your area for clarification.
76
Appendix F – FY 2012 OPSG Operational Guidance
Participation in OPSG requires accurate, consistent, and timely reporting of how funds
are used, and how the State, local and tribal agencies’ operations have impacted border
security through the mitigation of threat or vulnerability and the overall reduction of risk.
To ensure consistent reporting each State, local and tribal agency will identify a single
point of contact to represent their agency as a member of the Integrated Planning Team
and to coordinate the submission of reports or execute other aspects of the grant.
In FY 2012, the reporting format will be standardized as well. Attachment A, the Daily
Activity Report is to be used to submit the ongoing results and outputs from OPSG
operations conducted. The Daily Activity Report will be submitted to the Border Patrol
sector, if required, or to the participating agency’s OPSG coordinator. The agency
coordinator will compile the results from each Daily Activity Report at the end of the
month and submit a monthly report to the border patrol sector. The monthly report is
due to sector by the 10th day of the month. The Border Patrol sector will compile the
results from the participating agencies and submit the results to Border Patrol
Headquarters by the 15th of each month.
In addition to the ongoing reporting of outputs, participants will be required to submit
After Action Reports to participating agencies and the Border Patrol within 10 days of
any completed operation, after convening a debrief meeting. The After Action report
should carefully articulate outcomes and outputs, as well as how the results of the
operation compare with the objectives identified during the pre-planning meeting.
Failure to submit the after-action report in a timely manner may prevent the approval of
future operations requests.
IV. Operational roles and responsibilities
The Border Patrol sector’s Chief Patrol Agent, or his/her designee, will:
Coordinate and chair the area Integrated Planning Team’s meetings
Coordinate with all interested and eligible State, local, and tribal agencies in the
sector’s area of operation during the open period of the OPSG application
process by:
- Assisting applicants in completing the operations planning portion of the
application, which is similar to the Operations Order used by the Border
Patrol3
- Forwarding the approved operation portion of the application to CBP/BP
Headquarters, as well as to the SAA to complete the application process
set by FEMA/GPD
Following the announcement of grant awards, coordinate and chair a meeting
with State, local, and tribal agencies that received OPSG awards to develop an
individualized campaign plan. This includes:
- Working with State, local, and tribal agencies, along with other Federal law
enforcement agencies to determine the dates, focus, and needs of each
3
This will not be entered into the Border Patrol Enforcement Tracking System (BPETS).
77
Appendix F – FY 2012 OPSG Operational Guidance
-
-
-
-
tactical operational period, ensuring that each operation has a nexus to
border security;
Receiving the first periodic operations order from the State, local, and
tribal agencies and ensuring that the operation is conducted as outlined in
Section I;
Monitoring and supporting the Operational Cycle throughout the
performance period;
Ensuring Daily Activity and After Action Reports are submitted by State,
local and tribal agencies in the proper format and within the established
timeframes;
Providing instruction, when possible, to State, local and tribal agencies
regarding techniques, methods and trends used by transnational criminal
organizations in the area; and
Providing a single point of contact to participants as a subject matter
expert in OPSG that can coordinate, collect, and report operational
activities within the established reporting procedures.
The State, local or tribal agency lead, or their designee, will:
Participate as a member of the Integrated Planning Team to facilitate the
application process during the open period and ensure the application is
submitted in compliance with the grant instructions;
Upon receiving a grant award, coordinate and meet as a member of the
Integrated Planning team to develop an individualized campaign plan that covers
the length of the grant performance period;
Work within the Integrated Planning team to develop an initial Operational Cycle
and determine the duration of the first operational period based on the tactical
needs specific to the area;
Submit the first periodic operations order to the Border Patrol and ensure the
operation meets the six criteria established in Section II;
Conduct operations, on an as-needed basis throughout the length of the grant
performance period;
Ensure reports are submitted to the to the Border Patrol, and the SAA when
applicable, in the proper format and within established timeframes;
Request instruction and information from the SAA, when applicable, and/or
Border Patrol and other Federal law enforcement agencies regarding techniques,
methods, and trends used by transnational criminal organizations in the area;
and
Provide the SAA and Border Patrol a single point of contact that maintains
subject matter expertise in OPSG who can coordinate, collect, and report
operational activities within the established reporting procedures.
