O f f i c e o f S t a t e a n d L o c a l G o v e r nm e n t C o o r d i n a t i o n a n d P r e p a r e d n e s s
O f f i c e f o r D o m e s t i c P r e p a r e d n e s s
Fiscal Year 2005
Homeland Security
Grant Program
Program Guidelines and Application Kit
i
This is Version 2.0 of the FY 2005 Homeland Security Grant Program guidance.
All previous versions are invalidated and should not be relied upon.
Disclaimer
The views and opinions of authors of reference materials expressed herein do not necessarily
reflect those of the United States Government.
Reference within this document to any specific commercial products, processes, or services by
trade name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its
endorsement, recommendation, or favoring by the United States Government.
The information and statements contained within this document shall not be used for the
purposes of advertising, nor to imply the endorsement or recommendation of the United States
Government.
With respect to any other information contained within non-DHS documents or reference
materials referred to within this guidance, neither the United States Government nor any of its
employees make any warranty, express or implied, including but not limited to the warranties of
merchantability and fitness for a particular purpose. Further, neither the United States
Government nor any of its employees assume any legal liability or responsibility for the
accuracy, completeness, or usefulness of any information, apparatus, product or process
disclosed; nor do they represent that its use would not infringe privately owned rights.
ii
FOREWORD
On October 18, 2004, the President signed the Department of Homeland Security (DHS)
Appropriations Act of 2005, thereby providing vital funding needed to ensure the safety and
security of our homeland. Through the DHS Office of State and Local Government Coordination
and Preparedness, (SLGCP) Office for Domestic Preparedness (ODP), state and local
emergency prevention, preparedness, and response personnel will receive approximately $3
billion in funding to enhance our nation’s homeland security. The 2005 appropriation by
Congress is a firm commitment to continue to protect and defend the security of the United
States of America against the threat posed by terrorism.
In an effort to streamline and better coordinate funding to the states and territories, DHS
established SLGCP, which is tasked with preparing the nation for acts of terrorism. SLGCP is
developing and implementing a national program to enhance the capacity of state and local
agencies to respond to incidents of terrorism, particularly those involving chemical, biological,
radiological, nuclear and explosive incidents, as well as natural disasters, through coordinated
training, exercises, equipment acquisition, and technical assistance.
SLGCP, through ODP, has consolidated application requests and the administration of six
programs, including the State Homeland Security Program, the Urban Areas Security Initiative,
the Law Enforcement Terrorism Prevention Program, the Citizen Corps Program, the
Emergency Management Performance Grants, and the Metropolitan Medical Response System
Program Grants. All six programs have been integrated into the FY05 Homeland Security Grant
Program (HSGP) to better facilitate the coordination and management of preparedness funding,
and will be guided by the State and Urban Area Homeland Security Strategies. This funding
and consolidation of programs reflects the intent of Congress and the Administration to enhance
security and overall preparedness to prevent, respond to, and recover from acts of terrorism.
The FY05 HSGP will continue to provide funding for planning, equipment, training, exercises,
and program management and administration for emergency prevention, preparedness, and
response personnel in all 50 states, the District of Columbia, the Commonwealth of Puerto Rico,
and U.S. territories, while expanding the scope and reach of the program. States and territories
will now have the opportunity to utilize their recently completed homeland security strategies to
more effectively address the gaps between needs and existing capabilities. Changes and
additions to the allowable uses of funds reflect input received by DHS from state and local
officials and a continued commitment to better serve our nation’s emergency prevention,
preparedness, and response agencies.
The Department of Homeland Security is committed to working with the nation’s response
community in the national effort to combat terrorism and secure our homeland.
Tom Ridge
Secretary
Department of Homeland Security
iii
CONTENTS
I. Eligible Applicants and Funding Availability ............................ 1
II. Application Kit ........................................................................... 10
III. Program Guidance..................................................................... 18
IV. National Initiatives ..................................................................... 47
V. Award and Reporting Requirements........................................ 58
VI. State Homeland Security Program........................................... 63
VII. Urban Areas Security Initiative................................................. 68
VIII. Law Enforcement Terrorism Prevention Program.................. 75
IX. Citizen Corps Program.............................................................. 80
X. Emergency Management Performance Grants ....................... 86
XI. Metropolitan Medical Response System ................................. 92
Appendix A Authorized Program Expenditures
Appendix B Sample Award Package
Appendix C Template for Memorandum of Understanding
Appendix D Guidance for Initial Strategy Implementation Plan and
Biannual Strategy Implementation Report
Appendix E Overview of Approval Process for Non-ODP Developed
Courses
Appendix F Federal Training Course List
Appendix G Homeland Security Preparedness Technical Assistance
Program
Appendix H Guidance for Development of Interoperable Communications
Plans
Appendix I Geospatial Guidance
Appendix J List of Terms
Index
I. ELIGIBLE APPLICANTS
AND FUNDING
AVAILABILITY
FY05 HOMELAND SECURITY GRANT PROGRAM – VERSION 2.0, 12-22-2004
DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
1
ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
I. ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
A. Eligible Applicants
The Fiscal Year (FY) 2005 Homeland Security Grant Program (HSGP) integrates the
State Homeland Security Program (SHSP), the Urban Areas Security Initiative (UASI),
the Law Enforcement Terrorism Prevention Program (LETPP), the Citizen Corps
Program (CCP), the Emergency Management Performance Grants (EMPG), and the
Metropolitan Medical Response System (MMRS) Program Grants into a single
application kit. Funding from this combined program will significantly enhance the ability
of states, territories, urban areas, and local agencies to prevent, deter, respond to, and
recover from threats and incidents of terrorism. The Governor of each State1 has
designated a State Administrative Agency (SAA) to apply for and administer the funds
under HSGP. The SAA is the only agency eligible to apply for HSGP funds and is
responsible for obligating HSGP funds to local units of government2 and other
designated recipients.
B. Funding Availability
In accordance with the FY05 Department of Homeland Security Appropriations Act,
FY05 allocations in Table 1 below for SHSP, LETPP, and CCP were determined by a
formula using a base amount of 0.75% of the total allocation for each state (including
the District of Columbia and the Commonwealth of Puerto Rico), and 0.25% of the total
allocation for each U.S. Territory with the balance of funds being distributed on a
population-share basis3.
FY05 UASI funding allocations were determined by a formula based on credible threat,
presence of critical infrastructure, vulnerability, population, population density, law
enforcement investigative and enforcement activity, and the existence of formal mutual
aid agreements. Table 2 lists FY05 UASI funding, including homeland security
assistance for nonprofit organizations that will be provided through the states to the
urban areas.
Per Congressional direction, FY05 EMPG funds were allocated consistent with FY04
EMPG. Pursuant to the Compact of Free Association, $50,000 each may be available
for the Federated States of Micronesia and the Republic of the Marshall Islands. The
FY05 MMRS allocation is $227,592 for each of the 124 MMRS jurisdictions as listed in
Table 3.
1 As defined in the Homeland Security Act of 2002, the term ‘‘State’’ means “any State of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and any
possession of the United States”
2 As defined in the Conference Report accompanying the Department of Homeland Security Appropriations Act of 2005, the term “local unit of
government” means “any county, city, village, town, district, borough, port authority, transit authority, intercity rail provider, commuter rail
system, freight rail provider, water district, regional planning commission, council of government, Indian tribe with jurisdiction over Indian
country, authorized tribal organization, Alaska Native village, independent authority, special district, or other political subdivision of any state.”
3 Population figures were determined using 2000 U.S. Bureau of the Census data.
FY05 HOMELAND SECURITY GRANT PROGRAM – VERSION 2.0, 12-22-2004
DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
2
ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
Table 1. FY05 HSGP Funding Allocations
State/Territory State Homeland
Security Program
Urban Areas
Security Initiative
Law Enforcement
Terrorism
Prevention
Program
Citizen Corps
Program
Emergency
Management
Performance
Grant Program
Metropolitan
Medical
Response System
Program
Total
CFDA Number 97.073 97.008 97.074 97.053 97.042 97.071
Alabama $ 17,688,796 $ - $ 6 ,432,290 $ 2 24,559 $ 2 ,896,618 $ 9 10,368 $ 28,152,631
Alaska $ 9,368,591 $ - $ 3 ,406,760 $ 1 18,934 $ 1 ,529,911 $ 4 55,184 $ 14,879,381
Arizona $ 20,021,731 $ 9 ,996,463 $ 7 ,280,630 $ 2 54,176 $ 3 ,241,450 $ 9 10,368 $ 41,704,818
Arkansas $ 13,854,701 $ - $ 5 ,038,073 $ 1 75,885 $ 2 ,264,789 $ 2 27,592 $ 21,561,040
California $ 84,613,815 $ 1 48,278,663 $ 3 0,768,660 $ 1 ,074,172 $ 1 3,790,111 $ 4 ,096,656 $ 282,622,077
Colorado $ 17,796,658 $ 8 ,718,395 $ 6 ,471,512 $ 2 25,929 $ 2 ,903,630 $ 6 82,776 $ 36,798,900
Connecticut $ 15,491,248 $ - $ 5 ,633,181 $ 1 96,661 $ 2 ,531,746 $ 2 27,592 $ 24,080,428
Delaware $ 9,732,926 $ - $ 3 ,539,246 $ 1 23,559 $ 1 ,588,053 $ - $ 14,983,784
District of Columbia $ 9,184,053 $ 8 2,000,000 $ 3 ,339,656 $ 1 16,592 $ 1 ,503,841 $ - $ 96,144,140
Florida $ 44,728,450 $ 3 0,885,716 $ 1 6,264,891 $ 5 67,828 $ 7 ,244,714 $ 1 ,593,144 $ 101,284,742
Georgia $ 26,726,187 $ 1 3,333,567 $ 9 ,718,613 $ 3 39,289 $ 4 ,345,323 $ 4 55,184 $ 54,918,163
Hawaii $ 10,683,582 $ 6 ,454,763 $ 3 ,884,939 $ 1 35,628 $ 1 ,743,745 $ 2 27,592 $ 23,130,249
Idaho $ 10,918,426 $ - $ 3 ,970,337 $ 1 38,609 $ 1 ,777,897 $ - $ 16,805,270
Illinois $ 35,298,886 $ 4 8,000,000 $ 1 2,835,959 $ 4 48,119 $ 5 ,782,151 $ 2 27,592 $ 102,592,707
Indiana $ 21,349,773 $ 5 ,664,822 $ 7 ,763,554 $ 2 71,035 $ 3 ,491,346 $ 4 55,184 $ 38,995,714
Iowa $ 14,326,334 $ - $ 5 ,209,576 $ 1 81,873 $ 2 ,345,389 $ 2 27,592 $ 22,290,764
Kansas $ 13,849,934 $ - $ 5 ,036,340 $ 1 75,825 $ 2 ,266,809 $ 4 55,184 $ 21,784,091
Kentucky $ 16,861,675 $ 5 ,000,000 $ 6 ,131,518 $ 2 14,059 $ 2 ,756,510 $ 4 55,184 $ 31,418,947
Louisiana $ 17,679,253 $ 1 4,531,675 $ 6 ,428,819 $ 2 24,438 $ 2 ,895,235 $ 9 10,368 $ 42,669,788
Maine $ 10,787,521 $ - $ 3 ,922,735 $ 1 36,948 $ 1 ,761,346 $ - $ 16,608,549
Maryland $ 19,866,423 $ 1 1,437,517 $ 7 ,224,154 $ 2 52,204 $ 3 ,242,045 $ 2 27,592 $ 42,249,934
Massachusetts $ 21,863,377 $ 2 8,075,000 $ 7 ,950,319 $ 2 77,556 $ 3 ,587,028 $ 6 82,776 $ 62,436,056
Michigan $ 29,739,980 $ 1 7,584,608 $ 1 0,814,538 $ 3 77,549 $ 4 ,875,422 $ 6 82,776 $ 64,074,873
Minnesota $ 18,895,426 $ 5 ,763,411 $ 6 ,871,064 $ 2 39,877 $ 3 ,086,137 $ 4 55,184 $ 35,311,099
Mississippi $ 14,190,727 $ - $ 5 ,160,264 $ 1 80,151 $ 2 ,322,271 $ 2 27,592 $ 22,081,006
Missouri $ 20,288,866 $ 1 5,253,865 $ 7 ,377,769 $ 2 57,567 $ 3 ,318,388 $ 4 55,184 $ 46,951,640
Montana $ 9,949,207 $ - $ 3 ,617,894 $ 1 26,305 $ 1 ,624,359 $ - $ 15,317,765
Nebraska $ 11,724,020 $ 5 ,148,300 $ 4 ,263,280 $ 1 48,836 $ 1 ,915,921 $ 4 55,184 $ 23,655,542
Nevada $ 12,808,048 $ 8 ,456,728 $ 4 ,657,472 $ 1 62,598 $ 2 ,073,887 $ 2 27,592 $ 28,386,325
New Hampshire $ 10,748,552 $ - $ 3 ,908,565 $ 1 36,453 $ 1 ,754,428 $ 2 27,592 $ 16,775,590
New Jersey $ 26,626,137 $ 1 9,353,418 $ 9 ,682,232 $ 3 38,019 $ 4 ,356,164 $ 4 55,184 $ 60,811,154
New Mexico $ 12,016,319 $ - $ 4 ,369,571 $ 1 52,547 $ 1 ,960,687 $ 2 27,592 $ 18,726,716
New York $ 49,417,927 $ 2 21,082,907 $ 1 7,970,155 $ 6 27,360 $ 8 ,114,323 $ 1 ,137,960 $ 298,350,633
North Carolina $ 26,126,856 $ 5 ,479,243 $ 9 ,500,675 $ 3 31,680 $ 4 ,260,009 $ 6 82,776 $ 46,381,239
North Dakota $ 9,336,232 $ - $ 3 ,394,993 $ 1 18,523 $ 1 ,526,451 $ - $ 14,376,200
Ohio $ 32,668,546 $ 2 6,131,917 $ 1 1,879,471 $ 4 14,727 $ 5 ,363,019 $ 1 ,365,552 $ 77,823,233
Oklahoma $ 15,552,074 $ 5 ,570,181 $ 5 ,655,300 $ 1 97,434 $ 2 ,543,443 $ 4 55,184 $ 29,973,615
Oregon $ 15,655,892 $ 1 0,491,037 $ 5 ,693,052 $ 1 98,752 $ 2 ,553,324 $ 2 27,592 $ 34,819,649
Pennsylvania $ 34,676,612 $ 3 3,801,680 $ 1 2,609,677 $ 4 40,219 $ 5 ,687,940 $ 4 55,184 $ 87,671,312
Rhode Island $ 10,291,661 $ - $ 3 ,742,422 $ 1 30,653 $ 1 ,681,441 $ 2 27,592 $ 16,073,769
South Carolina $ 16,925,018 $ - $ 6 ,154,552 $ 2 14,863 $ 2 ,761,710 $ 2 27,592 $ 26,283,735
South Dakota $ 9,618,052 $ - $ 3 ,497,474 $ 1 22,101 $ 1 ,571,539 $ - $ 14,809,166
Tennessee $ 20,585,357 $ - $ 7 ,485,584 $ 2 61,331 $ 3 ,362,684 $ 9 10,368 $ 32,605,325
Texas $ 55,743,279 $ 4 9,842,990 $ 2 0,270,283 $ 7 07,661 $ 9 ,046,712 $ 2 ,958,696 $ 138,569,621
Utah $ 13,046,325 $ - $ 4 ,744,118 $ 1 65,623 $ 2 ,124,715 $ 2 27,592 $ 20,308,373
Vermont $ 9,304,415 $ - $ 3 ,383,424 $ 1 18,120 $ 1 ,520,181 $ - $ 14,326,139
Virginia $ 23,921,666 $ - $ 8 ,698,787 $ 3 03,685 $ 3 ,894,890 $ 1 ,365,552 $ 38,184,581
Washington $ 21,211,105 $ 1 1,994,012 $ 7 ,713,129 $ 2 69,275 $ 3 ,459,280 $ 6 82,776 $ 45,329,577
West Virginia $ 11,877,517 $ - $ 4 ,319,097 $ 1 50,785 $ 1 ,941,687 $ - $ 18,289,086
Wisconsin $ 19,787,345 $ 6 ,325,872 $ 7 ,195,398 $ 2 51,200 $ 3 ,236,049 $ 4 55,184 $ 37,251,048
Wyoming $ 9,049,826 $ - $ 3 ,290,846 $ 1 14,888 $ 1 ,478,311 $ - $ 13,933,869
Puerto Rico $ 16,344,796 $ - $ 5 ,943,562 $ 2 07,497 $ 2 ,673,229 $ - $ 25,169,085
Virgin Islands $ 2,890,316 $ - $ 1 ,051,024 $ 3 6,693 $ 6 33,753 $ - $ 4,611,785
American Samoa $ 2,779,462 $ - $ 1 ,010,713 $ 3 5,285 $ 4 54,033 $ - $ 4,279,493
Guam $ 2,990,093 $ - $ 1 ,087,307 $ 3 7,959 $ 5 90,228 $ - $ 4,705,587
Northern Mariana Islands $ 2,805,231 $ - $ 1 ,020,084 $ 3 5,612 $ 4 72,042 $ - $ 4,332,970
Republic of the Marshall Islands $ - $ - $ - $ - $ 5 0,075 $ - $ 50,075
Federated States of Micronesia $ - $ - $ - $ - $ 50,075 $ - $ 50,075
Total $ 1,062,285,226 $ 8 54,656,750 $ 386,285,537 $ 13,485,708 $ 173,828,492 $ 2 8,221,408 $ 2,518,763,121
*Pursuant to the Compact of Free Association, $50,000 each may be available for the Federated States of Micronesia and the Republic of the
Marshall Islands under EMPG.
FY05 HOMELAND SECURITY GRANT PROGRAM – VERSION 2.0, 12-22-2004
DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
3
ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
Table 2. FY05 UASI Funding Allocations
State
Adjacent/
Integrated
Urban Areas
Urban Area Defined Urban Area4 Core
County(ies)
FY05
Allocation5
FY05
Nonprofit
Allocation
AZ
Phoenix
City of Phoenix; Maricopa County, inclusive of the portions of
Gila River Indian Community, Salt River-Pima Indian
Community, and Fort McDowell Indian Tribe lying within
Maricopa County.
$9,996,463
Anaheim
City of Anaheim; Orange County; cities of Cypress, Buena Park,
Stanton, Garden Grove, Orange, Fullerton, Placentia, Yorba
Linda, and unincorporated Orange County. Mutual aid partner
with all cities within the County of Orange Operational Area.
$10,825,119 $114,490
Anaheim/
Santa Ana
Area
Santa Ana
City of Santa Ana; Orange County; the cities of Tustin, Orange,
Costa Mesa, Garden Grove, Fountain Valley, and Irvine (the city
of Santa Ana is a mutual aid partner with all cities within the
County of Orange Operational Area).
$9,000,343
Oakland
City of Oakland; Alameda County; the Port/Airport, Berkeley,
San Leandro, Alameda, Emeryville and Piedmont. Secondary
Area: entire counties of Alameda and Contra Costa.
$6,202,982
San
Francisco
City and County of San Francisco; Counties of Marin, San
Mateo; and the Golden Gate Bridge District. $20,433,614 $935,551
Bay Area
San Jose
City of San Jose; County of Santa Clara; Counties of Monterey,
San Benito, Santa Cruz, Cities of Campbell, Cupertino, Gilroy,
Los Altos, Los Altos Hills, Milpitas, Monte Sereno, Morgan Hill,
Mountain View, Palo Alto, Santa Clara, Saratoga, Sunnyvale,
and town of Los Gatos.
$6,590,133
CA
Los Angeles/
Long Beach
Area
Los Angeles
City and County of Los Angeles; Los Angeles County
Unincorporated; Cities of Beverly Hills, Burbank, Carson,
Commerce, Culver City, El Segundo, Glendale, Hawthorne,
Inglewood, Pasadena, San Fernando, Santa Monica, Torrance,
Vernon, and West Hollywood.
$61,250,000 $3,750,000
4 As defined by the urban area in their FY04 UASI program.
5 FY05 allocation is the total allocated to the urban area. States may retain up to 20% of the allocation for activities directly supporting the urban area with concurrence of the core city, core county and
state.
FY05 HOMELAND SECURITY GRANT PROGRAM – VERSION 2.0, 12-22-2004
DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
4
ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
State
Adjacent/
Integrated
Urban Areas
Urban Area Defined Urban Area4 Core
County(ies)
FY05
Allocation5
FY05
Nonprofit
Allocation
Long Beach
City of Long Beach; Los Angeles County; Los Angeles County
Unincorporated; Cities of Bellflower, Carson, Compton,
Hawaiian Gardens, Lakewood, Paramount, and Signal Hill.
$7,985,692
Sacramento
City and County of Sacramento; West Sacramento; Cities of
Folsom. Roseville, Rocklin, and the southern portion of Placer
County.
$6,085,663
San Diego
City and County of San Diego, inclusive of cities of Carlsbad,
Chula Vista, Coronado, Del Mar, El Cajon, Encinitas, Escondido,
Imperial Beach, La Mesa, Lemon Grove, National City, Ocean-
Side, Poway, San Marcos, Santee, Solana Beach and Vista.
$14,784,191 $320,885
CO
Denver City and County of Denver; Counties of Adams, Jefferson and
Arapahoe. $8,718,395
DC
Washington/
National
Capital
Region
(NCR)
District of Columbia; Counties of Montgomery and Prince
George’s (MD); Counties of Arlington, Fairfax, Prince William,
and Loudon (VA); Cities of Falls Church, Manassas, Manassas
Park, Fairfax, and Alexandria (VA).
$77,500,000 $4,500,000
Jacksonville Duval County $6,882,493
Miami City of Miami; Counties of Miami-Dade and Broward. $15,828,322 $402,110
FL
Tampa City of Tampa; Hillsborough County; Pinellas County, inclusive
of Clearwater, Temple Terrace and St. Petersburg. $7,772,791
GA
Atlanta
City of Atlanta; Counties of Fulton and DeKalb Georgia;
Supported by the contiguous counties of Gwinnett, Rockdale,
Henry, Clayton, Fayette, Cobb, and Douglas.
$13,117,499 $216,068
HI Honolulu City of Honolulu; Honolulu County (Island of Oahu). $6,454,763
IL Chicago City of Chicago; Cook County, inclusive of 128 municipalities. $45,000,000 $3,000,000
IN
Indianapolis City of Indianapolis; Counties of Hamilton and Marion. $5,664,822
FY05 HOMELAND SECURITY GRANT PROGRAM – VERSION 2.0, 12-22-2004
DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
5
ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
State
Adjacent/
Integrated
Urban Areas
Urban Area Defined Urban Area4 Core
County(ies)
FY05
Allocation5
FY05
Nonprofit
Allocation
KY
Louisville
City of Louisville; Louisville/Jefferson County Metro Government;
inclusive of the cities of Jeffersontown, St. Matthews, Shively,
and Anchorage. Secondary area inclusive of the Kentucky
counties of Bullitt, Henry, Meade, Nelson, Oldham, Shelby,
Spencer, and Trimble.
$5,000,000
Baton Rouge
City of Baton Rouge; East Baton Rouge Parish; Louisiana
Homeland Security Region 2 which includes East and West
Baton Rouge Parish, East and West Feliciana Parish, Ascension
Parish, Livingston Parish, Iberville Parish and Pointe Couppee
Parish.
$5,226,495
LA
New Orleans City of New Orleans; Orleans Parish; Parishes of Jefferson, St.
Bernard, and Plaquemines. $9,305,180
MA
Boston City of Boston; Communities of Brookline, Cambridge, Chelsea,
Everett, Quincy, Revere, Winthrop, and Somerville. $26,000,000 $2,075,000
MD Baltimore City of Baltimore; Counties of Baltimore and Anne Arundel; City
of Annapolis; Counties of Carroll, Harford and Howard. $11,305,357 $132,160
MI Detroit City of Detroit; Wayne County. $17,068,580 $516,028
MN Twin Cities
Area Minneapolis Cities of Minneapolis and St. Paul; Counties of Hennepin,
Ramsey, and Dakota. $5,763,4116
Kansas City
Cities of Kansas City (MO) and Kansas City (KS); Counties of
Cass, Clay, Jackson, Platte and Ray (MO); Counties of
Johnson, Leavenworth, and Wyandotte (KS).
$8,213,126
MO
St. Louis
City and County of St. Louis; Counties of St. Charles, Franklin,
and Jefferson (MO); Counties of St. Clair, Madison, and Monroe
(IL).
$7,040,739
NE Omaha Douglas
County $5,148,300
6 St. Paul did not receive a specific UASI allocation in FY05 and thus is not the core city involved in determining funding levels for the urban area. However,
Minneapolis and St. Paul coordinated closely in previous fiscal years to establish a single Urban Area Working Group and Urban Area Homeland Security
Strategy that addressed the needs of both jurisdictions. Those multi-jurisdictional structures should remain in effect in FY05 regardless of UASI funding provided
to specific jurisdictions.
FY05 HOMELAND SECURITY GRANT PROGRAM – VERSION 2.0, 12-22-2004
DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
6
ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
State
Adjacent/
Integrated
Urban Areas
Urban Area Defined Urban Area4 Core
County(ies)
FY05
Allocation5
FY05
Nonprofit
Allocation
NC
Charlotte
City of Charlotte; Mecklenberg County; the counties of Union,
Cabarrus, Stanly, Iredell, Catawba, Lincoln, Gaston, Supported
by York and Lancaster in South Carolina.
$5,479,243
Jersey City $6,732,512
NJ Jersey City/
Newark Area
Newark
Cities of Jersey City and Newark; Counties of Essex, Bergen,
Hudson, Morris, Passaic, and Union.
$12,439,608 $181,298
NV Las Vegas City of Las Vegas; Clark County. $8,456,728
Buffalo City of Buffalo; Counties of Erie and Niagara. $7,207,995
NY
New York City of New York; Counties of Nassau, Suffolk, and
Westchester; Port Authority of New York and New Jersey. $207,563,211 $6,311,701
Cincinnati City of Cincinnati; Hamilton County, and the 49 local jurisdictions
within the county. $5,866,214
Cleveland
City of Cleveland; County of Cuyahoga, inclusive of nine
Cuyahoga Community Regions - Chagrin, Cleveland, Cuyahoga,
Heights, Hillcrest, Southcentral, Southeast, Southwest, and
Westshore, and the local jurisdictions therein.
$7,385,100
Columbus
City of Columbus, Franklin County; the cities of Bexley,
Columbus, Dublin, Grandview Heights, Grove City, Hilliard,
Reynoldsburg, Upper Arlington, Westerville, Worthington, the
villages of Brice, Canal Winchester, Groveport, Harrisburg,
Lockbourne, Marble Cliff, Minerva Park, New Albany, Obetz,
Urbancrest, Valleyview, the townships of Blendon, Brown,
Clinton, Franklin, Hamilton, Jackson, Jefferson, Madison, Mifflin,
Norwich, Perry, Plain, Pleasant, Prairie, Sharon, Truro,
Washington.
$7,573,005
OH
Toledo Lucas
County $5,307,598
OK
Oklahoma
City
Oklahoma
County,
Canadian
County,
Cleveland
County
$5,570,181
FY05 HOMELAND SECURITY GRANT PROGRAM – VERSION 2.0, 12-22-2004
DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
7
ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
State
Adjacent/
Integrated
Urban Areas
Urban Area Defined Urban Area4 Core
County(ies)
FY05
Allocation5
FY05
Nonprofit
Allocation
OR
Portland City of Portland; Counties of Washington, Multnomah,
Clackamas, and Columbia (OR); Clark County (WA).
$10,391,037 $100,000
Philadelphia City of Philadelphia; Philadelphia County; Counties of Bucks,
Chester, Delaware, and Montgomery. $22,818,091 $1,347,598
PA
Pittsburgh
City of Pittsburgh; Counties of Allegheny, Armstrong, Beaver,
Butler, Cambria, Fayette, Greene, Indiana, Lawrence, Mercer,
Somerset, Washington, and Westmoreland.
$9,635,991
Arlington $5,072,852
Dallas $13,891,234 $261,148
Dallas/Fort
Worth Area
Fort Worth
City and County of Dallas; Counties of Collin, Denton, Kaufman,
Rockwall; and the additional components of Tarrant County,
DFW Airport, North Central Texas Council of Governments and
the DFW Hospital Council.
$5,391,784
Houston
City of Houston; Counties of Harris, Fort Bend, Montgomery,
Brazoria, and Galveston; inclusive of Transit Authority and Port
Authority.
$18,570,464 $681,984
TX
San Antonio City of San Antonio; the counties of Bexar and Comal; Alamo
Area Councils of Government. $5,973,524
WA Seattle City of Seattle; Counties of King, Pierce, and Snohomish. $11,840,034 $153,978
WI Milwaukee City of Milwaukee; Counties of Milwaukee, Waukesha,
Washington County. $6,325,872
Total
$829,656,751 $24,999,999
Note: ODP encourages all current and former geographically contiguous UASI urban areas to continue existing
coordinated and collaborative planning structures and efforts in developing, integrating, and implementing
homeland security activities. This includes, but is not limited to, participation on advisory committees and
working groups involved in homeland security planning and preparedness processes and activities.
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ELIGIBLE APPLICANTS AND FUNDING AVAILABILITY
Table 3. FY05 MMRS Jurisdictions by State
State MMRS Jurisdictions
Alabama Birmingham, Huntsville, Mobile, and Montgomery
Alaska Anchorage and Southeast Alaska
Arizona Glendale, Mesa, Phoenix, and Tucson
Arkansas Little Rock
California Los Angeles, San Francisco, San Diego, San Jose, Long Beach, Oakland,
Sacramento, Fresno, Santa Ana, Anaheim, Riverside, Glendale, Huntington
Beach, Stockton, Bakersfield, Fremont, Modesto, and San Bernardino
Colorado Aurora, Colorado Springs, and Denver
Connecticut Hartford
Florida Miami, Jacksonville, Tampa, St. Petersburg, Hialeah, Ft. Lauderdale, and
Orlando
Georgia Atlanta and Columbus
Hawaii Honolulu
Illinois Chicago
Indiana Ft. Wayne and Indianapolis
Iowa Des Moines
Kansas Kansas City and Wichita
Kentucky Lexington/Fayette and Louisville
Louisiana Baton Rouge, Jefferson Parish, New Orleans, and Shreveport
Maryland Baltimore
Massachusetts Boston, Springfield, Worcester
Michigan Detroit, Grand Rapids, and Warren
Minnesota Minneapolis and St. Paul
Mississippi Jackson
Missouri Kansas City and St. Louis
Nebraska Lincoln and Omaha
Nevada Las Vegas
New Hampshire Northern New England MMRS (also serves Maine and Vermont)
New Jersey Jersey City and Newark
New Mexico Albuquerque
New York Buffalo, New York City, Rochester, Syracuse, and Yonkers
North Carolina Charlotte, Greensboro, and Raleigh
Ohio Akron, Cincinnati, Cleveland, Columbus, Dayton, and Toledo
Oklahoma Oklahoma City and Tulsa
Oregon Portland
Pennsylvania Allegheny County and Philadelphia
Rhode Island Providence
South Carolina Columbia
Tennessee Chattanooga, Knoxville, Memphis, and Nashville
Texas Amarillo, Arlington, Austin, Corpus Christi, Dallas, El Paso, Fort Worth,
Garland, Houston, Irving, Lubbock, San Antonio, Southern Rio Grande
Utah Salt Lake City
Virginia Arlington County, Chesapeake, Newport News, Norfolk, Richmond, and
Virginia Beach
Washington Seattle, Spokane, and Tacoma
Wisconsin Madison and Milwaukee
TOTAL 124 MMRS Jurisdictions
II. APPLICATION KIT
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APPLICATION KIT
II. APPLICATION KIT
SAAs must apply for FY05 HSGP funding through the online Grants Management
System (GMS) at https://grants.ojp.usdoj.gov/. Applications are available as of
December 2, 2004 and must be received by ODP no later than January 16, 2005. ODP
will respond within 15 days of receipt of a complete application.
These grants are through DHS/ODP. The program title listed in the Catalog of Federal
Domestic Assistance (CFDA) at http://12.46.245.173/cfda/cfda.html is “Office for
Domestic Preparedness Fiscal Year 2005 Homeland Security Grant Program.” The
CFDA number for FY05 HSGP is 97.067. When completing the online application,
applicants should identify their submissions as new, non-construction applications. The
project period will be for a period not to exceed 30 months. To expedite the application
and award process, no budget information, except for the EMPG budget narrative, is
required to apply for this grant. Table 4 outlines the required application elements.
Table 4. Application Checklist
? SF-424 Grant Application with Certifications (through GMS)
? Non-Supplanting Certification
? EPMG Match Requirement (if applicable)
? Assurances
? Certifications Regarding Lobbying; Debarment, Suspension, and
Other Responsibility Matters; and Drug-Free Workplace Requirement
? DUNS Number
? Program Narrative, including:
? PART I: Management Capabilities
? PART II: Resource Allocation
? PART III: Challenges and Impediments
? PART IV: Recommendations
? EMPG Program Narrative and Budget
? Program Narrative
? PART I: Management Capabilities
? PART II: Challenges and Impediments
? PART III: Recommendations
? PART IV: Major Initiatives
? Budget and Budget Narrative
? For newly identified urban areas (if applicable):
? State, Core City(ies), and Core County(ies) POCs
? Urban Area Definition
? Establish UAWG, including structure and membership
? Review of Application by the State Single Point of Contact (SPOC)
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APPLICATION KIT
Required Application Submissions
1. SF-424 Grant Application with certifications (through GMS)
• Non-Supplanting Certification: This certification from the SAA, which is a
required component of the online GMS application, affirms that federal funds will
only be used to supplement existing funds and will not replace (supplant) funds
that have been appropriated for the same purpose. Potential supplanting will be
addressed in the application review as well as in the pre-award review, postaward
monitoring, and the audit. Applicants or grantees may be required to
supply documentation certifying that a reduction in non-federal resources
occurred for reasons other than the receipt or expected receipt of federal funds.
• Match Requirement: The EMPG program has a 50% federal and 50% state
cost-share cash or in-kind match requirement. Unless otherwise authorized by
law, federal funds can not be matched with other federal funds. In accordance
with federal guidelines and DHS Office of General Counsel (OGC) rulings, match
requirements are waived for the U.S. Territories of American Samoa, Guam, the
Virgin Islands, and the Commonwealth of the Northern Mariana Islands. For
further information on allowable sources and types of funds, timing of match
contributions, and records for match, please consult the OJP Financial Guide,
Chapter 3 at http://www.ojp.usdoj.gov/FinGuide/.
• Assurances: The online GMS application includes a list of assurances that the
applicant must comply with in order to receive federal funds under this program.
It is the responsibility of the recipient of the federal funds to fully understand and
comply with these requirements. Failure to comply may result in the withholding
of funds, termination of the award, or other sanctions. The applicant agrees to
these assurances upon the submission of the application.
• Certifications Regarding Lobbying; Debarment, Suspension, and Other
Responsibility Matters; and Drug-Free Workplace Requirement: This
certification, which is a required component of the online application, commits the
applicant to compliance with the certification requirements under 28 Code of
Federal Regulations (CFR) part 67, Government-wide Debarment and
Suspension (Non-procurement); 28 CFR part 69, New Restrictions on Lobbying;
and 28 CFR part 83 Government-wide Requirements for Drug-Free Workplace
(Grants). All of these can be referenced at
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html. The certification
will be treated as a material representation of the fact upon which reliance will be
placed by DHS in awarding grants.
• Suspension or Termination of Funding: DHS, by written notice, may terminate
this grant, in whole or in part, when it is in the Government's interest.
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APPLICATION KIT
2. DUNS Number. The SAA must provide a Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number with the FY05 HSGP application. An
application will not be considered complete until a valid DUNS number is
provided by the applicant. This number may be provided in one of the attachment
fields within the online GMS application. Organizations should verify having 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 1-800-333-0505.
3. Program Narrative. Grantees must build and maintain the capabilities necessary to
effectively establish and sustain the many programs critical to achieving states’
homeland security strategies. To help assess these capabilities, the FY05 HSGP
requires that all award recipients submit a narrative as a part of the HSGP
application. This narrative must provide a general overview of support systems and
processes planned or in place within the states to administer homeland security
programs. To frame the narrative, please use the following structure:
PART I: Management Capabilities. Please provide a description of current
resource management capabilities to develop, implement, and manage the
programmatic requirements associated with HSGP funding and other federally
funded programs supporting the State Homeland Security Strategy. When
describing current management capabilities, consider including such information
as the following:
• Identify the major organizations, committees, and other structures
accountable for implementing the homeland security strategy and programs
• Provide an overview of the governance process and operating guidelines to
administer and ensure alignment of major federally funded programs
• Indicate the staffing/resource levels within those core organizations
responsible for program administration and oversight
• Identify mechanisms used for statewide coordination among HSGP funds and
other programs
• Provide an overview of the process(es) used to determine fund allocations
• Identify systems/processes used to facilitate fund disbursement
• Describe the state’s funds monitoring and tracking system(s) for major
programs.
In addition, the description must make specific reference to the following:
• Current efforts to achieve National Incident Management System (NIMS)
implementation and institutionalization across the entire state/territory
response system during FY05
• The existence of or current efforts to establish a Senior Advisory Committee
(see Senior Advisory Committee on page 23 for additional guidance) during
FY05 to coordinate HSGP funding as well as with the U.S. Department of
Health and Human Services’ (HHS) Centers for Disease Control and
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APPLICATION KIT
Prevention (CDC) Bioterrorism Cooperative Agreement and the Health
Resources and Services Administration (HRSA) National Bioterrorism
Hospital Preparedness Program. For further information on these two HHS
programs, please refer to
http://www.bt.cdc.gov/planning/continuationguidance/index.asp and
http://www.hrsa.gov/bioterrorism/.
• Current efforts to institutionalize statewide training and exercise programs in
support of the State Homeland Security Strategy.
• Current and planned efforts to educate the public and to encourage citizen
participation in prevention, preparedness, and response activities through
Citizen Corps.
PART II: Resource Allocation. Please provide an estimate of HSGP funds and
state resources to be allocated for HSGP program management over the 30-
month HSGP performance period following the format below. Other funding
sources should also be described. This template refers to staff and/or
contractors that have been or plan to be hired under the training, planning,
exercise, and management and administrative (M&A) allowable cost categories.
This table should be submitted with the description of current resource
management capabilities narrative.
Funds
($ in thousands)
Staff
(FTE)
Contractors
(FTE)
HSGP Funds
• Planning
• Training
• Exercises
• M&A
State Funds
Other Funding Sources
(described below)
PART III: Challenges and Impediments. Please provide an explanation of
challenges and impediments that complicate the administration and management
of programs supporting state homeland security.
PART IV: Recommendations. Please provide recommendations for beneficial
services, tools, and/or resources that would assist the state/territory to better
implement the State Homeland Security Strategy.
4. EMPG Program Narrative and Budget. Grantees must maintain and expand any
necessary capabilities to sustain an effective emergency management program.
These capabilities must be able to address all-hazards emergencies. To help
assess these capabilities, the FY05 HSGP requires that all EMPG award recipients
submit a narrative as a part of the HSGP application. To frame the program
narrative, please use the following four-part structure (please note that if the SAA
and the emergency management agency (EMA) are the same agency, only
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APPLICATION KIT
Parts III and IV below, as well as the budget narrative, need to be completed
for the EMPG):
EMPG Program Narrative
PART I: Management Capabilities. Please provide a description of current
resource management capabilities to develop, implement, and manage the
programmatic requirements associated with EMPG funding and other federally
funded programs supporting the state emergency management program and the
State Homeland Security Strategy. When describing current management
capabilities, consider including such information as the following:
• Identify the major organizations, committees, and other structures
accountable for implementing the emergency management program initiatives
• Provide an overview of the core emergency management organization, and
the structures used to support emergency management across the state.
• Indicate the staffing/resource levels within those core organization
responsible for program administration and oversight
• Provide an overview of the process(es) used to determine funds allocation to
any subgrantee of the emergency management authority.
In addition, the description must make specific reference to the following:
• Current efforts to achieve NIMS implementation and institutionalization across
the entire state/territory response system during FY05
• Current efforts to address deficiencies identified as a result of the Federal
Emergency Management Agency (FEMA) baseline capability assessment or
the Emergency Management Accreditation Program (EMAP) process
• Current efforts to institutionalize all-hazards preparedness into the existing
State Homeland Security Strategy.
PART II: Challenges and Impediments. Please provide an explanation of
challenges and impediments that complicate the administration and management
of programs supporting the statewide emergency management program.
PART III: Recommendations. Please provide recommendations for beneficial
services, tools, and/or resources that would assist the state/territory in better
implementing the statewide emergency management program and integrating
the program into the existing State Homeland Security Strategy.
PART IV: Major Initiatives. Please provide a list of major emergency
management initiatives and a brief overview of each initiative. The overview
should address the major objectives and key milestones of the initiative, as well
as how it relates to the Emergency Management Functions identified through
EMAP. Consistent with the emergency management function chosen, the state may
propose activities at a local level as well as activities that have statewide application.
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APPLICATION KIT
For example, a state’s program objective for exercises may include those conducted
by counties or municipalities as well as those conducted by the state.
EMPG Budget and Budget Narrative
Additionally, all EMPG award recipients are required to submit a budget and
budget narrative addressing EMPG related costs and expenses, as a part of the
HSGP application. This budget narrative should be brief and should serve to:
(1) explain how the costs were estimated, (2) justify the need for the costs, and
(3) outline how the match requirement of the grant program will be met. For
clarification purposes, the narrative should include tables describing cost and
expense elements (e.g. equipment list with unit costs/quantity). ODP
Preparedness Officers can provide additional guidance on the development of
this narrative.
5. For newly identified UASI urban areas:
• Identify Points of Contact. The SAA must designate a specific point(s) of
contact (POC) to work with ODP and the designated urban area(s) on the
implementation of the FY05 UASI. The SAA POC(s) is then responsible for
working through the Mayor/Chief Executive Officer (CEO) of each urban area’s
core city(ies) and associated core county(ies) to identify a POC for each
responsible jurisdiction. This information must be provided to ODP along with
the grant application.
• Define the Urban Area. In coordination with the urban area’s Core City POC(s)
and the Core County(ies) POC(s), the SAA POC must fully define the urban
area, as it will apply to FY05 UASI. Specifically, the geographical borders of
what constitutes the urban area—including any possible contiguous jurisdictions
and mutual aid partners—must be drawn, and all participating jurisdictions within
the border identified. In defining the urban area, the SAA POC is required to
coordinate and receive input from the core city and core county/counties. The
definition of the urban area is limited to jurisdictions contiguous to the core city
and county/counties, or with which the core city or county/counties have
established formal mutual aid agreements; a core county is defined as the county
within which the core city is geographically located. States may request a waiver
for this limitation for regions previously established by Executive Order, law or
compact. For the purposes of the FY05 UASI, the Washington, D.C. urban area
will consist of the NCR as set forth in Title 10 USC, Sec. 2674(f)(2).
• Establish the Urban Area Working Group (UAWG). The SAA POC must work
through the Mayor/CEOs from all other local jurisdictions within the defined urban
area to identify POCs from these jurisdictions to serve on the UAWG. The
UAWG will be responsible for coordinating development and implementation of
all program initiatives, including the urban area strategy development, the
methodology for the allocation of funds (in coordination with the SAA), and any
direct services that are delivered by ODP. ODP strongly encourages that,
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APPLICATION KIT
wherever possible, previously established local working groups are leveraged for
this purpose. An overview of the UAWG structure and a list of members and
their associated jurisdictions must be provided to ODP along with the grant
application.
6. Single Point of Contact (SPOC) Review: Executive Order 12372, located at
http://www.archives.gov/federal_register/codification/executive_order/12372.html,
requires applicants from state and local units of government or other organizations
providing services within a state to submit a copy of the application to the state
SPOC, if one exists and if this program has been selected for review by the state.
Applicants must contact their state SPOC to determine if the program has been
selected for state review. The date that the application was sent to the SPOC or the
reason such submission is not required should be provided.
Applicants must familiarize themselves with the requirements and restrictions
of the Program Guidance for FY05 HSGP, available in Sections III through XI of
the Fiscal Year 2005 Homeland Security Grant Program: Program Guidelines
and Application Kit. The Program Guidance contains critical information
regarding this grant program, and all grant recipients are assumed to have
read, understood, and accepted the Guidance as binding.
III. PROGRAM GUIDANCE
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PROGRAM GUIDANCE
III. PROGRAM GUIDANCE
A. Overview of the Programs
In March 2004, Secretary Ridge formed the Task Force on State and Local Homeland
Security Funding, which was comprised of Governors, Mayors, county officials, tribal
leaders, and other elected and appointed officials from throughout the nation, to
examine the distribution of homeland security funds and to develop specific
independent, objective recommendations to expedite the process. The Funding Task
Force utilized the first-hand experience of these leaders and reinforced the shared
federal, state, and local commitment to continually improve the homeland security
funding processes. The Funding Task Force focused on three core areas: examining
the funding process to understand why there have been delays; examining and
cataloging best practices; and providing specific recommendations to eliminate choke
points that impede the timely distribution of funds. The Funding Task Force made
several recommendations in its June 2004 report submitted through the Homeland
Security Advisory Council. The Funding Task Force report can be found at
http://www.dhs.gov/dhspublic/display?content=3723. The FY05 HSGP incorporates
many of these recommendations into its program guidance.
Table 5. Funding Task Force Recommendations and FY05 HSGP
Funding Task Force Recommendation
FY05 HSGP
Allow states and local governments to draw down
grant funds from the U.S. Treasury up to 120
days in advance of expenditure, as opposed to
the 3-5 days currently allowed.
Grantees and subgrantees are allowed to drawdown
grant funds 120 days prior to expenditure.
Congress should expand the approved uses of
State Homeland Security Grant Program funds
so as to allow state, county, municipal and tribal
entities to better address short term security
issues attributed to terrorist threats.
UASI jurisdictions may use FY05 UASI funds to
support operational overtime costs incurred at Code
Yellow, in addition to Code Orange alert that are
associated with increased security measures at
critical infrastructure sites.
Enhance training and technical assistance
available to state and local officials involved in
the management and distribution of homeland
security grants.
DHS will provide grants management capabilities
technical assistance to state and local officials, as
requested, to support the management and
distribution of HSGP funds.
Establish an Office of the Comptroller within DHS
to assume complete financial responsibility over
grant programs.
DHS/SLGCP will establish the Office of Grant
Operations to provide administrative and financial
grants management support.
In response to the Funding Task Force recommendations and to improve the homeland
security funding process, the grant application process has been streamlined by
consolidating six grant programs within FY05 HSGP. This consolidation will enhance
each program’s visibility across homeland security disciplines and help ensure that
available funding is leveraged for maximum impact. The integration of these programs
will also strengthen the coordination across the various programs and encourages
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PROGRAM GUIDANCE
regional preparedness efforts.7 State and Urban Area Homeland Security Strategies
will continue to serve as an overarching guide to homeland security efforts. States are
strongly encouraged to employ regional approaches to planning and preparedness and
to adopt regional response structures whenever appropriate to meet the needs
identified through the assessments and in the state’s homeland security strategy.
Furthermore, DHS intends to guide state and local security and preparedness efforts
toward a project-oriented process to address common measurable objectives. Security
and preparedness officials at all levels should seek opportunities to leverage funding
from multiple sources whenever possible and not restrict their activities to federal
funding alone.
Table 6. FY05 HSGP Programs
FY05 HSGP
Program
Program Overview
State Homeland
Security Program
(SHSP)
SHSP provides financial assistance directly to each of the states and territories to
prevent, respond to, and recover from acts of terrorism. SHSP supports the
implementation of the State Homeland Security Strategy to address the identified
planning, equipment, training, and exercise needs. In addition, SHSP supports
the implementation of NIMS, Homeland Security Presidential Directive (HSPD) 8:
National Preparedness, and the National Response Plan (NRP). SHSP is further
detailed in Section VI of this program guidance.
Urban Areas
Security Initiative
(UASI)
UASI provides financial assistance to address the unique planning, equipment,
training, and exercise needs of high risk urban areas, and to assist them in
building an enhanced and sustainable capacity to prevent, respond to, and
recover from threats or acts of terrorism. Allowable costs for the urban areas
comport with the FY05 SHSP, and funding is expended based on the Urban Area
Homeland Security Strategies. This funding will be provided to identified urban
areas through the SAAs. Funds under FY05 UASI are also available to protect
nonprofit organizations located within designated urban areas. UASI is further
detailed in Section VII of this program guidance.
Law Enforcement
Terrorism
Prevention
Program (LETPP)
LETPP will provide law enforcement communities with funds to support the
following prevention activities: information sharing to preempt terrorist attacks;
target hardening to reduce vulnerability of selected high value targets; recognition
and mapping of potential or developing threats; counterterrorism and security
planning; interoperable communications; and, interdiction of terrorists before they
can execute a threat or intervention activities that prevent terrorists from executing
a threat. These funds may be used for planning, organization, training, exercises,
and equipment, and will be administered by the respective SAA. LETPP is further
detailed in Section VIII of this program guidance.
7 As used in this solicitation, the term “regional” refers to multi-state or sub-state geographic areas that function as regions (e.g., the National
Capital Region) and is not a reference to any federal regions.
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PROGRAM GUIDANCE
FY05 HSGP
Program
Program Overview
Citizen Corps
Program (CCP)
Citizen Corps is the Department’s grass-roots initiative to actively involve all
citizens in hometown security through personal preparedness, training, and
volunteer service. CCP funds will be used to support Citizen Corps Councils with
efforts to engage citizens in preventing, preparing for, and responding to allhazards,
including planning and evaluation, public education and communication,
training, participation in exercises, providing proper equipment to citizens with a
role in response and management of Citizen Corps volunteer programs and
activities. This funding program will be administered by the respective SAA in
coordination with the state Citizen Corps point of contact. CCP is further detailed
in Section IX of this program guidance.
Emergency
Management
Performance
Grants (EMPG)
EMPG funds will be used to support comprehensive emergency management at
the state and local levels and to encourage the improvement of mitigation,
preparedness, response, and recovery capabilities for all hazards. DHS is
responsible for leading and supporting the nation in a comprehensive, risk-based,
all-hazards emergency management program. A primary means of ensuring the
development and maintenance of such a program is funding to states through
EMPG. Funds provided under EMPG may also be used to support activities that
contribute to the capability to manage consequences of acts of terrorism. This
funding program will be administered by the respective SAA. EMPG is further
detailed in Section X of this program guidance.
Metropolitan
Medical Response
System (MMRS)
Program
MMRS funds will support MMRS jurisdictions in further enhancement and
sustainment of their integrated, systematic mass casualty incident preparedness
to respond to mass casualty events during the first hours of a response, the time
crucial to lifesaving and population protection, until significant external assistance
can arrive. MMRS provides the planning, organizing, training, and equipping
concepts, principles, and techniques, which enhances local jurisdictions’
preparedness to respond to the range of mass casualty incidents – from chemical,
biological, radiological, nuclear, and explosive (CBRNE) events to epidemic
outbreaks, natural disasters and large-scale hazardous materials incidents. This
funding program will be administered by the respective SAA. MMRS is further
detailed in Section XI of this program guidance.
B. Program Guidance
Period of Performance
The period of performance for all programs within HSGP is 30 months, from October 1,
2004 through March 31, 2007.
Transfer of funds between HSGP programs (SHSP, UASI,
LETPP, CCP, EMPG, and MMRS) is strictly prohibited.
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PROGRAM GUIDANCE
Pass-Through Requirements
SHSP, UASI, LETPP, and MMRS: Each state shall obligate not less than 80% of
the total grant program amount to local units of government, identified urban area
jurisdictions, or MMRS subgrantees8 within 60 days of the grant award date.
• UASI: Any funds retained by the state must be used to directly support the
urban area.
The state must also issue a solicitation within 60 days of the award date for
organizations to apply for funds allocated for nonprofit organizations.
• MMRS: In states with MMRS jurisdictions, SAAs are encouraged to pass
100% of the MMRS program funding allocation directly to their MMRS
jurisdiction(s). For MMRS jurisdictions representing multiple states9, each
SAA involved is also encouraged to pass 100% of the funding to the
designated fiduciary/coordinating entity. However, states may retain up to
20% of the MMRS program funding allocation to facilitate strategy
assessment and capability integration between the state and MMRS
jurisdictions. Any funds retained by the state must be documented in a
written agreement between the SAA and Chair of the MMRS Steering
Committee(s).
CCP: There are no minimum pass-through requirements for CCP. However, states
are expected to work with county, local, and/or tribal Citizen Corps Councils and to
expend funds that support local efforts to educate, train, and involve citizens. If the
state chooses to subgrant funds to a local unit of government, the recipient must
have an existing Citizen Corps Council or establish a Citizen Corps Council as a
condition of receiving the assistance.
EMPG: Each state shall obligate 100% of the total grant program amount to the
designated state-level EMA. If the SAA is also the EMA, this requirement is
automatically met. If the SAA is separate, or has separate budget processes, then
these funds must be obligated to the EMA within 15 days of the grant award date.
State EMAs are encouraged to pass EMPG funds through to local EMAs, as
appropriate.
Memorandum of Understanding (MOU) Requirements: For any HSGP programs
involving pass-through of funds, the state may retain some or all of the local unit of
government or urban area’s allocation of grant funds for expenditures made by the
state on behalf of the local unit of government or urban area only if requested in
writing by that local unit of government or urban area. States holding grant
funds on behalf of local units of government or urban areas must enter into a formal
8 MMRS subgrantees may be identified, or considered, as entities, departments, or elements of local units of government, such as
hospital authorities, coordinating councils, medical centers, educational facilities, etc.
9 The Northern New England MMRS jurisdiction is the only jurisdiction represented by multiple states, and includes New
Hampshire, Vermont, and Maine.