The SAA is responsible for the following:
Acts as the fiduciary agent for the program and provide expertise in State policy
and regulations;
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Appendix F – FY 2012 OPSG Operational Guidance
Enter into a sub-grant agreement with the award recipients to disburse the
allocated funding awarded through FEMA/GPD;
Generate quarterly reports to FEMA and the U.S. Treasury capturing the award
recipients’ obligation and expenditure of funds;
Determine if the grant’s performance period requires additional refinement over
the federally established 24 month period; and
Conduct audits of the program to ensure that the award recipients are in
compliance with program guidance.
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Appendix F – FY 2012 OPSG Operational Guidance
Attachment A:
Operation Stonegarden
Daily Activity Report
Date Information
FY Funds Used
Date of Activity
Select...
Agency Identifiers
Sector
Agency Type
Region/County
Agency Name
Operational Expenses
Overtime Hours
Miles Driven/Patrolled
Fuel Used (in Gallons)
Equipment on Order
Labor Cost
Mileage Cost
Fuel Cost
Equipment Cost
Total Cost
Operational Activity
Narcotics Seizures
Cash Seizures
Weapons Seizures
Vehicle Seizures
Misdemeanor Arrests
Felony Arrests
Outstanding Warrants
Citations Issued
Specialty Equipment
Subjects TOT BP
Cases TOT BP
Criminal Aliens TOT BP
Vehicle Stops
Intel Reports
***Click the orange arrows below to add details about seizures and arrests.
Specialty Equipment Usage
Surveillance Tower
Mobile Command Center
Marine Patrol Asset
Armored Vehicle
Aviation Asset
Other Spec. Equipment
80
Appendix F – FY 2012 OPSG Operational Guidance
Narcotic Seizure Details
Type
Weight
Report Number
Location
Comments
Select...
Currency Seizure Details
Amount
Report Number
Location
Comments
Vehicle Seizure Details
Make/Model
Estimated Value
Location
Comments
Weapon/Ammunition Seizure Details
Weapon Type
Amount Seized
Report Number
Location
Comments
Specialty Equipment Usage Details
Specialty Equipment
Report Number
Location
Comments
Significant Arrest Details
Name
Date of Birth
Report Number
Location
Comments
Location
Summary
Intelligence Summary
Category
Report Number
Select...
Authorizing Officer
Date of Report
V. Definitions
Integrated Planning Team: The IPT will consist of State, local, and tribal OPSG
stakeholders within their Border Patrol sector area and U.S. Border Patrol
representatives, but may include other area Federal law enforcement agencies if
81
Appendix F – FY 2012 OPSG Operational Guidance
deemed necessary by the Chief Patrol Agent. The Integrated Planning Team will be
used for all aspects of OPSG application, planning, and de-briefings.
Area of Interest: A specific area, areas, or facilities known to be used by transnational
criminal organizations in furtherance of their criminal activity.
Campaign: A series of related law enforcement operations aimed at accomplishing a
strategic or operational objective within a given time and space.
Concept of Operations: A written statement that clearly and concisely expresses what
the State, local or tribal commander intends to accomplish and how it will be done using
available resources (and funding).
Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities
intended to synchronize current and future operations (driven by current intelligence and
short-term goals that support the campaign).
Operational Discipline: The organized manner in which an organization plans,
coordinates, and executes the OPSG mission with common objectives toward a
particular outcome.
Performance Measure: A numerical expression that quantitatively conveys how well the
organization is doing against an associated performance goal, objective, or standard.
Tactical Operational Period: An operational segment that meets the following six
criteria: 1) specified beginning and ending dates; 2) begins with pre-planning; 3) is
intelligence driven; 4) uses targeted enforcement techniques; 5) has clearly stated
objectives; and 6) concludes with an after-action meeting.
Targeted Enforcement: The leveraging of all available assets against a specific action,
area, individual, or organization and using those deemed most appropriate to mitigate risk.
Target of Interest: A specific person, group of persons, or conveyance known to be part
of, or used by transnational criminal organizations to advance their criminal activity.
Threat: Information expressing intent to conduct illegal activity often derived from
intelligence sources, the overall context, a specific event or series of events, or
observation of suspicious activity.
Vulnerability: The protective measures in place are less than the protective measures
needed to mitigate risk.
Unity of Effort: Coordination and cooperation among all organizational elements, even
though they may not be part of the same “command” structure, to achieve a success.
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Appendix F – FY 2012 OPSG Operational Guidance
| File Type | application/pdf |
| File Title | Microsoft Word - FY 2012 HSGP FOA_02162012_Final.docx |
| Author | myohanne |
| File Modified | 2012-02-17 |
| File Created | 2012-02-17 |