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MOU with the local unit of government or urban area specifying the amount of funds
to be retained by the state and the intended use of funds.
This MOU request must be initiated by the local unit of government or urban area.
States are encouraged, but not required, to submit these MOUs to their ODP
Preparedness Officer for review by the DHS OGC to ensure compliance. A final,
executable copy of the MOU must be kept on file with the SAA and must be made
available to DHS upon request. A model MOU is available for reference in Appendix
C: Template for MOU.
Drawdown of Funds
Grantees and subgrantees will be permitted to drawdown funds up to 120 days prior to
expenditure/disbursement, which echoes the recommendation of the Funding Task
Force. Funds received by both grantees and subgrantees must be placed in an
interest-bearing account and are subject to the rules outlined in the Uniform Rule 28
CFR Part 66, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments, at
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html and the Uniform Rule
28 CFR Part 70, Uniform Administrative Requirements for Grants and Agreements
(Including Subawards) with Institutions of Higher Education, Hospitals, and other
Nonprofit Organizations, at
http://www.access.gpo.gov/nara/cfr/waisidx_03/28cfr70_03.html. These guidelines
state that subgrantees are required to promptly, but at least quarterly, remit interest
earned on advances to:
United States Department of Health and Human Services
Division of Payment Management Services
P.O. Box 6021
Rockville, MD 20852
The subgrantee may keep interest amounts up to $100 per year for administrative
expenses. Please consult the OJP Financial Guide or the applicable OMB Circular for
additional guidance.
State grantees are subject to the interest requirements of the Cash Management
Improvement Act (CMIA) and its implementing regulations at 31 CFR Part 205.
Interest under CMIA will accrue from the time federal funds are credited to a state
account until the time the state pays out the funds to a subgrantee or otherwise for
program purposes.
State and Urban Area Homeland Security Strategies
State and Urban Area Homeland Security Strategies must serve as the guiding direction
for all grant programs in HSGP, and security and preparedness officials at all levels
should leverage all available funding and resources from multiple sources wherever
possible. Grantees and subgrantees should not restrict their activities to federal funding
alone to achieve the goals outlined within their strategies. Rather, special attention
should be given to leveraging relevant funding sources and resources that support
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implementation of these strategies. This includes, but is not limited to:
• Other federal preparedness programs, including those offered by HHS through
CDC, HRSA, and the U.S. Food and Drug Administration (FDA); the U.S.
Department of Agriculture (USDA); the U.S. Department of Justice (DOJ); the
U.S. Department of Transportation (DOT); FEMA; DHS Science and Technology
(S&T); DHS Information Analysis and Infrastructure Protection (IAIP); and other
relevant organizations
• Other state homeland security and preparedness programs and resources
• Local and tribal homeland security and preparedness programs and resources
• Private sector homeland security preparedness programs and resources.
Senior Advisory Committee and Program Coordination Requirements
ODP expects grantees and subgrantees to take a holistic approach to implementing
their strategic homeland security goals and objectives by considering all available
support and assistance programs, regardless of the source. In FY05, if states have not
already done so, they shall establish a senior advisory committee or similar entity of
senior officials overseeing assistance programs from ODP, CDC, HRSA, and other
federal agencies providing homeland security assistance. The purpose of this senior
advisory committee is to enhance the integration of disciplines involved in homeland
security, including public health and medical initiatives.
ODP recognizes that many states may have already created this type of coordination
body. The purpose of this coordination requirement is not to duplicate efforts already
underway in states. Rather, the purpose is to ensure that states and territories are
facilitating coordination among the key agencies and disciplines receiving homeland
security assistance and responsible for implementing homeland security initiatives.
Examples of cooperative efforts include leveraging ODP preparedness efforts and
CDC’s Cities Readiness Initiative or coordinating MMRS pharmaceutical cache efforts
with CDC’s Strategic National Stockpile.
The senior advisory committee or similar entity must be established within 60 days of
the HSGP award date and must meet at least quarterly. States will be required to report
through established biannual reporting mechanisms whether they have established the
senior advisory committee. The membership of the senior advisory committee must, at
a minimum, include state officials directly responsible for the administration of ODP
grants and CDC and HRSA cooperative agreements. In addition, program
representatives from the following entities must be included on the senior advisory
committee: the SAA, the state homeland security advisor if this role is not also the SAA,
the state emergency management director, the state public health officer, HRSA
Program Director/Primary Investigator (listed in Section 10 of HRSA Notice of Grant
Award (NGA)), the HRSA Bioterrorism Hospital Coordinator, the CDC Program
Director/Primary Investigator, and the state Citizen Corps POC. States are encouraged
to broaden membership of the senior advisory committee, and/or its sub-committees, to
include membership from additional disciplines and associations, including law
enforcement, fire, public health, behavioral health, public works, agriculture, information
technology, and other pertinent disciplines from the prevention and response
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community. States may wish to leverage pre-established working groups, such as the
State Joint Advisory Committee that are mandated under the CDC and HRSA
cooperative agreements.
In FY06, as part of the ongoing HSPD-8 implementation, DHS and HHS will look to
states to further strengthen the coordination among state agencies responsible for
administering federal preparedness grants.
States must also coordinate the planning and implementation of all programs working to
achieve the goals outlined in the State Homeland Security Strategy with all pertinent
emergency responder disciplines at the state, local, and tribal level, including public
health, transit, and port authorities.
Citizen Coordination. SAAs must coordinate state and UASI citizen awareness and
participation activities with those state agencies currently responsible for the
administration of Citizen Corps activities. A listing of current state Citizen Corps POCs
is located at http://www.citizencorps.gov/councils/ and clicking on “State Citizen Corps
POC List.” In support of the goals and objectives outlined in the current homeland
security strategies and as strategies are revised, states must include an integrated
approach to engaging citizens in preparedness, training, exercises, and volunteer
support for emergency responders through Citizen Corps Councils. States are
encouraged to fully leverage HSGP resources to accomplish this goal.
Private Sector Coordination. Grantees are encouraged to collaborate with the private
sector to leverage private sector initiatives, resources, and capabilities. Since critical
infrastructure is often privately-owned and operated, enhancing public/private
partnerships will help identify and advocate opportunities for coordination.
Federal Fiscal Support and Oversight
The Office of Justice Programs’ (OJP) Office of the Comptroller (OC) will continue to
provide fiscal support and oversight of the grant programs included in this solicitation.
All grant and sub-grant recipients should refer to the OJP Financial Guide, available at
http://www.ojp.usdoj.gov/FinGuide/. DHS will be establishing its own Office of Grant
Operations (OGO) within ODP during FY05 and details on the transition of fiscal support
and oversight of the grant programs will be forthcoming.
Freedom of Information Act (FOIA)
ODP recognizes that much of the information submitted in the course of applying for
funding under this program, or provided in the course of its grant management activities,
may be considered law enforcement sensitive or otherwise important to national
security interests. This may include threat, risk, and needs assessment information,
and discussions of demographics, transportation, public works, and industrial and public
health infrastructures. While this information under federal control is subject to requests
made pursuant to the Freedom of Information Act, 5. U.S.C. §552, all determinations
concerning the release of information of this nature are made on a case-by-case basis
by the DHS FOIA Office, and may likely fall within one or more of the available
exemptions under the Act. Applicants are encouraged to consult their own state and
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local laws and regulations regarding the release of information, which should be
considered when reporting sensitive matters in the grant application, needs assessment
and strategic planning process. Applicants may also consult their ODP Preparedness
Officer regarding concerns or questions about the release of information under state
and local laws.
Services to Limited English Proficient (LEP) Persons
Recipients of ODP financial assistance are required to comply with several federal civil
rights laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws
prohibit discrimination on the basis of race, color, religion, national origin, and sex in the
delivery of services. National origin discrimination includes discrimination on the basis
of limited English proficiency. To ensure compliance with Title VI, recipients are
required to take reasonable steps to ensure that LEP persons have meaningful access
to their programs. Meaningful access may entail providing language assistance
services, including oral and written translation, where necessary. Grantees are
encouraged to consider the need for language services for LEP persons served or
encountered both in developing their proposals and budgets and in conducting their
programs and activities. Reasonable costs associated with providing meaningful
access for LEP individuals are considered allowable program costs. For additional
information, please see http://www.lep.gov.
C. Allowable Costs Guidance
HSGP allowable costs are divided into planning, organization, equipment, training, and
exercises categories. In addition, M&A costs are allowable and certain operational
costs under UASI and LETPP are also allowable. Specific focus for each program’s
allowable costs is included in the program’s respective section of this solicitation.
Examples of allowable costs and activities can be found in Appendix A: Authorized
Program Expenditures. The following provides general HSGP allowable costs
guidance:
Management and Administrative (M&A) Costs Guidance
All programs within HSGP have allowable M&A costs for both the state-level as well as
the local unit of government, urban area, or designated subgrantee.
• SHSP, UASI, LETPP, CCP, MMRS: No more than 3% of the total amount
allocated to the state for each program within HSGP may be retained at the state
level and used for M&A purposes. These state M&A funds must be included in
the total funds retained by the state. In addition, local jurisdiction subgrantees
may retain and use up to 2.5% of their subaward from the state for local M&A
purposes. States may pass through a portion of the state M&A allocation to local
subgrantees in order to supplement the 2.5% M&A allocation allowed on
subgrants. However, no more than 3% of the total subaward may be expended
by subgrantees on M&A costs. Note: M&A costs are not allowed for either the
state or designated recipients for UASI allocations to nonprofit organizations.
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• EMPG: The state EMA may use up to 3% of the state’s EMPG allocation for
M&A purposes. If the SAA is not the EMA, the SAA is not eligible to retain funds
for M&A. In addition, local jurisdiction subgrantees may retain and use up to
2.5% of their subaward from the state for local M&A purposes.
Operational Costs Guidance
States and urban areas may use FY05 UASI and LETPP funds to support select
operational activities. No more than 25% of the gross amount of the UASI and LETPP
awards may be used for operational expenses and overtime costs for the three (3)
operational activities noted below.
1. States and local jurisdictions may use FY05 UASI and LETPP funds to support
operational overtime costs associated with increased security measures at critical
infrastructure sites during periods of heightened alert.
UASI: States and local jurisdictions may use up to 25% of FY05 UASI funds to
support select operational overtime costs associated with increased security
measures at critical infrastructure sites in UASI jurisdictions.
• Of this amount, up to 10% of FY05 UASI funds may be used to support
operational overtime costs incurred at Code Yellow or Orange that are
associated with increased security measures at critical infrastructure sites in
UASI jurisdictions.
• The remaining 15% of FY05 UASI funds may be used to support operational
overtime costs incurred only at Code Orange that are associated with
increased security measures at critical infrastructure sites in UASI
jurisdictions.
This guidance also applies to operational overtime costs incurred at National
Special Security Events (NSSEs) in UASI jurisdictions, as designated by the
Secretary of Homeland Security.
States with UASI jurisdictions can use UASI funds retained at the state level to
reimburse eligible operational overtime expenses incurred by the state (up to a
maximum of 25% of the state share of the UASI grant). However, those activities
must directly support increased security measures enacted in the UASI
jurisdictions. States should be judicious in the use of federal grant funds when
protecting critical infrastructure and should leverage public/private partnerships.
States should also consider the use of private assets in the protection of private
facilities.
LETPP: States and local jurisdictions may use up to 25% of FY05 LETPP funds
to support operational overtime costs incurred at Code Orange alert that are
associated with increased security measures at critical infrastructure sites.
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In support of these efforts for enhanced capabilities of detecting, deterring,
disrupting, and preventing acts of terrorism, costs eligible for reimbursement under
this policy are identical to those deemed allowable under previous Code Orange
alerts. Therefore, subject to the conditions stated above, states and local
governments may use FY05 UASI and LETPP funds to support select operational
expenses associated with increased security measures at critical infrastructure sites
in the following authorized categories:
o Backfill and overtime expenses for staffing state or local emergency
operations centers (EOCs)
o Hiring of contracted security for critical infrastructure sites
o Public safety overtime
o National Guard deployments to protect critical infrastructure sites,
including all resources that are part of the standard National Guard
deployment package
o Increased border security activities in coordination with U.S. Customs and
Border Protection (CBP).
Consumable costs, such as fuel expenses, are not allowed except as part of
the standard National Guard deployment package.
2. Overtime costs are allowable for personnel to participate in information,
investigative, and intelligence sharing activities specifically related to homeland
security. This includes activities such as anti-terrorism task forces, Joint Terrorism
Task Forces (JTTF), Area Maritime Security Committees (as required by the
Maritime Transportation Security Act of 2002), and Terrorism Early Warning (TEW)
groups.
3. Hiring of contractors/consultants is allowable for participation in
information/intelligence sharing groups or intelligence fusion centers.
Funding may not be used to supplant ongoing, routine public safety activities of state
and local emergency responders, and may not be used to hire staff for operational
activities or backfill.
Critical Infrastructure Protection. States and local governments should generally
consider critical infrastructure to include any system or asset that if attacked would
result in catastrophic loss of life and/or catastrophic economic loss. In addition,
protection for the following specific types of facilities should also be considered:
• Protective security enhancements for large public gatherings/areas, such as New
Year’s Eve celebrations, sporting events and outdoor concerts
• Public water systems serving large population centers
• Primary data storage and processing facilities, major stock exchanges and major
banking centers
• Chemical facilities located in close proximity to large population centers
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• Major power generation facilities that exceed 2000MW and if successfully
attacked would disrupt the regional electric grid
• Hydroelectric facilities and dams that produce power in excess of 2000MW or
could result in catastrophic loss of life if breached
• Nuclear Power plants
• Electric substations 500KV or larger, and substations 345KV or larger that are
part of a critical system supporting populations in excess of one million people
• Rail and highway bridges over major waterways that, if destroyed, would cause
catastrophic economic loss
• Major highway tunnels under waterways that if attacked would cause
catastrophic loss of life or catastrophic economic impact
• Major natural gas transmission pipelines in excess of 3000 bcf throughput
• Natural gas and liquid natural gas (LNG) storage facilities
• Major petroleum handling facilities such as pipelines, ports, refineries and
terminals
• Major mass transit subway systems and the supporting ventilation systems
• Telecommunications, internet, and cyber facilities
Border Security. Northern and southern border jurisdictions may use FY05 LETPP
funding for operational overtime costs (including travel and per diem) associated with
providing enhanced law enforcement operations in support of federal agencies for
increased border security at Code Orange. UASI jurisdictions at the border may also
use such funds at Code Yellow.
State, tribal, and local law enforcement personnel may provide increased enforcement
presence by generally increasing their patrol presence at the border; by providing
additional traffic control support at the border and at border patrol traffic checkpoints;
and by enhancing their participation in the Integrated Border Enforcement Teams.
Reimbursement for state, tribal, and local law enforcement at northern and southern
border jurisdictions is contingent upon approved operational plans developed jointly
between state, tribal and local law enforcement officials and DHS CBP/Border Patrol
sectors. No funds may be obligated or drawn down in support of these activities without
CBP approval of operational plans and without submission to and approval by ODP of
budget detail worksheets.
Equipment Costs Guidance
Allowable equipment categories for FY05 HSGP are listed on the web-based Authorized
Equipment List (AEL) on the Responder Knowledge Base (RKB), which is sponsored by
ODP and the Oklahoma City National Memorial Institute for the Prevention of Terrorism
(MIPT) at http://www.rkb.mipt.org. The website is designed to provide emergency
responders, purchasers, and planners with a trusted, integrated, online source of
information on products, standards, certifications, grants, and other equipment related
information. By integrating this information, which includes the InterAgency Board’s
(IAB) Standardized Equipment List (SEL) and the AEL from ODP, into one location,
responders, vendors, standards organizations, training facilities, and grant making
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organizations have a trusted first source to answering questions such as:
• What equipment is on the market?
• Has it been certified?
• If so, to what standard?
• What training is needed to use it effectively?
• Are there experts available for consultation and questions?
The FY05 HSGP AEL is housed on the RKB and relies heavily on the SEL developed
by the IAB for Equipment Standardization and Interoperability. The 2005 AEL has been
modified to facilitate cross-referencing of the SEL in an effort to eliminate redundancy.
Both the AEL and SEL are available on the RKB, which also offers an interactive
version that provides links to corresponding SEL items and commercial products.
In some cases, items on the SEL are not allowable under FY05 HSGP or will not be
eligible for purchase unless specific conditions are met. In addition, some items eligible
under this grant program are beyond the scope of the SEL and thus will only appear in
the AEL.
The allowable categories of equipment for purchase using FY05 HSGP funds are listed
in Appendix A: Authorized Program Expenditures. If state agencies and/or local
governments have questions concerning the eligibility of equipment not specifically
addressed in the AEL, they should contact their ODP Preparedness Officer for
clarification.
Training Costs Guidance
States, territories, and urban areas may use HSGP funds to enhance the capabilities of
state and local emergency preparedness and response personnel through development
of a state homeland security training program. Allowable training-related costs under
ODP grant programs include: 1) establishment of CBRNE terrorism and cyber security
training programs within existing training academies, universities or junior colleges; and
2) overtime and backfill costs associated with attendance at ODP-sponsored and ODPapproved
CBRNE and cyber security training courses.
The target audience for training courses include emergency preparedness, prevention
and response personnel, emergency managers and public/elected officials within the
following disciplines: fire service, law enforcement, emergency management,
emergency medical services, hazardous materials, public works, public health, health
care, public safety communications, governmental administrative, cyber security, and
private security providers. The homeland security training program should also include
training for citizens in awareness, preparedness, prevention, response skills, and
volunteer activities and be coordinated through state and local Citizen Corps Councils.
States are encouraged to adopt current ODP awareness and performance level
courses. In order to deliver these courses, state and local instructors must be certified
to deliver the course by successfully completing ODP train-the-trainer course delivery.
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Detailed descriptions of ODP courses are included in the ODP CBRNE Training Course
Catalog at http://www.ojp.usdoj.gov/odp/docs/coursecatalog.pdf. Programs of
instruction for these courses will be made available upon request to assist efforts to
institutionalize these training programs at the state and local levels.
ODP will conduct periodic reviews of all state and urban area training funded by ODP.
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.
ODP provides the following definitions of key training terms to facilitate a common
understanding of the FY05 HSGP guidance:
• ODP Courses: those courses developed for and or delivered by institutions and
organizations funded by ODP.
• Federal Courses Related to CBRNE Terrorism: those courses developed for
and or delivered by institutions funded by federal entities other than ODP that fall
within the ODP mission scope to prepare state and local personnel to prevent,
respond to, and recover from acts of terrorism involving CBRNE weapons.
• Non-Federal Courses: those courses developed for and or delivered by
institutions or organizations other than federal entities or ODP.
Developing and Institutionalizing Non-ODP Courses. States and urban areas
intending to either 1) develop a new course or 2) institutionalize an existing non-ODP
course must follow the updated FY05 ODP course approval process. Please see
Appendix E: Overview of Approval Process for Non-ODP Developed Courses for more
information. This revised course approval process will facilitate the sharing of best
practices among states and urban areas and will help reduce duplicative courses
regionally and nationally.
States planning to develop a new course must notify ODP of their intent to do so, but do
not need to forward any pre-existing course materials for advance review. States and
urban areas will be required to submit the following information to ODP via the Training
Section of the ODP website (http://www.ojp.usdoj.gov/odp/training.htm): the proposed
title, description of the course to be developed, the sponsoring jurisdiction, and the
intended audience. ODP funds can be used to support costs associated with the
course development process, provided that the state or urban area abides by ODP
procedures. However, if the course is disapproved as part of the course review
process, no additional ODP funds can be dedicated to delivering the course until
modifications are made and the course is approved.
In accordance with the FY05 ODP course approval process, states or urban areas
developing new or institutionalizing existing courses shall establish a mechanism to
ensure that any non-ODP courses are in compliance with the following:
• ODP Emergency Responder Guidelines
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• ODP Homeland Security Guidelines for Prevention and Deterrence
• ODP Strategy for Blended Learning
• 29 CFR 1910.120, Hazardous Waste Operations and Emergency Response
• 29 CFR 1910.134, Respiratory Protection
• 40 CFR 311 Worker Protection
• National Fire Protection Association (NFPA) 471, Recommended Practice for
Responding to Hazardous Materials Incidents
• NFPA 472, Professional Competence of Responders to Hazardous Materials
Incidents
• NFPA 473, Standard for Competencies for Emergency Medical Services (EMS)
Personnel Responding to Hazardous Materials Incidents
• NFPA 1600, Standard on Disaster/Emergency Management and Business
Continuity Programs 2004, specifically Section 5.1.2
In addition, states and urban areas shall follow accepted principles of instructional
systems design, employing the Analysis, Design, Development, Implementation, and
Evaluation (ADDIE) model or equivalent methodologies. (The ADDIE process is
explained in greater depth in the ODP Blended Learning Strategy available on the ODP
website at: http://www.ojp.usdoj.gov/odp/blendedlearning.) States and urban areas
shall apply these methodologies to ensure that a complete curriculum exists for training
funded by ODP grants. A complete curriculum consists of:
• Level of Training. The state or urban area will identify the level(s) of training of
the course(s) and materials submitted. Each submission must be identified as
Awareness, Performance–Defense (Occupational Safety and Health
Administration (OSHA) Operations), Performance–Offensive (OSHA Technician),
or Planning/Management (OSHA Incident Command) levels. More detailed
descriptions of the levels can be found at
http://www.ojp.usdoj.gov/odp/training.htm or http://www.osha.gov.
• Program of Instruction/Syllabus. The program of instruction or syllabus is an
outline or matrix of the course content. It addresses the scope of the training,
course learning objectives, duration of the training (broken-down by module,
session, or lesson), resource requirements, instructor to student ratio and an
evaluation strategy. These items are not all-inclusive, but are the minimum
categories that should be addressed.
• Training Support Package. The training support package includes all of the
materials associated with the delivery of a training course. The following items
should be included:
o Instructor Guide/Instructor Outline/Instructor Lesson Plans: The
published instructor material that contains course text and special
instructor notes that provides the information to deliver the material
o Participant Manual/Guide/Workbook: The published student material
that contains the supporting information in booklet or handout form that
the participant has available for reference
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o Audio/Visual Support Materials: Any audio/visual components that are
part of any learning module, session, lesson, or that support the overall
training being delivered
o Special Support Materials: Any descriptions of practical exercises, tabletop
exercises, hands-on exercises, or other material that supports learning
objectives.
• Module/Session/Lesson Content. Training courses should be designed based
on a building block approach. Each sub-component in the course should be
titled as a module, session, or lesson. Regardless of the title, each module,
session, or lesson, should have a Lesson Administration Page that outlines the
following:
o Scope Statement: A brief description of the content of the module,
session, or lesson
o Terminal Learning Objectives: An action verb statement that outlines
what the participant is expected to learn or be capable of performing at the
conclusion of the module, session, or lesson. There should be only one
terminal learning objective per module, session, or lesson
o Enabling Learning Objectives: Enabling learning objectives are the
incremental learning objectives that support the terminal learning
objective. There should be at least one enabling learning objective per
module, session, or lesson. Each enabling learning objective must be a
measurable performance statement that enables the participant to
demonstrate achievement of the terminal learning objective
o Resource List: A listing of the resources necessary for successfully
accomplishing the module, session, or lesson
o Instructor to Participant Ratio: The instructor to participant requirement
for successful presentation of the material (e.g., 1:25)
o Reference List: A listing of all reference materials used to develop the
module, session, or lesson (This information may also be included as a
bibliography).
o Practical Exercise Statement: This describes any exercises associated
with the module, session, or lesson
o Evaluation Strategy: This defines the strategy used to evaluate the
module, session, or lesson (e.g., written and/or performance test).
Conditional Approvals of Non-ODP Courses. In contrast to FY04, no conditional
approvals in advance of an independent third-party subject matter expert (SME) review
will be granted in FY05 for use of ODP funds to develop or institutionalize non-ODP
courses. ODP will require states and urban areas to adhere to a streamlined course
approval process. Please see Appendix E: Overview of Approval Process for Non-ODP
Developed Courses for more information. Courses will either be approved or
disapproved following this review process.
Attending Other Federal Courses Related to CBRNE Terrorism. States are no
longer required to submit requests for personnel to attend certain Federal courses that
fall within the ODP mission scope of preparing state and local personnel to prevent,
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respond to, and recover from acts of terrorism involving CBRNE weapons. In lieu of
requesting approval, states and urban areas will be required to submit information on all
federal training that they are supporting with ODP funds via the Training Section of the
ODP website (http://www.ojp.usdoj.gov/odp/training.htm). This information will consist
of course title, level of the training, the training provider, the date of the course, the
number of individuals to be trained, and the sponsoring jurisdiction.
Several broad categories of courses will automatically be included in the list of eligible
federal courses:
• All NIMS training approved by the NIMS Integration Center (NIC) is eligible under
HSGP
• All Incident Command System (ICS) training offered through the National Fire
Academy (NFA) and the Emergency Management Institute (EMI) is eligible under
HSGP. This guidance applies to resident training, train-the-trainer, and field
delivery of courses.
A list of federal courses that fall within the ODP mission scope is included in Appendix
F: Federal Training Course List.
These courses must build additional capabilities that 1) meet a specific need identified
through the homeland security assessment process, and 2) comport with the State or
Urban Area Homeland Security Strategy.
Federal funds must be used to supplement—not supplant—existing funds that have
been appropriated for the same purpose. Thus, if the state or urban area has already
budgeted for personnel to attend courses, ODP funds may only be used to send
additional individuals above and beyond those previously budgeted.
Attending Non-ODP Courses Related to CBRNE Terrorism. Effective immediately,
states and urban areas are no longer required to request approval for personnel to
attend non-ODP courses that fall within the ODP mission scope of preparing state and
local personnel to prevent, respond to, and recover from acts of terrorism involving
CBRNE weapons. States and urban areas will instead be required to submit
information on all non-ODP training which they are supporting with ODP funds via the
Training Section of the ODP website (http://www.ojp.usdoj.gov/odp/training.htm). This
information will consist of course title, level of the training, the training provider, the date
of the course, the number of individuals to be trained, and the sponsoring jurisdiction.
States or urban areas intending to use ODP funds to support attendance at non-ODP
courses must ensure that these courses:
• Fall within the ODP mission scope to prepare state and local personnel to
prevent, respond to, and recover from acts of terrorism involving CBRNE
weapons
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• Build additional capabilities that 1) meet a specific need identified through the
homeland security assessment process, and 2) comport with the State or Urban
Area Homeland Security Strategy;
• Address the specific tasks articulated in the ODP Emergency Responder
Guidelines and the ODP Homeland Security Guidelines for Prevention and
Deterrence
• Address the specific tasks and capabilities articulated in the Universal Task List
(UTL) and Target Capabilities List, as they become available (see HSPD-8 on
page 49 for additional information)
• Comport with all applicable federal, state, and local certification and regulatory
requirements.
Federal funds must be used to supplement—not supplant—existing funds that have
been appropriated for the same purpose. Thus, if the state or urban area has already
budgeted for personnel to attend courses, ODP funds may only be used to send
additional individuals above and beyond those previously budgeted.
Eligibility of Hazardous Materials Courses. Hazardous materials courses, including
basic, operations, and technician level courses, are eligible under HSGP only if the
course fully addresses the hazardous materials sections included in the ODP
Emergency Responder Guidelines and the ODP Homeland Security Guidelines for
Prevention and Deterrence. If the hazardous materials course does not fully address
the hazardous materials sections included in the ODP Emergency Responder
Guidelines and the ODP Homeland Security Guidelines for Prevention and Deterrence,
then the course is not considered allowable under HSGP.
The training must not supplant existing resources, but rather must build additional
capabilities above and beyond those that currently exist. Any additional capabilities
pursued through these training opportunities must meet a specific need identified
through the homeland security assessment process and must comport with the State or
Urban Area Homeland Security Strategy.
Eligibility of Search and Rescue, Special Weapons and Tactics (SWAT), and
Medical Trauma Courses. On September 1, 2004, ODP issued Information Bulletin
#132 on the Interagency Security Plan, available at
http://www.ojp.usdoj.gov/odp/docs/bulletins.htm. In this bulletin, ODP expanded the
allowable use of grant funds to support additional training in the areas of search and
rescue, SWAT, and medical trauma provided that certain requirements were met. The
following sections provide further detail on these initiatives.
• Eligibility of Search and Rescue Courses: States and urban areas shall conduct
search and rescue training in compliance with:
o NFPA 1670, Standard on Operations and Training for Technical Rescue
and Search Incidents
o NFPA 1006, Standard for Rescue Technician Professional Qualifications
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Only Urban Search and Rescue (USAR) courses approved by FEMA and
delivered by FEMA-certified providers are allowable under HSGP. A list of these
courses and providers will be maintained by ODP in coordination with FEMA.
The training must not supplant existing resources, but rather must build
additional capabilities above and beyond those that currently exist. Any
additional capabilities pursued through these training opportunities must meet a
specific need identified through the homeland security assessment process and
must comport with the State or Urban Area Homeland Security Strategy.
If the basic, foundational USAR course fully addresses the fire service and or
hazardous materials sections included in the ODP Emergency Responder
Guidelines and the ODP Homeland Security Guidelines for Prevention and
Deterrence, no additional CBRNE-specific training is necessary for eligibility
purposes. However, if the foundational USAR course does not fully address
these sections included in the ODP Emergency Responder Guidelines and the
ODP Homeland Security Guidelines for Prevention and Deterrence, then the
student must also complete follow-on CBRNE awareness training within a
reasonable timeframe in order for the USAR course to be considered an
allowable use of ODP funds.
These USAR courses are intended to build a critical capacity at the state and
local levels. The execution of this training in the stated capacity-building
context is unrelated to designation of national USAR teams. Therefore,
states and UASI jurisdictions may not request such designation based on
training.
• Eligibility of SWAT Courses: SWAT courses, including basic, foundational
courses, are eligible under HSGP, provided that the training meets the following
requirements:
o The training must not supplant existing resources, but rather must build
additional capabilities above and beyond those that currently exist. Any
additional capabilities pursued through these training opportunities must
meet a specific need identified through the homeland security assessment
process and must comport with the State or Urban Area Homeland
Security Strategy.
o States and urban areas shall conduct training in compliance with state and
local regulations and policies governing the certification of SWAT
personnel.
o Trainees shall be sworn officers and shall have completed a basic SWAT
school accredited by the appropriate state-level criminal justice
organization.
o Training shall be conducted by instructors certified by a state or national
level criminal justice organization
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o The state or urban area shall develop and implement a safety plan
excluding service ammunition and weapons from the training site and shall
not employ live chemical agents (to include OC) or impact weapons during
the training
o If a foundational SWAT course fully addresses the law enforcement
sections included in the ODP Emergency Responder Guidelines and the
ODP Homeland Security Guidelines for Prevention and Deterrence, no
additional CBRNE-specific training is necessary for eligibility purposes.
However, if the foundational SWAT course does not fully address the law
enforcement sections included in the ODP Emergency Responder
Guidelines and the ODP Homeland Security Guidelines for Prevention and
Deterrence, then the student must also complete follow-on CBRNE
awareness training within a reasonable timeframe in order for the
foundational SWAT course to be considered eligible for support under
HSGP.
• Eligibility of Medical Trauma Courses: Medical trauma courses—including basic,
foundational courses—are eligible for support under HSGP, provided that the
training meets the following requirements:
o The training must not supplant existing resources, but rather must build
additional capabilities above and beyond those that currently exist. Any
additional capabilities pursued through these training opportunities must
meet a specific need identified through the homeland security assessment
process and must comport with the State or Urban Area Homeland
Security Strategy.
o States and urban areas shall conduct training in compliance with NFPA
473, Standard for Competencies for EMS Personnel Responding to
Hazardous Materials Incidents.
o States and urban areas shall conduct training in compliance with state and
local regulations and policies governing the certification of EMS providers.
o States or urban areas shall coordinate their efforts with the closest MMRS
jurisdiction.
o Trainees shall have completed a basic Emergency Medical Technician
(EMT) certification per the state or local accreditation requirements. This
type of training may not be funded with ODP monies.
o If a foundational medical trauma course fully addresses the emergency
medical services sections included in the ODP Emergency Responder
Guidelines and the ODP Homeland Security Guidelines for Prevention and
Deterrence, no additional CBRNE-specific training is necessary for
eligibility purposes. However, if the foundational medical trauma course
does not fully address the emergency medical services sections included
in the ODP Emergency Responder Guidelines and the ODP Homeland
Security Guidelines for Prevention and Deterrence, then the student must
also complete follow-on CBRNE awareness training within a reasonable
timeframe in order for the foundational medical trauma course to be
considered an allowable use of ODP funds.
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Evaluation of ODP Training Courses. The goal of evaluating ODP training courses is
to determine how much a participant’s knowledge, skills, and abilities change after
completion of a course relative to knowledge, skills, and abilities prior to the class. ODP
utilizes a self-assessment methodology and collects information via a standardized
evaluation form. The form is designed to gather data about the course and participant,
including data such as the participant’s professional discipline and years of service.
Additionally, the evaluation measures the participant’s knowledge relative to a set of
standardized learning objectives both before and after taking the course.
If a state or local jurisdiction uses ODP funds to provide ODP-approved courses,
the state or local jurisdiction must use the standard evaluation form to collect
data about the course and its participants. An ODP-approved course is defined as
one developed by the state or local jurisdiction and approved by ODP for delivery. If the
state or local jurisdiction receives training through its ODP course allocation, the training
partner delivering the course is responsible for data collection and entry. Similarly, if the
state or local jurisdiction enters into a direct contract with one of the ODP training
partners, training partner is still responsible for the data collection and entry function.
However, if the ODP-sponsored course is delivered by a state or local organization, the
course provider is responsible for collecting data on the course and its participants. As
part of the course approval process, the course developer establishes a set of course
objectives directly tied to the course content. The objectives are incorporated into the
standardized course evaluation form. Course participants are required to complete all
fields and the course instructor is responsible for ensuring that all forms are complete.
Course providers are granted access to and enter data into the ODP Secure Portal.
Costs related to developing and administering the self-assessment and collecting
information via a standardized evaluation form is allowable.
Exercise Costs Guidance
Exercises conducted with ODP support (grant funds or direct support) must be
managed and executed in accordance with the Homeland Security Exercise and
Evaluation Program (HSEEP). HSEEP Volumes I-III contain guidance and
recommendations for designing, developing, conducting, and evaluating exercises.
HSEEP Volumes I-III can be found at ODP’s website at
http://www.ojp.usdoj.gov/odp/exercises.htm. Volume IV, which contains sample
exercise materials and documents, can be found on ODP’s Secure Portal at
https://odp.esportals.com or http://www.llis.gov.
Exercise Planning Workshop. States must conduct an annual Exercise Planning
Workshop (EPW) to examine the progress and effectiveness of their current exercise
strategy and program. A Multiyear Exercise Plan and schedule must be produced from
the EPW and submitted through ODP’s Secure Portal Exercise Scheduler located at
https://odp.esportals.com. Refer to HSEEP Volume III, Chapter 2 for further guidance
on EPWs and the Multiyear Exercise Plan and schedule.
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Exercise Scenarios. The scenarios used in SHSP, UASI, and LETPP-funded
exercises must be terrorism-related and based on the State or Urban Area Homeland
Security Strategy and plans. Acceptable scenarios for exercises include: chemical,
biological, radiological, nuclear, explosive, cyber and agricultural. Grantees that need
further clarification on scenarios should consult with their ODP Exercise Manager for
assistance and/or approval. Fifteen all-hazards National Planning Scenarios, including
12 terrorism scenarios, have been developed, and will be made available for use in
national, federal, state, and local homeland security preparedness activities (See
HSPD-8: National Preparedness on page 49). Citizen participation in exercises is
encouraged to include backfilling non-professional tasks for first responders deployed
on exercise, administrative and logistical assistance with exercise implementation, and
providing simulated victims, press, and members of the public. Citizen participation in
exercises should be coordinated with local Citizen Corps Council(s).
Grantees who wish to expend funds on models, simulations, or games (MS&G) must
consult with “Review of Models, Simulations, and Games for Domestic Preparedness
Training and Exercising, Volume III,” which provides an overview and analysis of
existing models, simulations and games. This report is available at
http://www.ojp.usdoj.gov/odp/exercises.htm.
Grantees must justify the purchase and use of a given MS&G product/service, by a)
documenting the training and/or exercise objective(s), b) documenting how the selected
product/service will support those objectives, and c) justification for the chosen product
category (potentially referring to Volume III benefits/limitations). The form for this
justification can be found at http://www.ojp.usdoj.gov/odp/exercises.htm.
If a state or urban area will be hosting an upcoming special event (e.g., Superbowl, G-8
Summit, etc.), or they anticipate that they will apply to be a venue for a future Top
Officials (TOPOFF) exercise, they should plan to use SHSP or UASI funding to fund
training and exercise activities in preparation for that event.
All tabletop exercises (TTXs), drills, functional exercises (FEs), and full-scale exercises
(FSEs) will be evaluated and performance based. An After Action Report (AAR) and
Improvement Plan will be prepared and submitted to DHS/ODP following every TTX,
drill, FE, and FSE. AAR/IPs must be provided to ODP within 60 days following
completion of each exercise (see HSEEP Volume II, Appendix A). Currently, these
AAR/IPs can be submitted through the ODP Secure Portal. However ODP is working
with other agencies to develop a national reporting system. A state or local
jurisdiction that conducts an exercise using SHSP, UASI, and LETPP funds must
follow the HSEEP doctrine and protocol contained in Volume II.
States are encouraged to develop a self-sustaining State Homeland Security Exercise
and Evaluation Program which is modeled after the national HSEEP. This may include,
for example: hiring dedicated exercise program staff, awareness seminars on HSEEP,
attending exercise training courses, and maintaining a system to track the completion
and submission of AARs and Improvement Plans from exercises (including costs
associated with meeting with local units of government to define procedures).
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Construction and Renovation Guidance
Use of HSGP funds for construction is generally prohibited except as outlined below.
Such construction and renovation shall be strictly limited and allowable only when it is a
necessary component of 1) a security system at critical infrastructure facilities or 2) an
emergency operations center (EOC).
• The following actions and improvements do not constitute construction or
renovation, and are allowable under specific HSGP program guidance:
o Improved lighting
o Fencing
o Communications antennas (not over 200 feet)
o Closed-circuit television (CCTV) systems
o Motion detection systems
o Barriers, doors, gates and related security enhancements.
• Project construction and renovation not exceeding $1,000,000 is allowable, as
deemed necessary by the Executive Director, SLGCP, under SHSP, UASI, and
LETPP. These program funds may be used for construction and renovation
projects only when those projects specifically address enhanced security at
critical infrastructure facilities. The following actions and improvements are
considered to constitute construction or renovation, and must follow the approval
process outlined below.
o Construction and/or renovation to guard facilities
o Communications antennas (over 200 feet)
o Any other construction or renovation efforts that change or expand the
footprint of a facility or structure, including security enhancements to
improve perimeter security.
• While the primary purpose of the EMPG program is not to support construction
activities, DHS recognizes that an updated, functioning emergency operations
center (EOC) is a core component of an effective emergency management
system. Therefore, limited construction and renovation activities for EOCs are
allowable under EMPG, consistent with past EMPG practices. The State must
match 50% of any money used for construction and must comply with the Davis-
Bacon Act.
• CCP and MMRS funds may not be used for any type of construction or
renovation.
• Approval process for SHSP, UASI, and LETPP. In order for grantees to
drawdown funds for construction and renovation costs under SHSP, UASI, and
LETPP:
1. Grantee must provide to ODP:
o Description of the asset or facility, asset location, whether the
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infrastructure is publicly or privately owned, and the construction or
renovation project
o Certification that a facility vulnerability assessment has been
conducted for the facility
o How the construction or renovation project will address the
identified vulnerability(ies) from the assessment
o Consequences of not implementing the construction or renovation
project
2. Written approval must be provided by ODP prior to the use of any
HSGP funds for construction or renovation.
• Approval process for EMPG. In order for grantees to drawdown funds for
limited EOC construction and renovation projects under EMPG:
1. Grantee must provide to ODP:
o Description of the EOC facility, location, and the scope of the
construction or renovation project
o Certification that an assessment has been conducted to identify
EOC needs regarding such issues as the facility, communications
capability, computer systems and network capabilities, survivability,
and sustainability
o How the construction or renovation project will address the needs
identified from the assessment
o Consequences of not implementing the construction or renovation
project
2. Written approval must be provided by ODP prior to the use of any
HSGP funds for construction or renovation.
• National Environmental Policy Act (NEPA). NEPA requires ODP to analyze
the possible environmental impacts of each construction project. The purpose of
a NEPA review is to weigh the impact of major federal actions or actions
undertaken using federal funds on adjacent communities, water supplies,
historical buildings, endangered species, or culturally sensitive areas prior to
construction. Grantees wishing to use ODP funding for construction projects
must complete and submit a NEPA Compliance Checklist to their respective
ODP Preparedness Officer for review. Additionally, grantees may be required to
provide additional detailed information on the activities to be conducted,
locations, sites, possible construction activities, possible alternatives, and any
environmental concerns that may exist. Results of the NEPA Compliance
Review could result in a project not being approved for ODP funding, the need to
perform an Environmental Assessment (EA) or draft an Environmental Impact
Statement (EIS). Note: Reasonable costs related to the production of an
environmental assessment or environmental impact statement are
allowable.
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Overtime, Backfill, and Hiring Guidance
The following are definitions for the terms “hiring”, “overtime”, and “backfill” as used in
this solicitation and regarding HSGP allowable costs for planning, organizational,
training, exercise, and management and administrative activities. Grantees should be
aware that all non-supplanting rules apply to this section.
Overtime. Expenses incurred by those personnel who, as a result of ODP-approved
activities, are performing over and above their normal, scheduled work hours or work
week.
Backfill (also called Overtime as Backfill). Expenses incurred by those personnel who
are working over and above their normal, scheduled work hours, or work week, in order
to perform the duties of other personnel who are temporarily assigned to ODP-approved
activities outside their core responsibilities. The OJP OC does not distinguish between
Overtime and Overtime as Backfill – they are both viewed as overtime regardless of
whether the individual has performed more hours in their normally assigned place of
duty or if the overtime accrued as a result of being re-assigned to a different place of
duty. Overtime and backfill do not result in an increase of full-time employees (FTEs).
Hiring. Hiring new personnel to undertake allowable ODP program activities. This may
also include expenses incurred where new personnel are hired to fulfill functions and
duties as a result of other existing personnel being reassigned full-time to perform ODPapproved
activities. In either case, this will result in an increase of FTEs, but cannot
result in an increase in the number of FTE positions performing normal operational
duties.
Grantees are permitted to hire or laterally move existing public safety officers to new
positions that support HSGP program activities that are allowable under FY05 HSGP
program guidance. In the case of lateral transfers, grant funds may be used to support
only those positions that are allowable under FY05 HSGP program guidance; all nonsupplanting
rules apply. Grant funds may not be used to support the hiring of sworn
public safety officers for the purposes of fulfilling traditional public safety duties or to
supplant traditional public safety positions and responsibilities.
Positions created and/or funded through ODP grants may continue to be supported with
future year funding provided that the position is dedicated to the same or similar
purposes allowable under applicable ODP program guidance.
Information Technology Guidance
Extensible Markup Language (XML) Requirements. XML is a computer
programming language designed to transmit both data and the meaning of the data.
The XML specification defines a standard way to add markup language to documents,
identifying the embedded structures in a consistent way. By applying a consistent
identification structure, data can be shared between different systems, up and down the
levels of agencies, across the nation, and around the world, with the ease of using the
Internet. XML lays the technological foundation that supports interoperability and the
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exchange of information to support DHS efforts in the prevention, preparedness, and
response to threats or acts of terrorism.
To support homeland security, public safety, and justice information sharing, ODP
requires all grantees to use the Global Justice Data Model specifications and guidelines
regarding the use of XML for all HSGP awards. The grantee shall make available
without restriction all schemas (extensions, constraint, proxy) generated as a result of
this grant, as specified in the guidelines. The Global Justice XML Data Model (GJXDM)
is intended to be a data reference model for the exchange of information within the
homeland security, justice, and public safety communities. GJXDM is a product of the
Global Justice Information Sharing Initiative's (Global) Infrastructure and Standards
Working Group (GISWG). It was developed by the GISWG's XML Structure Task Force
(XSTF). The Global Justice Data Model specifications and guidelines include the use of
XML to support the exchange of information within the homeland security, public safety,
and justice communities.
Most major software vendors fully support the general XML standard, and major
database vendors and their database applications provide software development "tools"
to assist homeland security technical staff to develop and use XML more efficiently and
productively within agency applications. The general XML standard is designed to be
independent of vendor, operating system, source application, destination application,
storage medium (database), and/or transport protocol.
Additionally, the use of XML allows homeland security personnel to share vital
information which no longer entails purchasing new systems or compromising one's
business practices. XML allows systems already in use and those being developed to
communicate with each other and paves the way for future expanded collaboration
between agencies. Further information about the required use of XML and Global
Justice Data Model specifications and guidelines is available at
http://www.it.ojp.gov/gjxdm.
Geospatial Guidance. Geospatial technologies capture, store, analyze, transmit,
and/or display location-based information (i.e., information that can be linked to a
latitude and longitude). In geospatial systems, this location information is often paired
with detailed information about the location such as the following: purpose/use, status,
capacity, engineering schematics, operational characteristics, environmental and
situational awareness.
State and local emergency organizations will increasingly incorporate geospatial
technologies and data to prepare, prevent, respond and recover from terrorist activity.
In the preparedness phase, emergency planners and responders need current,
accurate, and easily accessible information to ensure the readiness of teams to
respond. It is also an important component in strategy development, the mapping and
analysis of critical infrastructure vulnerabilities, and public health surveillance
capabilities. Geospatial information can provide a means to prevent terrorist activity by
detecting and analyzing patterns of threats and possible attacks, and sharing that
intelligence. During response and recovery, geospatial information is used to provide a
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dynamic common operating picture, coordinate and track emergency assets, enhance
911 capabilities, understand event impacts, accurately estimate damage, locate safety
zones for quarantine or detention, and facilitate recovery.
Please see Appendix I: Geospatial Guidance for additional information. Authorized
equipment expenditures (hardware, software, and data) for geospatial homeland
security purposes are primarily described in Information Technology section of the AEL.
D. Unallowable Costs Guidance
Several costs are strictly prohibited under FY05 HSGP. Grantees should contact their
ODP Preparedness Officer for guidance and clarification.
Construction and Renovation
Construction and renovation is generally prohibited, except as noted above under
Construction and Renovation Guidance on page 39. Such construction and renovation
shall be strictly limited and allowable when it is a necessary component of 1) a security
system at critical infrastructure facilities or 2) an EOC.
Hiring of Public Safety Personnel
Except for EMPG, HSGP is not intended as a hiring program and funds may not be
used to support the hiring of sworn public safety officers for the purposes of fulfilling
traditional public safety duties or to supplant traditional public safety positions and
responsibilities. See Appendix A: Authorized Program Expenditures for allowable hiring
expenditures
E. ODP Resources and Support
To assist grantees with program activities, ODP has several support mechanisms
available to grantees.
Role of ODP’s Preparedness Officers
Throughout the project period, ODP Preparedness Officers will work closely with state
and local officials in assigned states and territories to assist agencies in enhancing their
homeland security preparedness through planning, training, equipment acquisition,
exercises, and technical assistance. Preparedness Officers will be in continuous
contact with the SAAs and local officials, and should be considered as the primary point
of contact within ODP for addressing questions, concerns, general issues, and
accessing specialized expertise.
Centralized Scheduling and Information Desk (CSID) Help Line
CSID is a non-emergency resource for use by state and local emergency responders
across the nation. CSID provides general information on all ODP programs and
information on the characteristics and control of CBRNE materials, defensive
equipment, mitigation techniques, and available federal assets and resources. CSID
also provides information on the following services: CBRNE training, centralized
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scheduling capability, CBRNE exercises, State Homeland Security Assessment and
Strategy Grants, and technical assistance (TA).
Homeland Security Preparedness Technical Assistance Program (HSPTAP)
ODP’s technical assistance program provides direct assistance to state and local
jurisdictions to improve their ability to prevent, respond to, and recover from threats or
acts of terrorism involving CBRNE weapons. A primary objective of the program is to
enhance the capacity of state and local jurisdictions, as well as special needs
jurisdictions such as port authorities and mass transit agencies to develop, plan, and
implement effective strategies for CBRNE preparedness. TA may be provided to state
and local governments, law enforcement, fire, hazardous materials, and other
community agencies that have CBRNE responsibilities, including Citizen Corps
Councils. All TA services are available to eligible recipients at no charge. ODP will
cover the cost of providing the technical expertise, travel, and related expenses.
Examples of TA programs are included in Table 7 below.
Table 7. Examples of ODP Technical Assistance Programs
TA Program Purpose
Enhancing Grants
Management Capacities
This TA service seeks to further improve the ability of SAAs to manage
and account for grant funds awarded by ODP. The HSPTAP provider
is the National Criminal Justice Association (NCJA)
Homeland Security
Assessment and
Strategy Technical
Assistance
This program helps States and local jurisdictions with the assessment
process, the ability to conduct assessments, and the development of a
comprehensive homeland security strategy.
Prevention Technical
Assistance
This new initiative facilitates terrorism prevention efforts such as
collaboration, information sharing, risk management, threat
recognition, and intervention.
TEW Group Replication This project replicates programs that enhance capabilities for
analyzing the strategic and operational information needed to respond
to terrorism and protect critical infrastructure.
Plans and Planning
Synchronization
Technical Assistance
This program offers planning support for multi-jurisdictional terrorism
response using innovative software tools.
Interoperable
Communication
Technical Assistance
Program (ICTAP)
ICTAP enhances the interoperability of public safety communications
with regard to CBRNE terrorism threats.
Port and Mass Transit
Planning Technical
Assistance
This program assesses the needs of port/mass transit agencies in
preparing for and countering post-9/11 terrorist threats.
Domestic Preparedness
Equipment Technical
Assistance Program
(DPETAP)
DPETAP provides equipment-specific training on CBRNE detection,
decontamination, and personal protective equipment (PPE).
CSID can be contacted at 1-800-368-6498 or askcsid@dhs.gov. CSID
hours of operation are from 8:00 a.m. - 7:00 p.m. (EST), Monday-Friday.
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TA Program Purpose
Rapid Assistance Team
(RAT) Technical
Assistance
This project deploys teams on short notice to support targeted projects
such as identifying equipment needs or equipment procurement plans.
General Technical
Assistance
This program provides specialized assistance to enhance state and
local strategies to prevent, respond to, recover from, and manage
issues related to any hazard, including terrorism.
For additional information, see Appendix G: HSPTAP, ODP’s online TA site at
http://www.ojp.usdoj.gov/odp/ta.htm under the Catalog link, or by contacting CSID.
Lessons Learned Information Sharing (LLIS) System
LLIS is a national, online secure network located at https://www.LLIS.gov that houses a
collection of peer-validated lessons learned, best practices, and AARs from exercises
and actual incidents, and other relevant homeland security documents. LLIS is
designed to help emergency response providers and homeland security officials
prevent, prepare for, respond to, and recover from acts of terrorism. LLIS will improve
preparedness nationwide by allowing response professionals to tap into a wealth of
validated front-line expertise on effective planning, training, equipping, and operational
practices for homeland security.
The system also houses a directory of responders and homeland security officials, as
well as an updated list of homeland security exercises, events, and conferences.
Additionally, LLIS includes online collaboration tools, including secure email and
message boards, where users can exchange information. LLIS uses strong encryption
and active site monitoring to protect all information housed on the system.
ODP Applicant Assistance Services
Applicant Assistance Services are designed to provide grantees with assistance in
completing and submitting applications to meet the required deadlines. For more
information on Applicant Assistance Services, contact the ODP Preparedness Officer.
Equipment Purchase Assistance Program
The Equipment Purchase Assistance Program provides ODP grantees with access to
prime vendors through memoranda of agreement with the Defense Logistics Agency
(DLA). Benefits of the program include shorter procurement lead time, online ordering,
a diverse inventory of commercial products, and seven-day delivery for routine items.
When ordering equipment through this program, grantees may only use funds awarded
by ODP; state and local funds may not be used. Establishing an account with DLA is a
straightforward process which should be initiated by contacting the appropriate program
representative. Additional information on the programs and contact information for
program representatives is available in a fact sheet posted on the ODP website. For
information on the Emergency Responder Equipment Purchase Program, see
http://www.ojp.usdoj.gov/odp/docs/fs-padef.htm.
Additional information on each of these programs can be found on the ODP website located at:
http://www.ojp.usdoj.gov/odp or by contacting the state’s assigned ODP Preparedness Officer.
IV. NATIONAL INITIATIVES
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IV. NATIONAL INITIATIVES
This section provides background information on key national preparedness initiatives
and priority focus areas that are new to the FY05 HSGP. Included in this section are
discussions about HSPD-5: Management of Domestic Incidents and HSPD-8: National
Preparedness, which address the management of domestic incidents and national
preparedness, respectively. Also included are sections on the NRP, a new
standardized awareness training initiative, catastrophic incident response planning, and
public awareness and citizen participation. These new initiatives result in both additional
programmatic requirements for grantees as well as a broader range of allowable costs.
Grantees are strongly encouraged to pay close attention to the language in these
sections in order to stay abreast of significant initiatives being highlighted by
DHS and to comply with associated program requirements.
A. National Incident Management System
Issued on March 1, 2004, NIMS provides a consistent nationwide approach for federal,
state, territorial, tribal, and local governments to work effectively and efficiently together
to prepare for, prevent, respond to, and recover from domestic incidents, regardless of
cause, size, or complexity.
On September 8, 2004, Secretary Ridge issued a letter to governors outlining the
requirements for implementing the NIMS in FY05. (The letter is available on the NIC
website at http://www.fema.gov/nims/.)
The NIC is working with federal departments and agencies to ensure that they develop
a plan to adopt NIMS and that all FY05 federal preparedness assistance program
documents begin the process of addressing state, territorial, tribal, and local NIMS
implementation. All HSGP award recipients and their SAAs must coordinate with
other state agencies, tribal governments, and local jurisdictions to ensure NIMS
implementation.
Implementation of and compliance with NIMS is critical to ensuring full and robust
preparedness across our nation. HSPD-5 established ambitious deadlines for NIMS
adoption and implementation. FY05 is a start up year for NIMS implementation and full
compliance with the NIMS is not required for an applicant to receive FY05 grant funds.
Since FY05 is a critical year for initial NIMS adoption, awardees should start now by
prioritizing FY05 preparedness assistance (in accordance with the eligibility and
allowable uses of the grant) to facilitate its implementation.
Leveraging HSGP Funding
Grantees and subgrantees are encouraged to leverage HSGP funding to support
planning for and implementation of NIMS. Detailed guidance is provided in each
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relevant program section describing allowable costs supporting NIMS planning and
implementation.
Minimum FY05 NIMS Compliance Requirements
State and territory level efforts to implement NIMS must include the following:
• Incorporating NIMS into existing training programs and exercises
• Ensuring that federal preparedness funding (including HSGP funds) support
NIMS implementation at the state and local levels (in accordance with the
eligibility and allowable uses of the grants)
• Incorporating NIMS into Emergency Operations Plans (EOPs)
• Promotion of intrastate mutual aid agreements
• Coordinating and providing technical assistance to local entities regarding NIMS
• Institutionalizing the use of ICS.
At the state, territorial, tribal, and local levels, jurisdictions should support NIMS
implementation by:
• Completing the NIMS Awareness Course: “National Incident Management
System, An Introduction” IS 700. This independent study course is available
online and will take between forty-five minutes to three hours to complete. The
course is available on the EMI web page at:
http://training.fema.gov/EMIWeb/IS/is700.asp.
?? Formally recognizing NIMS and adopting NIMS principles and policies.
States, territories, tribes, and local entities should establish legislation, executive
orders, resolutions, or ordinances to formally adopt NIMS. The NIC will provide
sample language and templates to assist in formally adopting NIMS through
legislative and/or executive/administrative means.
• Establish a NIMS baseline by determining which NIMS requirements are
already satisfied. The NIC is developing a web-based self-assessment system,
the NIMS Capability Assessment Support Tool (NIMCAST) to evaluate their
incident response and management capabilities. The NIC is currently piloting the
NIMCAST with a limited number of states. Upon completion of the pilot, the NIC
will provide all potential future users with voluntary access to the system.
Additional information about the NIMCAST tool will be provided later this year.
• Establishing a timeframe and developing a strategy for full NIMS
implementation. States, territories, tribes, and local entities are encouraged to
achieve full NIMS implementation during FY05. To the extent that full
implementation is not possible during FY05, federal preparedness assistance
must be leveraged to complete NIMS implementation in FY06. By FY07, federal
preparedness assistance will be conditioned upon full compliance with NIMS.
Again, in order for NIMS to be implemented successfully across the nation, it is
critical that states provide support and leadership to tribal and local entities to
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ensure full NIMS implementation. States should work with the tribal and local
governments to develop a strategy for statewide compliance with NIMS.
• Institutionalizing the use of the ICS. State, territorial, tribal, and local entities
that are not already using ICS, must institutionalize the use of ICS (consistent
with the concepts and principles taught by DHS) across the entire response
system. All federal, state, territory, tribal, and local jurisdictions will be required
to adopt ICS in order to be compliant with NIMS.
FY06 and FY07 Requirements
In order to receive FY06 preparedness funding, the minimum FY05 compliance
requirements described above must be met. Applicants will be required to certify as
part of their FY06 grant applications that they have met the FY05 NIMS requirements.
Additional information about NIMS compliance and resources for achieving compliance
will be forthcoming from the NIC. The NIC web page, http://www.fema.gov/nims, will be
updated regularly with NIMS information and implementation guidance. States and
local jurisdictions experiencing costs associated with meeting FY05 NIMS requirements
are encouraged to leverage FY05 HSGP funds to meet those requirements.
B. HSPD-8: National Preparedness
HSPD-8 establishes policies to strengthen the preparedness of the United States to
prevent and respond to threatened or actual domestic terrorist attacks, major disasters,
and other emergencies by requiring a National Preparedness Goal, establishing
mechanisms for improved delivery of federal preparedness assistance to state and local
governments, and outlining actions to strengthen preparedness capabilities of federal,
state, and local entities. Statewide all-hazards preparedness strategies should be
consistent with the National Preparedness Goal, assess the most effective ways to
enhance preparedness, address areas facing higher risk especially to terrorism, and
address local government concerns and Citizen Corps efforts.
The National Preparedness Goal aims for federal, state, local, and tribal entities to
achieve and sustain nationally accepted risk based target levels of capability for
prevention, preparedness, response, and recovery for major events, especially
terrorism. The target levels of capability are based upon National Planning Scenarios, a
UTL, and a Target Capabilities List. These tools are being developed with input from
the homeland security community at all levels and will continue to be updated over time.
States should take steps in FY05 to review and incorporate these tools in their
preparedness efforts in preparation for full implementation of HSPD-8 in FY06.
The National Planning Scenarios illustrate the scope and magnitude of major,
catastrophic events for which the nation needs to be prepared. They include 12 terrorist
attacks (including chemical, biological, radiological, nuclear, explosive, and cyber), two
natural disasters, and pandemic influenza. The scenarios provide the detail in terms of
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casualties, property damage, and economic losses needed to project capability
requirements for prevention, preparedness, response and recovery. Summaries of the
National Planning Scenarios are available on the ODP Secure Portal located at
https://odp.esportals.com. The National Planning Scenarios will be made available as
soon as they are finalized.
The UTL defines the essential tasks that need to be performed from the incident scene
to the national level for major events illustrated by the National Planning Scenarios.
Federal, state, local, and tribal entities select the appropriate tasks that apply to their
assigned missions. The UTL also includes information on operating conditions and
standards needed to develop quantifiable performance measures for planning,
equipment, training, and exercises. The UTL is available on the ODP Secure Portal
located at https://odp.esportals.com.
The Target Capabilities List identifies the capabilities needed to perform the tasks
identified in the UTL for the major events illustrated by the National Planning Scenarios.
A capability consists of properly planned, organized, equipped, trained, and exercised
personnel needed to perform a task. The Target Capabilities List will include tiers to
account for reasonable differences in capability levels among entities based on
population density, critical infrastructure, and other risk factors. Entities are
preparedness organizations established by levels of government with participation from
the private and nonprofit sector, as described in NIMS. The Target Capabilities List will
also include performance metrics. The Target Capabilities List will be available on the
ODP Secure Portal located at https://odp.esportals.com in January 2005.
ODP will develop detailed National Planning Guidance (due by March 31, 2005) in
coordination with federal, state, local, and tribal entities that describes the National
Preparedness Goal, the target levels of capability, and how to apply them in the
development and update of preparedness assessments and strategies. The current
variety of assessments, surveys, and data calls will be realigned over time to support
the Goal. As necessary, federal regulatory requirements will be modified to support the
National Preparedness Goal, to the extent permitted by law. ODP will provide
information about changes in preparedness assessments and strategies in upcoming
information bulletins and various forums.
C. HSPD-8 Implementation / Preventing and Preparing for Terrorist
Attacks Involving Improvised Explosive Devices
Improvised explosive devices (IEDs) pose a threat of great concern to states and local
jurisdictions across the nation. IEDs have historically been the terrorist weapon of
choice because they combine a high degree of effectiveness with minimal cost. In light
of the comparatively high probability of terrorist attacks involving IEDs, grantees should
leverage FY05 HSGP funding to develop capabilities to prevent, detect, interdict, and
respond to IED terrorist attacks.
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To energize the national focus on preventing and responding to IED attacks, ODP is
developing an end-to-end prototype planning tool based on the IED National Planning
Scenario. The IED scenario includes a detailed ‘prevention prologue’ chronicling
plausible pre-attack adversary tactics, techniques and procedures, as well as depictions
of the attack and its effects. This prologue and the attack scenario provide a means to
evaluate task proficiency, regional prevention frameworks, and response in exercises
and other forms of evaluation.
In recognition of the IED threat, and as an initial step in implementation of HSPD-
8, each urban area receiving FY05 UASI funds must develop a multi-jurisdictional
prevention and response plan based on the IED scenario and test their integrated
plan(s) through a cycle of exercise activity (at a minimum, two discussion-based
and one full-scale evaluated exercise) that addresses the associated tasks as
outlined in the IED scenario. If a state does not have a designated urban area(s),
then it must identify a multi-jurisdictional metropolitan area or region in which to
conduct this IED exercise. If a state had an urban area participating in the UASI
program in previous fiscal years, the state is strongly encouraged to use those
jurisdictions to meet the IED exercise requirement.
The IED exercise requirement is intended to support the prioritized development and
evaluation of plans, policies, procedures, protocols, and capabilities for the prevention
and detection of and response to an incident of national significance as depicted in the
IED scenario. The goal of this planning and exercise requirement is to facilitate the
integration of regional operational planning and activities across urban areas. In
addition, these activities will serve as an initial step toward implementation of HSPD-8.
ODP will release specific guidance on complying with this planning and exercise
requirement in concert with the release of the National Planning Guidance in March
2005. Following the release of this guidance, grantees will have six months to conduct
the planning and synchronization necessary to integrate regional prevention and
response efforts either into an existing framework or into a new planning document for
the IED scenario. Grantees will then have one year following the submission of the
integrated plan(s) to complete the multi-jurisdictional exercise activities. The regional
plan must include NIMS principles and concepts, including use of ICS, and must be
submitted to ODP.
D. Achieving Tactical Interoperable Communications
Inadequate and unreliable wireless communications have plagued public safety
organizations for decades. These challenges were dramatically highlighted during the
response to the terrorist attacks of September 11, 2001. Interoperability issues persist
and in many cases public safety agencies cannot perform their mission-critical duties as
a result. These agencies are unable to share critical voice and/or data information via
radio with other jurisdictions in day-to-day operations and emergency response to
incidents, including acts of terrorism and natural disasters.
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Issues surrounding interoperable communications were consistent themes in
assessment data and homeland security strategies recently submitted to ODP by states
and urban areas. In an effort to address these issues, many states have been proactive
in developing statewide strategies or plans specific to the challenges of interoperable
communications. In addition, 10 urban areas recently participated in RapidCom 9/30, a
program implemented in FY04 to help ensure that incident commanders in these
localities have the ability to adequately communicate with each other and their
respective command centers within one hour of an incident.
Building on these successes, each urban area receiving FY05 UASI funds must
develop a plan to achieve tactical interoperable communications across
jurisdictions in the urban area and test the plan through the exercise activity
required for the IED scenario. Each state that does not have a designated urban
area(s) must use the same multi-jurisdictional metropolitan area or region designated to
test the prevention and response plans discussed in Section C: HSPD-8 Implementation
/ Preventing and Preparing for Terrorist Attacks Involving Improvised Explosive Devices
on page 50. For the purposes of this requirement, tactical interoperable
communications is defined as the rapid provision of on-scene, incident-based mission
critical voice communications among all emergency responder (EMS, fire and law
enforcement) agencies, as appropriate for the incident, and in support of Incident
Command and Operations Section personnel as defined in the NIMS model.
Tactical interoperable communications may be provided through the use of common
equipment (common channels, cached radios or shared systems) or a gateway
between dissimilar systems and/or radio frequency bands; it may use fixed and/or
mobile/portable solution(s). Tactical interoperable communications must be rapidly
deployable at any time (24/7), and should be fully operational within an hour of an
incident occurring. The state and/or urban area must become familiar with the features
and problems that are inherent with the solution(s) they choose. Finally, no technical
solution will work without trained support staff. The state and/or urban area must ensure
that sufficient personnel are trained as Communications Unit Leaders, as defined within
NIMS, to support equipment deployment.
Similar to the IED requirement, ODP will release specific guidance on the tactical
interoperable communications requirement in concert with the SAFECOM Program
Office and the release of the National Planning Guidance in March 2005. Grantees will
have six months from the release of the guidance to develop the tactical interoperable
communications plan based on the template provided by ODP and developed with
SAFECOM. In order to make the most effective use of funding, tactical interoperable
communications plans should always be in support of long-term interoperability by
building upon or accelerating long-term strategies and efforts. The UASI jurisdictions
that developed plans as part of their participation in the RapidCom 9/30 initiative will
need to submit the plan developed as part of that process and validate that plan through
the exercise requirement. These communications plans should take into account the
State Homeland Security Strategies and Urban Area Homeland Security Strategies that
have been submitted and are currently being implemented. Grantees will have one
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year following the submission of the tactical interoperable communications plan to
validate the plan as part of the multi-jurisdictional exercise activities required for the IED
scenario.
In support of efforts to enhance interoperable communications, ODP has established
the Interoperable Communications Technical Assistance Program (ICTAP), a technical
assistance program designed to enhance interoperable communications between local,
state, and federal emergency responders and public safety officials. The goal of ICTAP
is to enable local public safety agencies to communicate as they prevent or respond to
a CBRNE terrorist attack. ICTAP leverages other federal, state, and local
interoperability efforts whenever possible to enhance the overall capacity for agencies
and individuals to communicate with one another. Grantees are encouraged to request
ICTAP support should they need assistance in meeting the tactical interoperable
communications requirement.
E. National Response Plan
The NRP is an all-discipline, all-hazards plan that establishes a single, comprehensive
framework for the management of domestic incidents. It provides the structure and
mechanisms for the coordination of federal support to state, local, and tribal incident
managers and for exercising direct federal authorities and responsibilities. The NRP
assists in the important homeland security mission of preventing terrorist attacks within
the United States; reducing the vulnerability to all natural and manmade hazards; and
minimizing the damage and assisting in the recovery from any type of incident that
occurs.
Federal NRP Implementation
Compliance with the NRP coordinating structures, protocols and processes is essential
for ensuring a national comprehensive approach to domestic incident management.
Implementation of the NRP will occur over a one-year period in three phases.
• Phase I – Transitional Period (0 to 60 days): Departments and agencies and
other organizations modify training, designate staffing of NRP organizational
elements, and become familiar with NRP structures, processes, and protocols
• Phase II – Plan Modification (60 to 120 days): Departments and agencies and
other organizations modify existing federal interagency plans to align with the
NRP and conduct necessary training
• Phase III – Initial Implementation and Testing (120 days to 1 year): Four months
after its issuance, the NRP is to be fully implemented, and the Initial NRP, the
Federal Response Plan, the U.S. Government Interagency Domestic Terrorism
Concept of Operations Plan, and the Federal Radiological Emergency Response
Plan are superseded. Other existing plans remain in effect, modified to align with
the NRP. During this timeframe, DHS will conduct systematic assessments of
NRP coordinating structures, processes, and protocols implemented for actual
Incidents of National Significance
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State and local NRP Implementation
As part of the NRP implementation, state, territorial, local, and tribal governments and
non-governmental organizations (NGOs) are requested to:
• Utilize established incident reporting protocols to notify local and regional JTTFs
and the Homeland Security Operations Center (HSOC), as appropriate
• Coordinate with the HSOC regarding procedures for establishing connectivity for
domestic incident management purposes. Local government procedures should
be coordinated with the respective state government and/or EMA
• Modify existing incident management and EOPs within 120 days (or no later than
the next major plan maintenance cycle) to ensure proper alignment with NRP
coordinating structures, processes, and protocols.
F. Institutionalizing Awareness Training
In an effort to meet the needs of emergency responders who require awareness-level
CBRNE training, ODP has developed a standardized CBRNE awareness training
program that supports state and local efforts to institutionalize CBRNE awareness
training. The goal of this program is to provide states and urban areas with a
mechanism for delivery and sustainment of CBRNE awareness training for all
emergency response disciplines included in their strategies, including but not limited to:
emergency management, emergency medical service, fire service, government
administrative, hazardous materials, health care, law enforcement, public
communications, public health, and public works. The standardized awareness
curriculum covers basic awareness level training; prevention and deterrence of
terrorism; chemical and biological weapons agents; radiological and nuclear materials
and explosive devices; and response actions.
The program relies on a train-the-trainer approach to maximize the program's reach and
facilitate ongoing efforts to incorporate CBRNE Standardized Awareness Authorized
Trainer (SAAT) into state and local training programs. Trainers designated by states
and urban areas will participate in a 12-hour National CBRNE SAAT Train-the-Trainer
course taught by members of the National Domestic Preparedness Consortium (NDPC).
Graduates of that program will then be certified to deliver the six-hour National CBRNE
Standardized Awareness course to personnel within their state and local jurisdiction.
The expectation is that this program will build a core cadre of instructors who will carry
out this training on an ongoing basis within their state and local jurisdiction. Overtime
and backfill costs associated with training deliveries will be eligible for reimbursement
under the SHSP and the UASI Programs. ODP will support Authorized Trainers with
course materials and program updates as necessary.
The National CBRNE Standardized Awareness Program has fully met the requirements
of the ODP Course Development and Review Process and will be referenced in the
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ODP Course Catalog as AWR 160, Direct Delivery and AWR 160-1, Train-the-Trainer
Courses.
Implementation of this initiative was announced in ODP Information Bulletin #130, dated
August 30, 2004; additional guidance was provided in ODP Information Bulletin #138,
dated October 25, 2004. (Information bulletins are available on the ODP website at
http://www.ojp.usdoj.gov/odp/docs/bulletins.htm.) During FY05, ODP will complete
delivery of AWR-100-1 Train-the-Trainer to cadres of authorized trainers in all UASI
jurisdictions and all states and territories. The intent of this initiative is for states and
urban areas to institutionalize sustainable training systems to maintain this training.
Training POCs in states will be expected to lead the overall effort for this program.
States and urban areas are also expected to then conduct follow-on training sessions
for their emergency responders based on needs identified in their homeland security
strategies.
More detailed information on the National CBRNE Standardized Awareness Training
initiative will be provided through additional communications to state and urban area
POCs. Inquiries on this program specific to a jurisdiction's participation should be
directed to an ODP Preparedness Officer.
G. Catastrophic Incident Planning
The Catastrophic Incident Response Annex (CIRA) to the NRP establishes a
coordinated strategy for accelerating the delivery and application of federal resources
and capabilities in support of a jurisdictional response to a catastrophic incident. The
NRP defines a catastrophic incident as any natural or manmade incident, including
terrorism, which produces extraordinary levels of mass casualties, damage, and
disruption severely affecting the population, infrastructure, environment, economy, and
government functions.
In support of the CIRA, catastrophic incident response planning is now included as an
allowable expense under FY05 SHSP and UASI. Allowable costs related to this type of
effort include: conducting assessments and exercises of existing catastrophic incident
response and recovery plans and capabilities; activities that directly support the
identification of specific catastrophic incident priority response and recovery projected
needs; activities to develop a surge capacity; and activities that directly support the
identification and advance preparation of pre-designated temporary housing sites.
State and local jurisdiction catastrophic incident planning activities should be
coordinated with both ODP and FEMA to ensure federal, state, and local expectations
and plans are synchronized.
FEMA's Recovery Division has prepared more detailed guidance on the specific
planning requirements and concerns that states and locals should consider when
engaging in site identification and selection. Additional information can be obtained
through FEMA regional staff.
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H. Public Awareness and Citizen Participation
Citizens are a critical component of homeland security. To have a fully prepared
community, citizens must be fully aware, trained, and practiced on how to detect, deter,
prepare for, and respond to emergency situations. Recent surveys indicate that citizens
are concerned about the threats facing the nation and are willing to participate to make
their communities safer, yet most Americans have low awareness of federal, state, and
local emergency preparedness plans, are not involved in local emergency drills, and are
not adequately prepared at home.
Informed and engaged citizens are an essential component of homeland security and
the mission of Citizen Corps is to have everyone in America participate in making their
community safer, stronger, and better prepared. To achieve this, state, county, local,
and tribal Citizen Corps Councils have formed nationwide to help educate and train the
public, and to develop citizen/volunteer resources to support local emergency
responders, community safety, and disaster relief.
In support of this mission, all SHSP and UASI award recipients must work with their
state and local Citizen Corps Councils to more fully engage citizens through the
following:
• Expand plans and task force memberships to address citizen participation.
Develop or revise state and local plans, such as EOPs, to integrate
citizen/volunteer resources and participation, and include advocates for
increased citizen participation in task forces and advisory councils.
• Awareness and outreach to inform and engage the public. Educate the
public on personal preparedness measures, alert and warning systems, and
state and local emergency plans via a range of community venues and
communication channels.
• Include citizens in training and exercises. Provide emergency preparedness
and response training for citizens, improve training for emergency responders to
better address special needs populations, and involve citizens in all aspects of
emergency preparedness exercises, including planning, implementation, and
after action review.
• Develop or expand programs that integrate citizen/volunteer support for
the emergency responder disciplines. Develop or expand the Citizens Corps
Programs (Volunteers in Police Service (VIPS), Medical Reserve Corps (MRC),
Community Emergency Response Teams (CERT), Neighborhood Watch, and
Fire Corps), activities of the Citizen Corps affiliates, and ad hoc opportunities for
citizens to support emergency responders year-round and during a disaster.
V. AWARD AND
REPORTING
REQUIREMENTS
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V. AWARD AND REPORTING REQUIREMENTS
A. Grant Award to State
Upon approval of the application, the grant will be awarded to the respective SAA. This
date will be known as the “award date.” The state’s obligation period must be met
within 60 days of the award date. See Appendix B: Sample Award Package for
additional information.
Required Submissions: Signed award document and special conditions returned to
the OJP OC.
B. Initial Strategy Implementation Plan (ISIP) and State Obligation
of Grant Funds
While line item budget detail worksheets do not need to be submitted as a requirement
of this grant, states must maintain complete and accurate accounting records, and must
make those records available to DHS upon request.
ODP will track the 60-day obligation time period and will require each grantee to submit
an ISIP no later than 60 days after the grant award date. The ISIP will certify that the
grantee has complied with all HSGP pass-through requirements, and will demonstrate
how the grantee’s spending plan supports the goals and objectives of the State or
Urban Area Homeland Security Strategy. Completion of this report will require that
states work closely with local jurisdictions to ensure that local and state expenditures
are synchronized with the goals and objectives identified in the State or Urban Area
Homeland Security Strategy (see Appendix D: Guidance for ISIP/BSIR for details).
Failure to provide this information within 60 days of receipt of funds may result in ODP
withholding grant funds from further obligation and expenditure.
Required Submissions: ISIP.
C. Drawdown of Funds
Following acceptance of the grant award and release of any special conditions
withholding funds, the grantee can drawdown funds up to 120 days prior to expenditure
through the ASAP, PAPRS or LOCES payment systems. See Drawdown of Funds
guidance on page 22.
In support of our continuing effort to meet the accelerated financial statement reporting
requirements mandated by the U.S. Department of the Treasury and the Office of
Management and Budget (OMB), payment processing will be interrupted during the last
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five (5) working days of each month. SAAs should make payment requests before the
last five working days of the month to avoid delays in deposit of payments. For
example, for the month of September, the last day to request (drawdown) payments will
be September 23, 2004. Payments requested after September 23, 2004 will be
processed when the regular schedule resumes on October 1, 2004. A similar schedule
will follow at the end of each month thereafter.
To avoid denial of payment requests, grantees are encouraged to submit their SF269a
FSRs online at http://grants.ojp.usdoj.gov. Additional information and instructions are
available at this website.
Questions regarding grant accounts should be addressed to the OJP OC at 1-800-458-
0786 or e-mail askoc@ojp.usdoj.gov.
D. Reporting Requirements
Reporting requirements for all programs included in HSGP will be consolidated into a
single reporting system.
Financial Status Report
Obligations and expenditures must be reported to ODP on a quarterly basis through the
FSR, which is due within 45 days of the end of each calendar quarter (i.e. for the
quarter ending March 31, FSR is due on May 15). A report must be submitted for every
quarter the award is active, including partial calendar quarters, as well as for periods
where no grant activity occurs. OJP OC will provide a copy of this form in the initial
award package. Future awards and fund drawdowns will be withheld if these reports
are delinquent.
Grantees are reminded to review the following documents and ensure that grant
activities are conducted in accordance with the applicable guidance:
• 28 CFR Part 66, Uniform administrative requirements for grants and cooperative
agreements to state and local governments, at
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html
• OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal
Governments, at http://www.whitehouse.gov/omb/circulars/index.html
• 28 CFR Part 70, Uniform administrative requirements for grants and agreements
(including subawards) with institutions of higher education, hospitals, and other
nonprofit organizations, at http://www.access.gpo.gov/nara/cfr/waisidx_04/
28cfrv2_04.html
• OMB Circular A-21, Cost Principles for Educational Institutions, at
http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-122, Cost Principles for Non-Profit Organizations, at
http://www.whitehouse.gov/omb/circulars/index.html.
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Additionally, grantees should be familiar with the requirements included in the OJP
Financial Guide at http://www.ojp.usdoj.gov/FinGuide/.
Required Submissions: FSR (quarterly).
Biannual Strategy Implementation Reports (BSIR)
Following award of the grant, the state and subgrantees will be responsible for providing
updated obligation and expenditure information on a regular basis. States will provide
consolidated information to ODP in their BSIR. The BSIR submission will satisfy the
narrative requirement in Box 12 of the biannual Categorical Assistance Progress
Reports (CAPR). States will still be required to submit the CAPR form. The BSIR is
due within 30 days after the end of the reporting period (July 31 with a reporting period
of January 1 through June 30, and on January 31 with a reporting period of July 1
through December 31). Updated obligation and expenditure information must be
provided with BSIRs to show progress made in meeting strategic goals and objectives.
ODP will provide a web-enabled application for BSIR submission to grantees. Future
awards and fund drawdowns may be withheld if these reports are delinquent. The final
BSIR is due 120 days after the end date of the award period. See Appendix D:
Guidance for ISIP/BSIR for additional information.
Required Submissions: BSIR (biannually).
Exercise Evaluation and Improvement
Exercises implemented with grant funds should be threat- and performance-based and
should evaluate performance of critical prevention and response tasks required to
respond to the exercise scenario. Guidance on conducting exercise evaluations and
implementing improvement is defined in the HSEEP Volume II: Exercise Evaluation and
Improvement located at http://www.ojp.usdoj.gov/odp/docs/HSEEPv2.pdf. The SAA
must report on scheduled exercises and ensure that an AAR and Improvement Plan (IP)
are prepared for each exercise conducted with ODP support (grant funds or direct
support) and submitted to ODP within 60 days following completion of the exercise.
The AAR documents the performance of exercise related tasks and makes
recommendations for improvements. The IP outlines the actions that the exercising
jurisdiction(s) plans to take to address recommendations contained in the AAR.
Generally, the IP, with at least initial action steps, should be included in the final AAR.
ODP is establishing a national database to facilitate the scheduling of exercises, the
submission of the AAR/IPs and the tracking of IP implementation. Guidance on
development of AARs and IPs is provided in Volume II of the HSEEP manuals.
Financial and Compliance Audit Report
Recipients that expend $500,000 or more of federal funds during their fiscal year are
required to submit an organization-wide financial and compliance audit report. The audit
must be performed in accordance with the U.S. General Accounting Office Government
Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB
Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations ,
located at http://www.whitehouse.gov/omb/circulars/index.html. Audit reports are
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currently due to the Federal Audit Clearinghouse no later than 9 months after the end of
the recipient’s fiscal year. In addition, the Secretary of Homeland Security and the
Comptroller General of the United States shall have access to any books, documents,
and records of recipients of FY05 HSGP assistance for audit and examination
purposes, provided that, in the opinion of the Secretary of Homeland Security or the
Comptroller General, these documents are related to the receipt or use of such
assistance. The grantee will also give the sponsoring agency or the Comptroller
General, through any authorized representative, access to and the right to examine all
records, books, papers or documents related to the grant.
The state shall require that subgrantees comply with the audit requirements set forth in
OMB Circular A-133. Recipients are responsible for ensuring that sub-recipient audit
reports are received and for resolving any audit findings.
E. Monitoring
Grant recipients will be monitored periodically by ODP Preparedness Officers to ensure
that the program goals, objectives, timelines, budgets, and other related program
criteria are being met. Monitoring will be accomplished through a combination of officebased
and on-site monitoring visits. Monitoring will involve the review and analysis of
the financial, programmatic, and administrative issues relative to each program, and will
identify areas where technical assistance and other support may be needed. As a part
of the monitoring program, ODP will provide assistance in the evaluation of strategy
goals and objectives.
The SAA is responsible for monitoring subgrantee activities to provide reasonable
assurance that the sub-recipient administers federal awards in compliance with federal
and state requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, the maintaining of adequate financial records, and the
refunding of expenditures disallowed by audits.
F. Grant Close-out Process
Within 120 days after the end of the grant period, the grantee will submit a final FSR
and a final BSIR detailing all accomplishments throughout the project. After both of
these reports have been reviewed and approved by the ODP Preparedness Officer, a
Grant Adjustment Notice (GAN) will be completed to close-out the grant. The GAN will
indicate the project as being closed, list any remaining funds that will be de-obligated,
and address the requirement of maintaining the grant records for three years from the
date of the final FSR. After the financial information is received and approved by the
OJP OC, the grant will be identified as "Closed by the Office of the Comptroller."
Required Submissions: 1) Final SF-269 FSR and 2) Final BSIR.
VI. STATE HOMELAND
SECURITY PROGRAM
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VI. STATE HOMELAND SECURITY PROGRAM
A. Program Overview
The FY05 SHSP provides funds to enhance the capability of state and local units of
government to prevent, deter, respond to, and recover from incidents of terrorism
involving the use of CBRNE weapons and cyber attacks. These funds support costs
related to:
• Homeland security and emergency operations planning activities
• Purchase of specialized equipment
• Costs related to the design, development, and conduct of statewide CBRNE and
cyber security training programs and attendance at ODP-approved courses
• Design, development, conduct, and evaluation of CBRNE and cyber security
exercises
• M&A costs associated with implementing the State Homeland Security Strategy
and managing SHSP.
For those states and local units of government that have addressed agricultural and/or
food security preparedness as a primary concern in their strategies, the FY05 SHSP
also provides funds in the same broad categories of planning, equipment, training, and
exercises, as well as agriculture-specific equipment that could be utilized to address
specific gaps in prevention, response, and recovery within the agriculture sector.
SHSP further provides the opportunity to enhance regional preparedness efforts.
States are encouraged to employ regional approaches to planning and preparedness
and to adopt regional response structures whenever appropriate to meet the needs
identified through the assessments and in the urban area strategy. Furthermore, ODP
intends to guide state and urban area security and preparedness efforts toward a
project-oriented process to address common, measurable objectives.
Finally, homeland security officials at all levels should seek opportunities to leverage
funding from multiple sources whenever possible and not restrict their activities to
federal funding alone.
B. Program Requirements
All use of SHSP funds must be consistent with and supportive of implementation of the
State Homeland Security Strategy. Linkages between specific projects undertaken with
SHSP funds and strategic goals and objectives will be highlighted through regular
required reporting mechanisms, including the ISIP and the BSIR.
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C. Authorized Program Expenditures
This section provides guidance on the types of expenditures that are allowable under
the SHSP. Please refer to the checklist in Appendix A: Authorized Program
Expenditures for additional information on authorized and unauthorized SHSP
expenditures.
Planning
SHSP funds may be used for a range of homeland security planning activities, including
the following:
Developing and implementing homeland security support programs and adopting
DHS national initiatives including but not limited to the following:
• Costs associated with implementing and adopting HSPD-8 initiatives
• Costs associated with implementing and adopting NIMS
• Costs associated with modifying existing incident management and EOPs to
ensure proper alignment with the NRP 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 related critical infrastructure terrorism prevention activities including:
o Planning to enhance security during heightened alerts, during terrorist
incidents, and/or during mitigation and recovery
o Public information/education: printed and electronic materials, public
service announcements, seminars/town hall meetings, web postings
coordinated through local Citizen Corps Councils
o Citizen Corps activities in communities surrounding critical infrastructure
sites, including Neighborhood Watch, VIPS, and other opportunities for
citizen participation
o Evaluating CIP security equipment and/or personnel requirements to
protect and secure sites
o CIP cost assessments, including resources (financial, personnel, etc.)
required for security enhancements/deployments.
Developing and enhancing plans and protocols, including but not limited to:
• Developing or enhancing EOPs and operating procedures
• Developing terrorism prevention/deterrence 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 or enhancing border security plans
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• Developing or enhancing cyber security plans
• Developing or enhancing cyber risk mitigation plans
• 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 updating local or regional communications plans
• Developing plans to support and assist special needs 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 NRP.
Developing or conducting assessments, including but not limited to:
• Conducting point vulnerability assessments at critical infrastructure sites/key
assets and develop remediation/security plans
• Conducting cyber risk and vulnerability assessments
• Conducting assessments and exercises of existing catastrophic incident
response and recovery plans and capabilities to identify critical gaps that cannot
be met by existing local and state resources
• Activities which directly support the identification of specific catastrophic incident
priority response and recovery projected needs
• Activities which directly support the identification and advance preparation of predesignated
temporary housing sites; for example:
o Conducting assessments and studies to identify qualified candidate sites
o Obtaining accurate site surveys and existing utility information
o Coordinating zoning requirements and necessary permits and/or waivers
o Coordinating environmental impact requirements related to a selected site
o Coordinating historic preservation requirements related to a selected site.
Equipment
SHSP funds may be used for equipment acquisition from the 21 equipment categories
listed in the FY05 ODP AEL. The FY05 AEL is available in its entirety online through
the RKB at http://www.rkb.mipt.org and the equipment categories are outlined in
Appendix A: Authorized Program Expenditures.
Training
SHSP funds may be used to enhance the capabilities of state and local emergency
preparedness and response personnel through development of a state homeland
security training program. Allowable training-related costs include 1) the establishment
of CBRNE, CIP, agricultural/food security, cyber security, and geospatial training
programs within existing training academies, universities, or junior colleges; and 2)
overtime and backfill costs associated with attendance at ODP-sponsored and
approved CBRNE and cyber security training courses. Grantees who wish to use grant
funds to support development/institutionalization of non-ODP sponsored training, must
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receive approval from ODP prior to using funds for this purpose. In addition, training for
NIMS and NRP implementation is allowable.
Exercises
SHSP funds may be used to design, develop, conduct, and evaluate exercises that:
• Train homeland security preparedness, prevention, and response personnel
• Evaluate prevention and response plans, policy, procedures, and protocols,
including NIMS and NRP
• Assess the readiness of jurisdictions to prevent and respond to terrorist attacks.
VII. URBAN AREAS
SECURITY INITIATIVE
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URBAN AREAS SECURITY INITIATIVE
VII. URBAN AREAS SECURITY INITIATIVE
A. Program Overview
The FY05 UASI Program provides financial assistance to address the unique planning,
equipment, training, and exercise needs of high-threat, high-density urban areas, and to
assist them in building an enhanced and sustainable capacity to prevent, respond to,
and recover from threats or acts of terrorism.
The intent of the UASI Program is to create a sustainable national model program to
enhance security and overall preparedness to prevent, respond to, and recover from
acts of terrorism. States must ensure that the identified urban areas take an inclusive
regional approach to the development and implementation of the FY05 UASI Program
and involve the core city(ies), core county(ies), contiguous jurisdictions, mutual aid
partners, port authorities, rail and transit authorities, state agencies, Citizen Corps
Council(s), and MMRS steering committees.
The program includes an urban area assessment and strategy development
component, which will be used by the urban area to allocate funding and guide delivery
of ODP-provided direct services, such as training, exercises, and technical assistance.
The development of the Urban Area Homeland Security Strategy must be in accordance
with ODP’s UASI Administrator Handbook, which can be found at
http://www.shsasresources.com.
The FY05 UASI Program further provides the opportunity to enhance regional
preparedness efforts. Urban areas are encouraged to employ regional approaches to
overall preparedness and to adopt regional response structures whenever appropriate
to meet the needs identified through the assessments and in the urban area strategy.
Furthermore, it is ODP’s intent to guide state and urban area security and preparedness
efforts toward a project-oriented process to address common, measurable objectives.
Security and preparedness officials at all levels should seek opportunities to leverage
funding from multiple sources whenever possible and not restrict their activities to
federal funding alone. This funding will be provided to identified urban area authorities
through the SAAs. In addition, urban areas should include citizens in planning,
preparedness, training, exercises, and volunteer activities to support emergency
responders through the local Citizen Corps Council(s).
ODP encourages all current and former geographically contiguous UASI urban
areas to continue existing coordinated and collaborative planning structures and
efforts in developing, integrating, and implementing homeland security activities.
This includes, but is not limited to, participation on advisory committees and
working groups involved in homeland security planning and preparedness
processes and activities.
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URBAN AREAS SECURITY INITIATIVE
Homeland Security Assistance for Nonprofit Organizations
Under FY 2005 Homeland Security Appropriations, $25,000,000 of UASI funding is
available for specific high-threat, high-density urban areas for grants to 501(c)(3)
nonprofit organizations determined to be at risk of terrorist attack. These funds are
allocated to the urban areas, through the SAA, based upon the criteria used to
determine UASI funding allocations, which include credible threat, presence of critical
infrastructure, vulnerability, population, population density, law enforcement
investigative and enforcement activity, and the existence of formal mutual aid
agreements.
Selection and Award Process. This allocated funding is available for the protection of
nonprofit organizations located within the urban areas from terrorist attacks. Each state
should follow this general selection and award process:
1. Each state receiving assistance for nonprofit organizations, in coordination with
its UAWGs, will determine eligibility and selection criteria for nonprofit
organizations in the urban area. The state must issue a solicitation within 60
days of the award date for organizations to apply for funds allocated for nonprofit
organizations.
2. Eligible nonprofit organizations will submit applications to the state.
3. State makes sub-grant awards to selected individual nonprofit organizations in
amounts not to exceed $100,000 in order to maximize the number of nonprofit
organizations receiving security enhancements.
In making selections, states and urban areas must consider the following criteria:
• Threats from U.S. Department of State designated international terrorist
organizations (http://www.state.gov/s/ct/rls/fs/2004/37191.htm) against any
group of United States citizens who operate or are the principal beneficiaries or
users of the nonprofit organization
• Prior attacks, within or outside the United States, by international terrorist
organizations against the nonprofit organization or entities associated with or
similarly situated as the nonprofit organization
• Symbolic value of the site(s) as a highly recognized national cultural or historical
institution that renders the site a possible target of international terrorism
• The role of the nonprofit organization in responding to international terrorist
attacks
• Previously conducted threat and/or vulnerability assessments
• Increased threats to specific sectors and/or areas.
B. Program Requirements
The state agency with overall responsibility for developing the State Homeland Security
Strategy and administering ODP programs will be responsible for the administration of
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URBAN AREAS SECURITY INITIATIVE
the FY05 UASI Program. In administering the program, the SAA must comply with the
following requirements:
Existing UASI Urban Areas
For urban areas previously identified in the FY03 or FY04 UASI Programs, the SAA
must comply with the following requirements:
1. Urban Area Homeland Security Strategy. Urban areas must utilize their existing
Urban Area Homeland Security Strategy as the basis for allocating funds to the
prioritized needs outlined in their goals and objectives in enhancing and refining their
preparedness efforts. There must be a clear correlation between the issues
identified in the Urban Area Homeland Security Strategy and FY05 UASI activities.
The Urban Area Homeland Security Strategy must also be consistent with and
supportive of the State Homeland Security Strategy. The state and urban area
strategies are not spending plans for the UASI grant funds; rather the strategies
should articulate an overall vision for preparedness in the state or urban area, and
lay out specific goals and objectives which, if achieved, will enable realization of that
vision.
Additionally, the state, core city, core county and other urban area jurisdictions
should work together to leverage all available funding sources throughout the
implementation of their strategy. ISIP and BSIR requirements will document this
correlation.
2. Allocation of Funds. At a minimum, the core city(ies) and core county(ies), and the
SAA must provide written concurrence on the allocation of funds provided through
the FY05 UASI Program. Verification of this concurrence must be submitted to ODP
along with the ISIP, which is due 60 days after the grant award date.
3. Redefining existing urban areas. In coordination with the Urban Area Core
City(ies) POC and the Core County(ies) POC, the SAA POC may redefine the
geographic boundaries of the urban area, as it will apply to the FY05 UASI Program.
• In redefining the urban area geographic boundaries, the SAA POC is required
to coordinate and receive input from the core city(ies) and core county(ies)
• The definition of the urban area is still limited to jurisdictions contiguous to the
core city(ies) and core county(ies), or with which the core city(ies) or core
county(ies) have established formal mutual aid agreements
• For the purposes of the FY05 UASI, the state may request a waiver to define
urban areas using regions previously established by Executive Order, law or
compact
• If the urban area is expanded to include additional jurisdictions, those
additional jurisdictions are eligible for, but not entitled to, receipt of funding
through the program. All FY05 UASI budget allocations must still support the
Urban Area Homeland Security Strategy and will still require concurrence
from the core city(ies), core county(ies), and SAA
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URBAN AREAS SECURITY INITIATIVE
• Inclusion of additional jurisdictions will not lead to increased funding for the
urban area
• Training, planning, organizing, and exercising projects can be implemented
as regional projects with or without a change to the urban area.
4. Updating POCs. Any updates or changes to any state, core city(ies), or core
county(ies) POC information should be submitted to the assigned ODP
Preparedness Officer.
Newly Identified UASI Urban Areas
For newly identified UASI urban areas in FY05, the SAA must comply with the following
requirements:
1. Requirements for HSGP Application Submission (refer to page 15, application
requirements for newly identified UASI urban areas).
• Identify SAA, Core City(ies), and Core County(ies) POCs
• Define the urban area
• Establish the UAWG
2. Conduct an Urban Area Assessment. Newly identified urban areas receiving
funding under this initiative may use previously collected assessment data from the
2003 State Homeland Security Assessment and Strategy Program, which in turn will
guide development of an Urban Area Homeland Security Strategy.
3. Develop an Urban Area Homeland Security Strategy. Newly identified urban
areas receiving funding under this initiative must develop a comprehensive Urban
Area Homeland Security Strategy. This strategy must be developed jointly by all
units of government in the defined urban area and meet the requirements for a
validated Urban Area Homeland Security Strategy as outlined in ODP’s Urban Areas
Security Initiative Administrator Handbook, which can be found at
http://www.shsasresources.com.
The Urban Area Homeland Security Strategy must be consistent with and supportive
of the State Homeland Security Strategy. The state and urban area strategies are
not spending plans for the UASI grant funds; rather they should articulate an overall
vision for preparedness in the state or urban area, and lay out specific goals and
objectives which, if achieved, will enable realization of that vision. Additionally, the
state, core city(ies), core county(ies) and other urban area jurisdictions should work
together to leverage all available funding sources in implementation of the strategy
and to include citizens in all aspects of the strategy through their local Citizen Corps
Council.
Note: Receipt of all funds is contingent upon submission of a validated Urban Area
Homeland Security Assessment and a validated Urban Area Homeland Security
Strategy. All Urban Area Homeland Security Strategies must be completed and
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URBAN AREAS SECURITY INITIATIVE
submitted to ODP by February 16, 2005. ODP will provide technical assistance to
the urban areas throughout the strategy development process.
4. Allocation of Funds. The intent of the grant is to establish a metropolitan areawide
approach to homeland security. Therefore, the use and allocation of all grant
funds available through the FY05 UASI Program must focus on the implementation
of the Urban Area Homeland Security Strategy. They must also be consistent with
the validated Urban Area Homeland Security Strategy, the State Homeland Security
Strategy, and the UASI Program guidelines. Additionally, the SAA POC, in
coordination with the UAWG, must develop a methodology for allocating funding
available through the UASI Program. The core city(ies), core county(ies), and
SAA must provide written concurrence on the spending plan and allocation of
funds. Written concurrence must be provided to the ODP Preparedness
Officer prior to the obligation or drawdown of funds.
C. Authorized Program Expenditures
Allowable expenditures for FY05 UASI comport with FY05 SHSP (except for the use of
funds for operational costs) and funding is expended based on the Urban Area
Homeland Security Strategies. Please refer to Appendix A: Authorized Program
Expenditures for detailed information on authorized and unauthorized UASI
expenditures.
Operational Activities
In support of FY05 UASI efforts to build an enhanced and sustainable capacity to
prevent, respond to, and recover from threats or acts of terrorism, states and urban
areas may use FY05 UASI funds to support select operational activities. No more than
25% of the gross amount of the UASI award may be used for operational expenses and
overtime costs for the operational activities noted below, which includes the operational
costs in Operational Costs Guidance on page 26. These funds may be used for the
following three (3) operational activities:
1. States and local jurisdictions may use up to 25% of FY05 UASI funds to support
select operational overtime costs associated with increased security measures at
critical infrastructure sites in UASI jurisdictions during periods of heightened alert.
• Of this amount, up to 10% of FY05 UASI funds may be used to support
operational overtime costs incurred at Code Yellow or Orange that are
associated with increased security measures at critical infrastructure sites in
UASI jurisdictions.
• The remaining 15% of FY05 UASI funds may be used to support operational
overtime costs incurred only at Code Orange that are associated with
increased security measures at critical infrastructure sites in UASI
jurisdictions.
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URBAN AREAS SECURITY INITIATIVE
Grantees and subgrantees may use UASI funds for select operational expenses
associated with increased security measures at critical infrastructure sites, incurred
during time periods of DHS-declared Code Orange or Yellow. Funds may only be
used in the following authorized categories:
• Backfill and overtime expenses for staffing state or local EOCs
• Hiring of contracted security for critical infrastructure sites
• Public safety overtime
• National Guard deployments to protect critical infrastructure sites, including all
resources that are part of the standard National Guard deployment package
• Increased border security activities in coordination with CBP.
Consumable costs, such as fuel expenses, are not allowed except as part of the
standard National Guard deployment package.
2. Overtime costs are also allowable for personnel to participate in information,
investigative, and intelligence sharing activities specifically related to homeland
security. This includes activities such as anti-terrorism task forces, JTTF, Area
Maritime Security Committees (as required by the Maritime Transportation Security
Act of 2002), and TEW groups.
3. Hiring of contractors/consultants for participation in information/intelligence sharing
groups or intelligence fusion centers.
Funding may not be used to supplant ongoing, routine public safety activities of state
and local emergency responders, and may not be used to hire staff for operational
activities or backfill.
Homeland Security Assistance for Nonprofit Organizations
Funding expenditures to protect nonprofit organizations, located within the urban areas,
from terrorist attacks may only be allocated for target hardening, which includes the
acquisition and installation of security equipment in real property (including buildings
and improvements), owned or leased by a nonprofit organization, specifically in
response to a risk of terrorist attack. This equipment is limited to items on the
“Allowable Equipment Costs” list set forth in the UASI AEL, with an emphasis on
Physical Security Enhancement Equipment. Allowable equipment does not include
enhancements that would otherwise have been reasonably necessary due to nonterrorist
threats. In addition, M&A costs are not allowed for allocations to nonprofit
organizations.
VIII. LAW
ENFORCEMENT
TERRORISM
PREVENTION
PROGRAM
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VIII. LAW ENFORCEMENT TERRORISM PREVENTION PROGRAM
A. Program Overview
The FY05 LETPP seeks to provide law enforcement communities with enhanced
capabilities for detecting, deterring, disrupting, and preventing acts of terrorism. The
FY05 LETPP will provide law enforcement communities with funds for the following
activities:
1. Information Sharing to Preempt Terrorist Attacks: These funds will allow law
enforcement communities to purchase equipment and support efficient and
expeditious sharing of information and intelligence that could preempt possible
terrorist attacks.
2. Target Hardening to Reduce Vulnerability: Funds provided under this category
will allow law enforcement communities to make vulnerable targets more resistant to
attack or more difficult to remove or damage.
3. Threat Recognition: Funds provided under this category will allow law enforcement
personnel to purchase equipment and conduct additional training that assists in
further recognizing the potential or development of a threat.
4. Intervention Activities: Funds provided under this category will allow law
enforcement personnel to purchase equipment and conduct activities to further
enhance their capabilities to prevent domestic terrorism incidents.
5. Interoperable Communications: Funds provided under this category will allow law
enforcement personnel to purchase equipment to ensure interoperable
communications between, and among, law enforcement agencies and other
emergency service disciplines such as fire and emergency management.
The SAA must coordinate the implementation of this program with the state’s Lead Law
Enforcement Agency (LLEA). When identifying administrative and planning needs,
each grantee should assess current staffing levels and determine whether a portion of
the FY05 LETPP funds should be used to enhance administrative capabilities within the
LLEA.
B. Authorized Program Expenditures
This section provides guidance on the types of expenditures that are allowable under
the LETPP. Please refer to Appendix A: Authorized Program Expenditures for
additional information on authorized and unauthorized LETPP expenditures.
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Planning
LETPP funds may be used for a range of law enforcement terrorism prevention planning
activities, including the following:
• Developing and planning for information/ intelligence sharing groups
• Conducting point vulnerability analyses and assessments
• Soft target security planning (public gatherings)
• 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
• Acquiring systems allowing connectivity to federal data networks, such as
National Crime Information Center (NCIC) and Integrated Automated Fingerprint
Identification System (IAFIS), as appropriate
• Designing and developing state and local geospatial data systems
• Costs associated with the implementation and adoption of NIMS
• Developing related critical infrastructure terrorism prevention activities including:
o Planning for enhancing security during heightened alerts, during terrorist
incidents, and/or during mitigation and recovery
o Public information/education: printed and electronic materials, public service
announcements, seminars/town hall meetings, web postings
o Citizen Corps activities in communities surrounding critical infrastructure sites,
to include Neighborhood Watch, VIPS, and other opportunities for citizen
participation
o Evaluating CIP security equipment and/or personnel requirements to protect
and secure sites
Operational Activities
In support of FY05 LETPP efforts to provide law enforcement communities with
enhanced capabilities for detecting, deterring, disrupting, and preventing acts of
terrorism, states and local governments may use FY05 LETPP funds to support select
operational activities. No more than 25% of the gross amount of the LETPP award may
be used for the operational expenses and overtime costs for the organizational activities
noted below, which includes the operational costs in Operational Costs Guidance on
page 26. These funds may be used for the following three (3) operational activities:
1. Grantees and subgrantees may use LETPP funds for select operational expenses
associated with increased security measures at critical infrastructure sites, incurred
during time periods of DHS-declared Code Orange. Funds may only be used in
the following authorized categories:
o Backfill and overtime expenses for staffing state or local EOCs
o Hiring of contracted security for critical infrastructure sites
o Public safety overtime
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o National Guard deployments to protect critical infrastructure sites, including all
resources that are part of the standard National Guard deployment package
o Increased border security activities in coordination with CBP.
Consumable costs, such as fuel expenses, are not allowed except as part of
the standard National Guard deployment package.
2. Overtime costs are also allowable for personnel to participate in information,
investigative, and intelligence sharing activities specifically related to homeland
security. This includes activities such as anti-terrorism task forces, JTTF, Area
Maritime Security Committees (as required by the Maritime Transportation Security
Act of 2002), and TEW groups.
3. Hiring of contractors/consultants for participation in information/intelligence sharing
groups or intelligence fusion centers.
Funding may not be used to supplant ongoing, routine public safety activities of state
and local law enforcement, and may not be used to hire staff for operational activities or
backfill.
Equipment
LETPP funds may be used for specialized equipment acquisition from select equipment
categories listed in the FY05 ODP AEL. The FY05 AEL is available in its entirety online
through the RKB at http://www.rkb.mipt.org. For more information on allowable
equipment categories, please refer to Appendix A: Authorized Program Expenditures.
Training
LETPP funds may be used for a range of law enforcement terrorism prevention related
training activities to enhance the capabilities of state and local personnel, including the
following:
• Training courses on building information sharing capacities
• Training that includes methods of target hardening
• Training for facility security personnel
• Training for vessel and port law enforcement security personnel recognition of
CBRNE threats
• NIMS training
• Weaponization of CBRNE agents
• History of terrorism and social environments contributing to threats
• Surveillance and counter-surveillance techniques
• Identifying/assessing critical infrastructure assets, vulnerabilities, and threats
• Intelligence analysis
• Cyber security protective measures training
• Multi-cultural training for undercover operations
• Language training
• Joint training with other homeland security entities (U.S. Secret Service, CBP,
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etc.)
• Training on the use of interoperable communications equipment
• CIP training
• Training associated with the collection, analysis, mapping, integration, and
dissemination of geospatial data and imagery
• Geospatial database use, design, development, and management training
• Agricultural/food security related training
• Training for citizens in terrorism awareness and for volunteer participation to
support law enforcement activities
Multiple level training should be focused on a regional model. Grantees using these
funds to develop their own courses should address the critical training areas and gaps
identified in the State's Homeland Security Strategy and must adhere to the ODP
Emergency Responder Guidelines and ODP Homeland Security Guidelines on
Prevention and Deterrence. These guidelines may be found at
http://www.ojp.usdoj.gov/odp/whatsnew/whats_new.htm.
Exercises
LETPP funds may be used to design, develop, conduct, and evaluate terrorism
prevention related exercises, including the following:
• Exercises to evaluate the effectiveness of information sharing plans, policies,
procedures and protocols
• Exercises to evaluate NIMS implementation
• Exercises to evaluate facility and/or vessel security protection
• Exercises to evaluate area maritime security protection
• Exercises to evaluate threat recognition capabilities
• Exercises to evaluate cyber security capabilities
• Exercises to evaluate agricultural/food security capabilities
• Exercises to evaluate prevention readiness and techniques
• “Red Team” (force on force) exercises
• Interoperable communications exercise
• Critical infrastructure vulnerability, protection, and/or attack exercises
IX. CITIZEN CORPS
PROGRAM
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IX. CITIZEN CORPS PROGRAM
A. Program Overview
The FY05 CCP funds will be used to support Citizen Corps Councils with all-hazards
planning, public education and communication, training, exercises, equipment,
management of Citizen Corps programs and activities, and equipping volunteers who
have a role in disaster response. The FY05 Citizen Corps funds provide resources for
states and local communities to: 1) bring together the appropriate leadership to form
and sustain a Citizen Corps Council; 2) develop and implement a plan for the
community to engage all citizens in hometown security, community preparedness, and
family safety, and incorporate citizen participation in existing plans and activities; 3)
conduct public education and outreach in order to inform the public about their role in
crime prevention, mitigation, emergency preparedness for all hazards, and public health
measures, including bioterrorism, and to encourage personal responsibility and action;
4) develop and implement Citizen Corps programs offering training and volunteer
opportunities to support emergency management and emergency responders, disaster
relief organizations, and community safety efforts, to include: CERT, Neighborhood
Watch, VIPS, MRC, Fire Corps, and Citizen Corps affiliates; and, 5) enable citizens to
participate in exercises and receive training and equipment.
B. Program Requirements
Expenditures must advance the Citizen Corps mission to have everyone participate in
hometown security through preparedness, training, and volunteer service. In addition to
HSGP funding, state and local governments are encouraged to consider all sources of
funding, to include private sector funding, to leverage existing materials, to pursue
economies of scale and economies of scope in pursuing this mission, and to make
expenditures that benefit multiple programs.
State Responsibilities
The SAA must coordinate all citizen education, communication, training, and
participation activities funded with any source of HSGP funds with the state agency
currently responsible for the administration of Citizen Corps. This includes reviewing
and revising the State and Urban Area Homeland Security Strategies, as well as
providing input in the HSPD-8 compliance and the UTL, NIMS, national awareness
training, catastrophic incident planning, and other initiatives. A listing of current state
Citizen Corps POC is located at http://www.citizencorps.gov/councils/ and
clicking on “State Citizen Corps POC List” on the left hand side. In turn, the SAA
must be included on the state Citizen Corps Council.
States Citizen Corps points of contact must also continue to provide program
management via the administrative section of the Citizen Corps website,
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http://www.citizencorps.gov, to include managing the approval process for local Citizen
Corps Councils, managing administrative section passwords for local users, and
managing subscribers and e-mails to subscribers.
Reporting Requirements
In addition to the ISIP and BISR reporting requirements for CCP as a component of
HSGP, states and communities are also expected to register and update
information regarding their Citizen Corps Councils and programs/activities on the
Citizen Corps website and on other relevant programmatic websites.
C. Authorized Program Expenditures
Consistent with SHSP, CCP funding may be used in any of five categories:
1. Planning (to include evaluation, public education/outreach, and citizen
participation in volunteer programs and activities)
2. Equipment
3. Training
4. Exercises
5. M&A costs associated with implementing and managing CCP.
Expenditures must advance the Citizen Corps mission to have everyone participate in
hometown security through preparedness training, exercise, and volunteer service.
Please refer to Appendix A: Authorized Program Expenditures for additional information
on authorized and unauthorized expenditures.
Planning
Establish and/or enhance Citizen Corps Councils, to include planning and
evaluation. Costs associated with activities to develop and implement a state, regional,
local, or tribal Citizen Corps all-hazards strategic plan to engage all the full community
in hometown security. Citizen Corps implementation plans are not required to be
submitted to ODP, but rather are essential tools to guide new and existing Citizen Corps
Councils in achieving their goals and objectives for the community. Citizen Corps
implementation plans should include:
• Evaluate the community’s existing all-hazards plans, vulnerabilities, needs, and
citizen preparedness and participation
• Implement Citizen Corps programs at the community level to support local
emergency responders, which include CERT, MRC, Neighborhood Watch, VIPS,
Fire Corps, and affiliate programs
• Conduct public education campaigns, including promoting the Ready.gov
preparedness message
• Provide training for citizens, trainers, and council members
• Develop targeted outreach for all ages, ethnic and cultural groups persons with
disabilities, and special needs populations
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• Provide opportunities for volunteers with special skills and interests
• Ensure residents are connected to emergency alert systems
• The use of citizens/volunteers for surge capacity
• Organize special projects and community events
• Encourage cooperation and collaboration among community leaders
• Cross-leverage Citizen Corps programs
• Leverage existing resources, such as SHSP, UASI, and other DHS programs,
Special Volunteer Grants from the Corporation for National and Community
Service, or those issued at the community level, to include private sector funding
• Capture smart practices, and evaluate and report accomplishments.
In addition, efforts to include public communication and citizen participation in
jurisdiction plans, such as EOPs, and to have citizen advocates sit on existing advisory
councils and task forces is allowable.
It is also critical to evaluate the impact of Citizen Corps Councils and Citizen Corps
programs on the community. Expenditures to evaluate Citizen Corps Council programs
and activities is allowable, to include assessing the effectiveness in engaging citizens,
the impact on the community safety and quality of life, and a cost/benefit analysis.
Public Education/Outreach. Citizen Corps Councils may develop or reproduce public
education and outreach materials to educate and engage the public; conduct outreach
and hold community events; and develop alerts, warning, and communications systems
to the public, to include tailored materials and communications to special needs
populations.
Allowable expenditures include materials to support a public awareness campaign,
media coverage, outreach activities, and public events, such as: public safety
announcements; printed advertising; billboards; promotional flyers; booth displays;
conference backdrops; podium signs; recognition pieces for Citizen Corps participants;
informational buttons, pins, key chains, clothing, badges, and magnets; newsletters,
posters, buck slips; and other materials that either educate the public, encourage the
public to participate, or recognize and support Citizen Corps partners and participants.
All materials must include the Citizen Corps logo whenever possible.
Citizen Participation/Volunteer Programs. One of the goals for Citizen Corps
Councils is to provide volunteer service opportunities across all emergency prevention,
preparedness and response disciplines, for community safety efforts, and for disaster
relief. Citizen Corps funding may be used to establish or enhance volunteer program
and volunteer recruitment efforts for Neighborhood Watch, CERT, VIPS, MRC and Fire
Corps; for the Citizen Corps affiliate programs; for other homeland security efforts at the
state and local level; for outreach and training activities; and to support the Citizen
Corps Council.
To assist local communities with engaging volunteers, Citizen Corps funds may be used
for costs including but not limited to: 1) recruiting; 2) screening/assessing; 3) training; 4)
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retaining/motivating; 5) a system to track activities and participants (in compliance with
applicable privacy laws); 6) recognizing; 7) evaluating volunteers; 8) the purchase of or
subscription to identification/credentialing systems to support the tracking of volunteers.
Equipment
Equipment for citizen participants is critical. Allowable equipment costs include:
equipment related to specific training or volunteer assignments and outfitting trainees
and volunteers with program-related materials and equipment, e.g. issuing CERT kits,
credentials/badges, and identifying clothing.
Training
Training is a central component of the Citizen Corps mission and training funding by
these grants can include all-hazards safety such as emergency preparedness; basic
first aid; life saving skills; crime prevention and terrorism awareness; public health
issues; mitigation/property damage prevention; safety in the home; CERT; search and
rescue skills; principles of NIMS/ICS, community relations, volunteer management; any
training necessary to participate in volunteer activities; or other training that promotes
community safety.
Training should be delivered in venues throughout the community, to include schools,
neighborhoods, places of worship, private sector, NGO, and government locations with
specific consideration to include all ages, ethnic and cultural groups, persons with
disabilities, and special needs populations. Jurisdictions are also encouraged to
incorporate non-traditional methodologies such as the internet, distance learning, home
study, and to leverage existing training provided via educational/professional facilities.
Pilot courses and innovative approaches to training citizens are encouraged.
Instruction for trainers and training to support the Citizen Corps Council members in
their efforts to manage and coordinate the Citizen Corps mission is also an allowable
use of the FY05 Citizen Corps funding.
Allowable costs include: 1) instructor preparation and delivery time (to include overtime
costs); 2) hiring of full- or part-time staff or contractors/consultants to assist with
conducting the training and/or managing the administrative aspects of conducting the
training; 3) quality assurance and quality control of information; 4) creation and
maintenance of a student database; 5) rental of training facilities; 6) printing course
materials to include instructor guides, student manuals, brochures, certificates,
handouts, newsletters and postage (although preference is for an electronic newsletter
with email addresses as part of the database unless the individuals or areas to be
served have limited access to electronic communications); 7) course materials specific
to the subject matter, such as instructor guides, student manuals, bandages, gloves, fire
extinguishers, mannequins; and 8) outfitting trainees and volunteers with programrelated
materials and equipment, e.g. issuing CERT kits, credentials/badges, identifying
clothing.
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Exercises
Exercises specifically designed for or to include citizens are allowable activities and may
include testing public warning systems, evacuation/shelter in place capabilities,
family/business preparedness, and participating in table-top or full scale emergency
responder exercises at the local, state, or national level, to include TOPOFF. Examples
of appropriate volunteer citizen support for emergency preparedness and response
exercises include, but are not limited to, assisting with planning the exercise,
implementation, to include CERT participation, backfilling non-professional tasks for
emergency responders deployed on exercise, administrative and logistical assistance
with exercise implementation, and providing simulated victims, press, and members of
the public; and participating in the after-action review.
Allowable costs include the costs associated with design, development, and conduct of
exercises specifically for citizens or to support the citizen component of emergency
responder exercises, to include preparing and debriefing citizens regarding their role in
the exercise.
X. EMERGENCY
MANAGEMENT
PERFORMANCE GRANTS
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X. EMERGENCY MANAGEMENT PERFORMANCE GRANTS
A. Program Overview
With funds provided through the FY05 EMPG, states have the opportunity to structure
individual emergency management programs based on identified needs and priorities
for strengthening their emergency management capabilities, while addressing issues of
national concern. States have the flexibility to develop intrastate emergency
management systems that encourage the building of partnerships which include
government, business, volunteer, and community organizations. It is essential that
state and local governments coordinate and establish strong working relationships with
neighboring jurisdictions, which may include all levels of government, including tribal
governments, in developing emergency management capabilities under this grant for
joint operations, effective mutual aid and support locally, regionally, state-to-state and
nationwide.
Comprehensive emergency management should include local emergency management
programs. Local emergency management organizations should remain informed and
have the opportunity to provide input to its states’ planning processes. Although DHS
expects states to include support for their local jurisdictions in its EMPG programs, each
state is responsible for determining the appropriate amount of funding to be passed
through to support the development or enhancement of local emergency management
capabilities.
Developing EMPG Work Plans
States should use the EMAP Standards structure and NIMS (as published by DHS on
March 1, 2004) as a basis for developing work plans and performance evaluations for
EMPG. As a condition for receipt of funds, states must comply with FY05 NIMS
implementation requirements (see NIMS page 47 for further information). In addition,
states are encouraged to begin to move toward compliance with the EMAP standards.
Additional information on the EMAP standards is available at
http://www.emaponline.org/index.cfm; additional information on NIMS is available at
http://www.fema.gov/nims. Results from other assessments can also serve as a
reference, and can include specific targeting of the EMPG to those areas identified as
needing improvement.
B. Cost Share Requirements
EMPG has a 50% federal and 50% state cost-share cash or in-kind match requirement.
Unless otherwise authorized by law, federal funds can not be matched with other
federal funds. In accordance with federal guidelines and DHS OGC rulings, match
requirements are waived for the U.S. Territories of American Samoa, Guam, the Virgin
Islands, and the Commonwealth of the Northern Mariana Islands. For further
information on allowable sources and types of funds, timing of match contributions, and
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records for match, please consult the OJP Financial Guide, Chapter 3 available at
http://www.ojp.usdoj.gov/FinGuide/. DHS administers cost sharing requirements in
accordance with 44 CFR 13.24, which is located at
http://a257.g.akamaitech.net/7/257/2422/04nov20031500/edocket.access.gpo.gov/cfr_2
003/octqtr/44cfr13.24.htm.
C. Program Requirements
ODP does not require a specific number of activities or projects but expects that the
statement of work proposed will be proportionate to the level of the state emergency
management program and of appropriate emergency management components, as
evidenced by the EMAP assessment, other hazards/vulnerability and needs
assessments, the mitigation plan, post-disaster reviews, corrective actions programs,
and the EMPG funding appointed to those tasks.
EMPG is a consolidated grant, which originally included programs that provided formula
and project grants. The current program is primarily a formula grant providing support
for essential expenses including salaries, benefits, equipment, supplies, maintenance of
facilities, and other necessary costs of state and local emergency management
departments and agencies. The normal capability-building program activities of the
state and local emergency management organizations should be described in the
program narrative, categorized by emergency management functions as described
above. Special projects are also allowable under EMPG, as they were under several of
the original constituent programs. Such projects may be included within the framework
of the emergency management functions or presented separately.
A state’s EMPG should establish the framework for accountability, which should be based
on results, not processes. In order to develop a results-oriented program, a state should be
able to answer the following questions:
• What are we trying to achieve or what is the problem needing a solution?
• How will we get there?
• How will we know if we are getting there?
Once the state selects the issue it would like to address, it can determine the issue-related
goal (the desired outcome), the strategies the state will pursue to achieve the goal, and how
it will recognize progress in achieving the outcome.
Grantees must maintain and expand any necessary capabilities to have an effective
emergency management program. These capabilities must be able to address allhazards
emergencies. ODP will work with the states as necessary to ensure that proposed
goals, objectives, and projections of accomplishments include, or provide for the
development of, appropriate baselines, tracking methodology(ies), and reporting
mechanisms.
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D. Authorized Program Expenditures
Funds provided through the EMPG program shall be used for emergency management
programs to accomplish the following initiatives:
a) Emergency Management Organization Program. Programs must continue to
fund all necessary aspects of the emergency management program that support
day-to-day preparedness, response, and recovery activities, including mitigation
efforts.
b) Homeland Security Assessment and Strategy Integration. Ensure that
EMPG strategic goals, objectives, operational capabilities, and resource
requirements are adequately incorporated in and reflective of the State
Homeland Security Strategy. Local emergency management agencies
implementing EMPG programs should also ensure alignment with the Urban
Area Homeland Security Strategy, where appropriate. EMAs and/or departments
should coordinate these EMPG program strategic goals and objectives with state
and urban area operational plans and procedures accordingly.
c) NRP and NIMS. Emergency management programs must update and/or modify
their operational plans, and training and exercise activities, as necessary, to
achieve conformance with the NRP and the NIMS implementation guidelines,
coordinating structures, processes, and protocols, as required. Federal
departments and agencies are mandating adoption of NIMS by state and local
organizations as a condition for federal preparedness assistance after October 1,
2004. For more information on NIMS compliance please consult
http://www.fema.gov/nims.
d) EMAP. Emergency management programs should take all necessary steps to
move towards compliance with EMAP standards. Shortfalls identified during the
baseline process should be remediated; if the program has been accredited, any
remaining program shortfalls should be remediated.
All initiatives in the EMPG program should align with the 15 emergency management
functions (EMFs) in EMAP. These functions can be addressed through the following
categorical activities, which include planning, organization, equipment, training,
exercise, and M&A categories. These following categorical activities also include
example activities that are allowable under the FY05 EMPG program.
All costs under these categories must be eligible under OMB Circular No. A-87,
Attachment A, located at http://www.whitehouse.gov/omb/circulars/index.html. In
summary, this includes:
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Table 8. FY05 EMPG Allowable Costs
Personnel Services
This includes salary, overtime, compensating time off and associated fringe
benefits.
Travel Recipients must follow their own established travel policy. In lieu of that,
recipients must follow the state’s travel policy.
Equipment This is defined as property having a useful life of more than one year and
an acquisition cost of $5,000 or more per unit.
Operating Expenses This includes all items not defined as equipment such as printing, postage,
communications, data processing, etc.
Contractors/Consultants This includes funds allocated for contractual agreements.
Pass through to Locals This includes the funds being passed through to cities and/or other political
entities.
Indirect Costs Rate is based on what is included in the indirect cost proposals approved by
the cognizant federal agency.
The following sections highlight allowable activities under the EMPG program. See
Appendix A: Authorized Program Expenditures for additional specific programmatic
guidance regarding these activities.
Planning
EMPG funds may be used for a range of emergency management planning activities,
including the following:
• Activities and costs related to EMAP accreditation process (state and/or local)
• Planning for the implementation of NIMS
• Modifying existing incident management and EOPs to ensure proper alignment
with the NRP coordinating structures, processes, and protocols
• Developing/enhancing comprehensive emergency management plans
• Developing/enhancing all-hazards mitigation plans
• Developing/enhancing catastrophic incident plans
• Developing/enhancing logistics and resource management plans
• Developing/enhancing evacuation plans, including sheltering efforts
• Developing/enhancing mass casualty and mass fatality plans
• Developing/enhancing financial and administrative procedures for use before,
during, and after disaster events in support of a comprehensive emergency
management program
• Public education and awareness
• Developing/enhancing a crisis communications plan
• Updating the State Homeland Security Strategy to address all-hazards
• Developing/enhancing other response and recovery plans
• Developing/enhancing emergency management plans to integrate citizen /
volunteer resources and participation
• Conducting a hazard analysis and risk assessment
• Other EMPG related planning activities.
Organization
EMPG funds may be used to support the following emergency management related
organizational activities:
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• Emergency management routine activities, staffing and response and recovery
operations
• Other EMPG related organization activities
Equipment
EMPG funds may be used for specialized equipment acquisition from select equipment
categories listed in the FY05 AEL, which is available online through the RKB at
http://www.rkb.mipt.org. For more information on allowable equipment categories,
please refer to Appendix A: Authorized Program Expenditures. The select allowable
equipment categories include the following:
• Geographic Information Systems (GIS) related equipment
• EOC equipment
• Other EMPG related activities.
Training
EMPG funds may be used for a range of emergency management-related training
activities to enhance the capabilities of state and local personnel, including the
following:
• Developing/enhancing systems to monitor training programs
• Conducting all-hazards emergency management training, including NIMS
• Attending EMI training or delivering EMI train-the-trainer courses in the states as
allowed previously under EMPG and not limited to terrorism-related courses
• Other EMPG related training activities
Exercises
EMPG funds may be used to design, develop, conduct, and evaluate emergency
management related exercises. Exercises must be consistent with the principles
outlined in the HSEEP, as well as applicable existing emergency management
standards. Activities include the following:
• Developing/enhancing systems to monitor exercise programs
• Conduct of all-hazards exercises, based on the likely hazards / scenarios a
jurisdiction may encounter
• Conducting emergency management exercises, while incorporating NIMS
• Other EMPG related exercise activities.
XI. METROPOLITAN
MEDICAL RESPONSE
SYSTEM
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XI. METROPOLITAN MEDICAL RESPONSE SYSTEM
A. Program Overview
The FY05 MMRS program assists designated localities with funding to write plans,
develop training, purchase equipment and pharmaceuticals, and conduct exercises
related to catastrophic incidents, whether terrorist or natural disaster.
The MMRS program enables jurisdictions to achieve an enhanced local capability to
respond to mass casualty events during the first hours of a response until significant
external assistance can arrive. MMRS jurisdictions are prepared to respond to the
range of mass casualty incidents—from weapons of mass destruction, epidemic
outbreaks, natural disasters, and large-scale hazardous materials events.
MMRS establishes linkages among emergency responders, medical treatment
resources, public health officials, emergency management offices, volunteer
organizations and other local elements working together to reduce the mortality and
morbidity that would result from a catastrophic incident.
The MMRS program also emphasizes enhanced mutual aid with neighboring localities
(MMRS “operational area”) and state and federal agencies. Additional information is
provided at http://mmrs.fema.gov.
The FY05 MMRS program will support the MMRS jurisdictions in:
• Ensuring that their strategic goals, objectives, operational capabilities, and
resource requirements are adequately incorporated in State and Urban Area
Homeland Security Assessment and Strategy documents
• Revising their operational plans to reflect State and Urban Area Homeland
Security Assessments and Strategies
• Achieving preparedness in the eight Capability Focus Areas, which should
also be coordinated with HSPD-8 efforts
• Ensuring the maintenance of MMRS capabilities established through the
completion of baseline deliverables and other previous activities supported by
federal funding.
Period of Performance. The period of performance for FY05 HSGP, including FY05
MMRS, is 30 months, from October 1, 2004 through March 31, 2007. A portion of this
period overlaps with deliverables schedules under the FY03 MMRS jurisdictional
contracts and FY04 MMRS grants. Grant recipients, to the greatest extent possible,
should correlate the funding from FY05 MMRS with the ongoing activities funded by the
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other two vehicles to determine the best allocation of funds between ongoing and new
initiatives.
B. Program Requirements
All provisions of the FY05 HSGP Program Guidelines, Sections I through V, and
appendices, apply to MMRS unless explicitly stated otherwise herein.
The MMRS program was transferred to SLGCP on October 3, 2004. It is essential that,
as early as possible during the grant period of performance, information regarding each
MMRS jurisdiction’s operational area, operational plans, mutual aid arrangements, and
capabilities; training, equipping, and exercising activities and schedules be fully
coordinated with the State, and where relevant, Urban Area Homeland Security
Assessment and Strategy documents.
In addition, MMRS jurisdictions are strongly encouraged to use ODP services regarding:
the preparation and implementation of homeland security assessments and strategies,
HSPTAP, the NDPC for training, and HSEEP. ODP Preparedness Officers will serve as
the principal POCs for MMRS jurisdictions in accessing these services. Other DHSprovided
support relevant to MMRS capabilities enhancement includes the NIC and the
Office of Interoperability and Compatibility.
Allocation of Funds
Recognizing that MMRS is inherently multi-jurisdictional, funds must be expended to
support the regional MMRS to establish and sustain enhanced local capabilities. States
are encouraged to pass through 100% of grant funds, but may retain 20% to facilitate
strategy assessment and capability integration between the state and MMRS
jurisdictions. States must have written concurrence between the SAA and MMRS
Steering Committee Chair to use funds to:
• Support regional MMRS overall
• Advise and assist MMRS jurisdictions in awareness of, and in providing input
to, State and Urban Area Homeland Security Assessments and Strategies
• Ensure that MMRS-related mutual aid agreements conform with statewide
and state regional resource management requirements and capabilities
• Advise and assist MMRS jurisdictions with HSPD-8 preparedness
assessments and reporting.
Allowable Costs
Funds provided through this grant shall be used by MMRS jurisdictions to accomplish
the following activities:
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a) Homeland Security Assessment and Strategy Integration
• Ensure that MMRS strategic goals, objectives, operational capabilities, and
resource requirements are adequately incorporated in and reflective of the
State and Urban Area Homeland Security Assessment and Strategy
• Coordinate with state and urban area operational plans and procedures
b) NRP and Planning Scenarios. MMRS jurisdictions should update/modify their
operational plans, and training and exercise activities as necessary to achieve
conformance with the NRP coordinating structures, processes, and protocols, and
the HSC Planning Scenarios, which are expected to be available soon.
c) Capability Focus Areas. The same eight Capability Focus Areas (CFAs) that were
identified for FY04 MMRS are again available for FY05 MMRS. For FY05 MMRS, all
CFAs, except number 6, are considered to be mandatory. All MMRS jurisdictions
should endeavor to meet the extent of preparedness described therein. The eight
CFAs are:
1. Radiological medical and health effects preparedness to manage exposed and
contaminated victims, population protection, and environmental health impacts of
a radiological release/nuclear detonation by terrorists. MMRS operational
planning must address radiological release/nuclear detonation for the effects of a
radiological dispersal device, an improvised nuclear device, or a designed
nuclear warhead. Visit the American College of Radiology at
http://www.acr.org/s_acr/index.asp for more information on medical
preparedness health impacts of a radiological release/nuclear detonation by
terrorists.
• Coordinate with medical society MMRS Steering Committee member to
partner with the radiology departments in jurisdiction’s local area hospitals
and medical societies on impact of radiological medical preparedness on
routine medical practice (i.e. routine work of hospital radiology department
may be dramatically different from essential capabilities required for local
medical preparedness).
• Coordinate with hospital, medical, and EMS MMRS Steering Committee
members to partner with local medical radiology departments and emergency
medical services to identify the radiological medical management and
treatment duties delegated to emergency responders.
• Coordinate with local health department MMRS Steering Committee member
all public health educational and message programs, designed for radiological
release/nuclear incidents.
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• Coordinate all training needs for radiological medical and health effects
preparedness, including Continuing Medical Education (CME) and Continuing
Nursing Education (CNE) courses.
• Identify radiation and nuclear detection equipment that identifies nuclear
elements released in a radiological release/nuclear detonation.
• Identify PPE safe for emergency responders and safe for initial remediation
workers, the location and type of PPE, and ensure equipment is in
accordance with DHS equipment standards, which may be found at
http://www.dhs.gov/dhspublic/interapp/editorial/editorial_0420.xml. Ensure
agreements are in place to access equipment if needed, complete with
timelines and identified skilled personnel to operate the equipment.
• Be prepared to provide treatment for victims of a radiological/nuclear incident,
such as decontamination, immediate medical treatment, reception centers,
mass care shelters, and a plan to address the local mental health services,
needed by the worried well.
• Research lessons learned about potential unknown human health effects of a
radiological release/nuclear detonation. Consider ‘lessons learned’ from
documented and alleged human health consequences of the World Trade
Center incident, where individuals were potentially exposed to chemical
byproducts released by an explosion of mixtures of several unknown
chemicals, potentially enhancing their toxicity in exposed individuals.
In establishing/enhancing the capabilities described above, the revised
MMRS threshold capacity levels for catastrophic incident response planning
for a radiological release/nuclear detonation are as follows. Detailed
guidance on the implementation of the HSC Planning Scenarios may change
these thresholds.
o Jurisdictions ranked 1-21 by population on the UASI Program list: 25,000
immediate deaths; 100,000 contaminated victims (50,000 acutely exposed
and 50,000 moderately exposed); and 300,000 displaced persons.
o Jurisdictions ranked 22-50 by population on the UASI Program list: 15,000
immediate deaths; 50,000 contaminated victims (25,000 acutely exposed
and 25,000 moderately exposed); and 200,000 displaced persons.
o Remaining MMRS jurisdictions: 7,500 immediate deaths; 25,000
contaminated victims (10,000 acutely exposed and 15,000 moderately
exposed) and 100,000 displaced persons.
2. Ensure operational viability of mass care shelters and medical treatment
facilities. Mass care shelter planning should be coordinated with the American
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Red Cross. The public must be made aware of where these shelters are, and
procedures for entrance.
• Revise or update current plans to include the provision of hazardous/toxic
substances portal and point detection and monitoring, decontamination and
public safety support to mass care shelters and medical treatment facilities by
designated personnel and equipment.
• Consider the establishment of reception centers, which consolidate
monitoring, triage, decontamination, and registration of affected persons.
• Identify agent antidotes by types and dosage volumes and planning for
storage, dispersal, and dispensing, and awareness of how agent antidote
dosages may impact the health of vulnerable populations (i.e. immunesuppressed
individuals, children).
• Ensure that alternate medical treatment facilities have immediately available
electric power, water and sewer, environmental controls, and other necessary
infrastructure support to become operationally viable on short notice.
3. Emergency Alerting System/Emergency Public Information. Review and revise
planning for pre-event emergency public information message content
scripting/templates and arrangements for multiple modes of message
dissemination. Ensure that the distinctive characteristics of radiological,
biological, and chemical agents are reflected in template messages and that selfhelp
contamination avoidance and decontamination actions are also included.
4. NIMS Compliance. Compliance with NIMS is a condition for award of this grant.
NIMS is a comprehensive incident response system, developed by DHS as
required by HSPD-5. The NIC will oversee all aspects of NIMS, including the
development of NIMS-related standards and guidelines and the provision of
guidance and support to incident management and responder organizations as
they implement the system. The NIC also will validate compliance with NIMS
and NRP responsibilities, standards, and requirements.
Major components of NIMS include incident command and management,
preparedness, resource management, communications and information
management, supporting technologies, and ongoing management and
maintenance. See Section IV: National Initiatives for NIMS guidance.
Implementation of NIMS concepts, procedures, and functions in MMRS
jurisdictions includes the following activities regarding each MMRS operational
area:
• The identification of local units of government, appropriate state departmental
regional/area boundaries, a description of how mass casualty incident
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response planning is coordinated among them, and a listing of relevant
mutual aid agreements in effect.
• The incident command/unified command/area command system description
for the MMRS operational area, to include a copy of the incident command
Standard Operating Procedure, organization chart, and roster of predesignated,
qualified incident commanders.
• Description of the operational response resource management process and
supporting automated system(s), with emphasis on: identifying and typing
resources; certifying and credentialing personnel; inventorying resources;
identifying resource requirements; ordering and acquiring resources; and
tracking and reporting resources.
• NIMS implementation training; to document all related training to implement
NIMS capability with MMRS funding.
• Interoperability of command and control and operations communications to
include standards/requirements, network diagrams, communications
management plan, and first tier frequency, circuit, and device allocations as
stated within DHS’s S&T Directorate
(http://www.dhs.gov/dhspublic/interapp/editorial/editorial_0095.xml) and their
Statement of Requirements (SoR) (http://www.safecomprogram.gov/) for
Interoperability.
5. Quarantine and Isolation Preparedness for a very large number of persons and
sizeable geographic area(s). Ensure the adequacy of preparedness for this
functional capability area, to include:
• Identification of local officials (by office title) with appropriate legal authority to
establish quarantine/isolation areas, or to rapidly obtain such action from
state officials (identified by position title) with necessary legal authority.
• Resource allocation of law enforcement personnel to enforce
quarantine/isolation areas.
• Work with MMRS Steering Committee members from local health department
and hospital system to publicize local public health and hospital capabilities to
do surveillance on and identify infectious agents endemic to the jurisdiction’s
metropolitan area, such as the animal-form of anthrax, and new infectious
diseases, such as SARS.
• Coordinate with MMRS public health, medical and hospital Steering
Committee members to create awareness of emerging infectious diseases
that may be candidates for future quarantine and isolation actions, such as
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new infectious diseases that no one knows how people become infected,
and/or no one knows how people become cured.
• Partner with MMRS public health Steering Committee members on drafting
emergency public information messages about the establishment of
quarantine/isolation areas.
• Explain why quarantine is a public health intervention taken only when other
actions have failed. Describe previous actions taken by the local public
health actions to control the spread of the infectious disease, and their failure
to prevent infectious disease transmission.
• Describe the public health/medical emergency requirements of the specific
disease outbreak containment practices decided by the health department
and included in the quarantine protocol, and actions to be carried out by
individuals inside and outside of the quarantine/isolation areas.
6. GIS. Jurisdictions should explore the types of GIS data available through the
Federal Geospatial-One-Stop portal, located at http://www.geo-one-stop.gov/,
and apply any of the available GIS tools deemed appropriate to support MMRS
risk assessment, planning, training, exercising, and operations. MMRS funds
may be spent on activities, when it is determined that "no cost" options are not
available, which combine, blend, populate with jurisdictionally-specific data,
and/or make interactive, sets of automated GIS tools; or which achieve
interoperability between automated GIS tools with other electronic information in
support of MMRS requirements. See Appendix I: Geospatial Guidance.
7. Updated MMRS Steering Committee. MMRS Steering Committee establishment
and operation requirements, as stipulated among the deliverables under the
original MMRS jurisdictional contact, remains in effect. Additional guidance
updating its composition and emphasizing readiness is as follows:
• Revise MMRS Steering Committee membership to include the following
additional members:
o Local homeland security advisor/coordinator representative, if
applicable
o UAWG representative, if applicable
o Representatives from entities with which the jurisdiction has a mutual
aide agreement
o Medical Reserve Corps or Citizen Corps representatives.
• Examine the relationship between the MMRS Steering Committee into the
jurisdiction’s emergency management system and homeland security
coordination organizations. Should the totality of recommended membership
for the MMRS Steering Committee be present in another existing
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organization, i.e., UAWG, then that other organization may take on and carry
out the functions of the MMRS Steering Committee, or establish a
subcommittee to accomplish the same mission and functions. The MMRS
Steering Committee, whatever its form, may establish sub-committees,
working groups, etc., as it deems best.
• The MMRS Steering Committee’s authorities and activities shall include, but
not be limited to: implementation of federal MMRS program guidance; review
and approval of all deliverables and/or activities required of MMRS
jurisdictions via this grants guidance, and through all previously federallyissued
MMRS contract statements of work, modifications thereto and
associated guidance material.
• The primary MMRS jurisdiction must inform the federal regional project officer
and the MMRS National Program Office of the organizational name, and
membership (name, title, organizational affiliation) of the MMRS Steering
Committee, or other organization functioning as the MMRS Steering
Committee, the jurisdiction’s POC, and any standing sub-committees/working
groups.
• The MMRS Steering Committee will oversee all activities, accomplishments,
and products resulting from approved MMRS special projects, and establish
and maintain a jurisdictional master library of MMRS program material, in
electronic and paper forms.
8. Pharmaceutical Cache Management and Status Reporting. In support of CDC’s
Cities Readiness Initiative, all MMRS jurisdictions which are in UASI urban
areas must update their Mass Prophylaxis plans to be able to provide for the
distribution of pharmaceuticals to their entire population within 48 hours of
receiving an allocation from the Strategic National Stockpile. In addition, all
MMRS jurisdictions must maintain on file an inventory of the MMRS local
pharmaceutical cache, in Excel™ format, to be provided electronically to DHS
upon request. This inventory must include the following data elements:
• Pharmaceutical products contained and inventory of jurisdiction’s
pharmaceutical cache in units of dosage
• Names and official titles of individuals authorized to release cache
pharmaceuticals
• Each product's Lot Number, cost, and expiration date
• Pharmaceutical storage management and conditions, including percentage
stored in hospitals and other fixed facilities, and percentage forward-deployed
on emergency responder vehicles.
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C. Sustainment
Inasmuch as the MMRS program includes capabilities in addition to the Capability
Focus Areas, MMRS jurisdictions should ensure that they maintain, or further enhance,
the capabilities established through the completion of baseline deliverables and other
previous activities supported by federal funding.
APPENDIX A
AUTHORIZED PROGRAM
EXPENDITURES
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
A-1
This appendix serves as a guide for program expenditure activities for all programs under HSGP and only under the
programmatic context and guidance provided in each program’s section (Sections VI through XI of this solicitation).
Grantees are encouraged to contact their state or territory’s ODP Preparedness Officer regarding authorized and
unauthorized expenditures. Funding may be used in the following categories:
1. Planning
2. Organizational Activities
3. Equipment Acquisitions
4. Training
5. Exercises
6. Management and Administrative
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
A-2
Allowable Planning Costs
HSGP funds may be used for the following types of planning activities:
Allowable Planning Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Public Education/Outreach
Develop and implement homeland security support programs and adopt
ongoing DHS national initiatives
Develop and enhance plans and protocols
Develop or conduct assessments
Establish, enhance, or evaluate Citizen Corps-related volunteer programs
Hiring of full or part-time staff or contractors/consultants to assist with
planning activities (not for the purpose of hiring public safety personnel
fulfilling traditional public safety duties)
Conferences to facilitate planning activities
Materials required to conduct planning activities
Travel/per diem related to planning activities
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
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Allowable Planning Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Overtime and backfill costs – Payment of overtime expenses will be for
work performed by award (SAA) or sub-award employees in excess of the
established work week (usually 40 hours) related to the planning activities
for the development and implementation of the programs under HSGP.
These costs are allowed only to the extent the payment for such services
is in accordance with the policies of the state or local unit(s) of government
and has the approval of the state or the awarding agency, whichever is
applicable. In no case is dual compensation allowable. That is, an
employee of a unit of government may not receive compensation from
their unit or agency of government AND from an award for a single period
of time (e.g., 1:00 pm to 5:00 pm), even though such work may benefit
both activities. Fringe benefits on overtime hours are limited to Federal
Insurance Contributions Act (FICA), Workers’ Compensation and
Unemployment Compensation.
Other projects areas with prior approval from ODP
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
A-4
Allowable Organizational Activities
Please see page 26 for further information regarding eligibility of organizational and operational costs.
HSGP funds may be used for the following organizational activities:
Authorized Organizational Activities
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Overtime for information, investigative, and intelligence sharing activities (limited to 25% of the
allocation)
Reimbursement of select operational expenses associated with increased security measures at
critical infrastructure sites, incurred during time periods of DHS-declared Code Orange (limited
to 25% of the allocation)
Funds may only be used in the following authorized categories
• Backfill and overtime expenses for staffing state or local EOCs
• Hiring of contracted security for critical infrastructure sites
• Public safety overtime
• National Guard deployments to protect critical infrastructure sites
• Increased border security activities in coordination with CBP.
• Hiring of full- or part-time staff or contractors for emergency management activities
• Hiring of contractors/consultants for participation in information/intelligence analysis and
sharing groups or intelligence fusion center activities (limited to 25% of the allocation)
Note: Except for EMPG, HSGP is not intended as a hiring program and funds may not be used to support the
hiring of sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant
traditional public safety positions and responsibilities.
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
A-5
Allowable Equipment Costs
This table highlights the allowable equipment categories for HSGP. The comprehensive listing of allowable equipment
categories and items is found on the web-based AEL on the RKB at http://www.rkb.mipt.org.
Authorized Equipment Cost Categories
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Personal Protection Equipment (PPE)
Explosive Device Mitigation and Remediation Equipment
CBRNE Operational Search and Rescue Equipment
Information Technology
Cyber Security Enhancement Equipment
Interoperable Communications Equipment
Detection Equipment
Decontamination Equipment
Medical Supplies and Limited Pharmaceuticals
Power Equipment
CBRNE Reference Materials
CBRNE Incident Response Vehicles
Terrorism Incident Prevention Equipment
Physical Security Enhancement Equipment
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
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Authorized Equipment Cost Categories
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Inspection and Screening Systems
Agricultural Terrorism Prevention, Response, and Mitigation Equipment
CBRNE Response Watercraft
CBRNE Aviation Equipment
CBRNE Logistical Support Equipment
Intervention Equipment
Other Authorized Equipment
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
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Allowable Training Costs
HSGP may be used for the following training activities:
Allowable Training-related Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Overtime and backfill funding for emergency preparedness and response personnel
attending ODP-sponsored and approved training classes - Payment of overtime
expenses will be for work performed by award (SAA) or sub-award employees in excess of
the established work week (usually 40 hours). Further, overtime payments and backfill costs
associated with sending personnel to training are allowable, provided that it is ODPsponsored
training. These costs are allowed only to the extent the payment for such services
is in accordance with the policies of the state or unit(s) of local government and has the
approval of the state or the awarding agency, whichever is applicable. In no case is dual
compensation allowable. That is, an employee of a unit of government may not receive
compensation from their unit or agency of government AND from an award for a single period
of time (e.g., 1:00 pm to 5:00 pm), even though such work may benefit both activities. Fringe
benefits on overtime hours are limited to Federal Insurance Contributions Act (FICA),
Workers’ Compensation and Unemployment Compensation.
Grantees may also use ODP grant funds to cover overtime and backfill expenses for
part-time and volunteer emergency response personnel participating in ODP training.
These covered expenses may be specifically used for part-time, paid-for-call, paid-on-call,
and paid-per-call volunteer personnel, as well as stipends for volunteer firefighter personnel
and reimbursement of wages for volunteer responder personnel. Please see ODP
Information Bulletin #141, located at http://www.ojp.usdoj.gov/odp/docs/info141.htm,
for additional information and related requirements.
10
10 Course approvals for EMPG are not limited to courses listed in Appendix F: Federal Training Course List as EMPG is all-hazards in nature; therefore, all
EMI courses are eligible.
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
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Allowable Training-related Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Training Workshops and Conferences - Grant funds may be used to plan and conduct
training workshops or conferences to include costs related to planning, meeting space and
other meeting costs, facilitation costs, materials and supplies, travel, and training plan
development.
Full or Part-Time Staff or Contractors/Consultants - Full or part-time staff may be hired to
support training-related activities. Payment of salaries and fringe benefits must be in
accordance with the policies of the state or local unit(s) of government and have the approval
of the state or the awarding agency, whichever is applicable. The services of
contractors/consultants may also be procured by the state in the design, development,
conduct, and evaluation of CBRNE training. The applicant's formal written procurement
policy or the Federal Acquisition Regulations (FAR) must be followed.
Travel - Travel costs (i.e., airfare, mileage, per diem, hotel, etc.) are allowable as expenses
by employees who are on travel status for official business related to the planning and
conduct of the training project(s) or for attending ODP-sponsored courses. These costs must
be in accordance with state law as highlighted in the OJP Financial Guide. States must also
follow state regulations regarding travel. If a state or territory does not have a travel policy
they must follow federal guidelines and rates, as explained in the OJP Financial Guide. For
further information on federal law pertaining to travel costs please refer to
http://www.ojp.usdoj.gov/FinGuide.
Supplies - Supplies are items that are expended or consumed during the course of the
planning and conduct of the training project(s) (e.g., copying paper, gloves, tape, and nonsterile
masks).
Other Items - These costs include the rental of space/locations for planning and conducting
training, badges, etc.
Note: Except for EMPG, HSGP is not intended as a hiring program and funds may not be used to support the
hiring of sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant
traditional public safety positions and responsibilities.
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
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Allowable Exercise Costs
HSGP funds may be used for the following exercise activities:
Allowable Exercise-related Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Exercise Planning Workshop - Grant funds may be used to plan and conduct an Exercise
Planning Workshop to include costs related to planning, meeting space and other meeting
costs, facilitation costs, materials and supplies, travel and exercise plan development.
Full or Part-Time Staff or Contractors/Consultants - Full or part-time staff may be hired to
support exercise-related activities. Payment of salaries and fringe benefits must be in
accordance with the policies of the state or local unit(s) of government and have the approval of
the state or the awarding agency, whichever is applicable. The services of
contractors/consultants may also be procured to support the design, development, conduct and
evaluation of CBRNE exercises. The applicant's formal written procurement policy or the
Federal Acquisition Regulations (FAR) must be followed.
Overtime and backfill costs – Overtime and backfill costs associated with the design,
development and conduct of CBRNE exercises are allowable expenses. Payment of overtime
expenses will be for work performed by award (SAA) or sub-award employees in excess of the
established work week (usually 40 hours) related to the planning and conduct of the exercise
project(s). Further, overtime payments and backfill costs associated with sending personnel to
exercises are allowable, provided that the event being attended is an ODP sponsored exercise.
These costs are allowed only to the extent the payment for such services is in accordance with
the policies of the state or local unit(s) of government and has the approval of the state or the
awarding agency, whichever is applicable. In no case is dual compensation allowable. That is,
an employee of a unit of government may not receive compensation from their unit or agency of
government AND from an award for a single period of time (e.g., 1:00 pm to 5:00 pm), even
though such work may benefit both activities. Fringe benefits on overtime hours are limited to
FICA, Workers’ Compensation and Unemployment Compensation.
Grantees may also use ODP grant funds to cover overtime and backfill expenses for
part-time and volunteer emergency response personnel participating in ODP exercises.
These covered expenses may be specifically used for part-time, paid-for-call, paid-on-call, and
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
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Allowable Exercise-related Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
paid-per-call volunteer personnel, as well as stipends for volunteer firefighter personnel and
reimbursement of wages for volunteer responder personnel. Please see ODP Information
Bulletin #141, located at http://www.ojp.usdoj.gov/odp/docs/info141.htm, for additional
information and related requirements.
Travel - Travel costs (i.e., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by
employees who are on travel status for official business related to the planning and conduct of
the exercise project(s). These costs must be in accordance with state law as highlighted in the
OJP Financial Guide. States must also follow state regulations regarding travel. If a state or
territory does not have a travel policy they must follow federal guidelines and rates, as
explained in the OJP Financial Guide. For further information on federal law pertaining to travel
costs please refer to http://www.ojp.usdoj.gov/FinGuide.
Supplies - Supplies are items that are expended or consumed during the course of the
planning and conduct of the exercise project(s) (e.g., copying paper, gloves, tape, non-sterile
masks, and disposable protective equipment).
Other Items - These costs include the rental of space/locations for exercise planning and
conduct, exercise signs, badges, etc.
Note: Except for EMPG, HSGP is not intended as a hiring program and funds may not be used to support the
hiring of sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant
traditional public safety positions and responsibilities.
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
A-11
Allowable Management and Administrative Costs
HSGP funds may be used for the following M&A costs. See Management and Administrative Costs Guidance on page 25
for specific programmatic guidance.
Allowable M&A Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Hiring of full-time or part-time staff or contractors/consultants:
o To assist with the management of FY05 HSGP.
o To assist with design, requirements, and implementation of FY05 HSGP.
o To assist with the implementation and administration of the State Homeland Security
Strategy, as it may relate to the individual grant program.
Hiring of full-time or part-time staff or contractors/consultants and expenses related to:
o HSGP pre-application submission management activities and application requirements.
o Meeting compliance with reporting/data collection requirements, including data calls.
Development of operating plans for information collection and processing necessary to
respond to DHS/ODP data calls
Overtime and backfill costs – Payment of overtime expenses will be for work performed by
award (SAA) or sub-award employees in excess of the established work week (usually 40
hours) related to the M&A activities for the development and implementation of the programs
under HSGP. These costs are allowed only to the extent the payment for such services is in
accordance with the policies of the state or local unit(s) of government and has the approval of
the state or the awarding agency, whichever is applicable. In no case is dual compensation
allowable. That is, an employee of a unit of government may not receive compensation from
their unit or agency of government AND from an award for a single period of time (e.g., 1:00 pm
to 5:00 pm), even though such work may benefit both activities. Fringe benefits on overtime
hours are limited to Federal Insurance Contributions Act (FICA), Workers’ Compensation and
Unemployment Compensation.
Travel expenses
Meeting-related expenses (For a complete list of allowable meeting-related expenses, please
review the OJP Financial Guide at http://www.ojp.usdoj.gov/FinGuide).
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
A-12
Allowable M&A Costs
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Acquisition of authorized office equipment, including personal computers, laptop
computers, printers, LCD projectors, and other equipment or software which may be required to
support the implementation of the homeland security strategy
The following are allowable only within the period of performance of the grant program:
o Recurring fees/charges associated with certain equipment, such as cell phones, faxes,
etc.
o Leasing and/or renting of space for newly hired personnel to administer programs within
FY05 HSGP.
FY05 HSGP AUTHORIZED PROGRAM EXPENDITURES (VERSION 2.0, 12-22-2004)
A-13
Unauthorized Program Expenditures
HSGP funds may not be used for the following activities:
Unauthorized Program Expenditures
SHSP
UASI
LETPP
CCP
EMPG
MMRS
Expenditures for items such as general-use software (word processing, spreadsheet, graphics,
etc), general-use computers and related equipment (other than for allowable M&A activities, or
otherwise associated preparedness or response functions), general-use vehicles, licensing
fees, and weapons systems and ammunition.
X X X X X X
Construction and Renovation (see page 39 for guidance and exceptions). X X X X X X
Hiring of public safety personnel for the purposes of fulfilling traditional public safety duties. X X X X X
Activities unrelated to the completion and implementation of HSGP. X X X X X X
Other items not in accordance with the AEL or previously listed as allowable costs. X X X X X X
APPENDIX B
SAMPLE AWARD PACKAGE
B-1
SAMPLE AWARD PACKAGE
TAB 1: SAMPLE REVIEW OF AWARD
Office of Justice Programs
Post Award Instructions for ODP Awards
1. Review Award and Special Conditions Document.
Carefully read the award and any special conditions or other attachments. There is an
original plus one copy of the award page.
If you agree with the terms and conditions, the authorized official should sign and date
both the original and the copy of the award document page in Block 19. You should
maintain a copy and return the original signed documents to:
Office of Justice Programs
Attn: Control Desk - ODP Award
810 Seventh Street, NW – 5th Floor
Washington, DC 20531
If you do not agree with the terms and conditions, contact the awarding ODP
Preparedness Officer as noted in the award package.
2. Read Guidelines.
Become familiar with the “OJP Financial Guide” which is available through the internet
at the OJP, Office of the Comptroller website: http://www.ojp.usdoj.gov/oc/. New award
recipients are automatically placed on a mailing list to receive future Guides and their
change sets.
Up to 5 copies of the Guide may be ordered at no cost through: http://puborder.ncjrs.org
You may also order the Guide by calling 1-800-851-3420. Select #2 for publications,
select #1 to speak with a publications specialist.
B-2
TAB 2: SAMPLE POST AWARD INSTRUCTION
U.S. Department of Justice
Office of Justice Programs
Office of the Comptroller
Post Award Instructions
The OJP is currently responsible for the financial administration of grants awarded by
the ODP.
The following is provided as a guide for the administration of awards from ODP. Forms
and other documents illustrating each step are attached.
Step 1. Review Award and Special Conditions.
If you agree with the terms and conditions stated in the award, sign and date the award
document and the last page of the Special Conditions, and return to OJP. Notify an
ODP Preparedness Officer when Special Conditions have been met (refer to Step 1
attachment);
If you do not agree with the terms and conditions as written, contact an ODP
Preparedness Officer.
Step 2. Read Guidelines.
Read and become familiar with the OJP Financial Guide and related material
(refer to Step 2 attachment).
Step 3. Complete and Return Automated Clearing House (ACH) Form.
The ACH Vendor/Miscellaneous Payment Enrollment Form (refer to Step 3 attachment)
is used to arrange direct deposit of funds into the designated bank account.
Step 4. Access to Payment Systems.
OJP uses two payment systems: Phone Activated Paperless System (PAPRS) and
Letter of Credit Electronic Certification System (LOCES) (refer to Step 4 attachment).
Current LOCES users will see the addition of new ODP grants on the LOCES grant
number listing as soon as the ODP award acceptance has been received. PAPRS
grantees will receive a letter with the award package containing their PIN to access the
system and Grant ID information.
Step 5. Reporting Requirements.
Reporting requirements must be met during the life of the grant (refer to the OJP
Financial Guide for a full explanation of these requirements, special conditions and any
applicable exceptions). The payment systems contain edits which will prevent access
to funds if reporting requirements are not met on a timely basis. Refer to Step 5
attachments for forms, due date information, and instructions.
B-3
Step 6. Questions about your ODP award?
A reference sheet is provided containing frequently asked financial questions and
answers. If you have questions concerning this checklist or any financial aspect of your
award, contact the Office of the Comptroller’s Customer Service Center at 1-800-458-
0786 or by email at askoc@ojp.usdoj.gov. Customer Service staff are available from
9:00 a.m. to 6:00 p.m. EST, Monday-Friday.
.
APPENDIX C
TEMPLATE FOR MEMORANDUM
OF UNDERSTANDING
C-1
MEMORANDUM OF UNDERSTANDING/AGREEMENT
BETWEEN THE STATE OF (STATE) AND
THE (LOCAL GOVT TYPE) OF (LOCAL GOVT)
REGARDING STATE USE OF HOMELAND SECURITY GRANT FUNDING ON
BEHALF OF (LOCAL GOVT)
1. PARTIES. The parties to this Agreement are the State of (STATE) and the
(LOCAL GOVT TYPE) of (LOCAL GOVT).
2. AUTHORITY. This Agreement is authorized under the provisions of
[APPROPRIATE STATE LAW – PLEASE ATTACH A COPY].
3. PURPOSE. The purpose of this Agreement is to set forth terms by which
(STATE) shall expend Homeland Security Grant Funding on behalf of (LOCAL
GOVT). On (DATE), the United States Department of Homeland Security issued
grant number (GRANT NUMBER) to (STATE). Under this grant, the (STATE)
must allocate grant funding to (LOCAL GOVT). Under this grant, (LOCAL
GOVT) may authorize (STATE) to make purchases on behalf of (LOCAL GOVT),
provided that (LOCAL GOVT) and (STATE) enter into an Agreement on the
matter.
4. RESPONSIBILITIES:
a. (STATE)
(1) (STATE) shall assign title in all purchases to (LOCAL GOVT)
b. (LOCAL GOVT)
(2)
5. POINTS OF CONTACT. [Identify the POCs for the State and local
governments; including addresses and phone numbers (fax number, e-mail, or
internet addresses can also be included).]
6. OTHER PROVISIONS. Nothing in this Agreement is intended to conflict with
current laws or regulations of (STATE) or (LOCAL GOVT). If a term of this
agreement is inconsistent with such authority, then that term shall be invalid, but
the remaining terms and conditions of this agreement shall remain in full force
and effect.
7. EFFECTIVE DATE. The terms of this agreement will become effective on
(EFFECTIVE DATE).
8. MODIFICATION. This agreement may be modified upon the mutual written
consent of the parties.
C-2
9. TERMINATION. The terms of this agreement, as modified with the consent of
both parties, will remain in effect until [GRANT END DATE]. Either party upon
[NUMBER] days written notice to the other party may terminate this agreement.
APPROVED BY:
_________________________ _____________________
(Date) (Date)
APPENDIX D
GUIDANCE FOR
ISIP AND BSIR
D- 1
INITIAL STRATEGY IMPLEMENTATION PLAN (ISIP) AND
BIANNUAL STRATEGY IMPLEMENTATION REPORT (BSIR)
ODP will provide a new web application for submission of the ISIP and BSIR. This web
application will replace the prevision submission method using ISIP Excel Templates.
All reports must be completed and submitted to ODP electronically using the web
application. All information submitted to ODP through these reports is considered to be
dynamic. Each report submitted will be stored as a historical record of that submission.
Updates will be made during subsequent submissions. It is therefore critical that each
report submitted be comprehensive and include a thorough update of all information
requested. All reports must be transmitted via the web in accordance with ODPscheduled
submission deadlines. The URL to the new web application is
https://www.reporting.odp.dhs.gov/grants.
A. Initial Strategy Implementation Plan
For this grant process, applicants are not required to provide budget detail worksheets
with their application. However, grantees will be required to submit an ISIP to ODP via
the web application no later than 60 days after the grant award date. The ISIP is a
detailed report of the planned activities associated with ODP grant funding. The ISIP
will provide a complete account of how the state has complied with the requirement to
pass through 80% of all funds to local jurisdictions, and will also demonstrate how the
planned expenditure of grant funds at both the local and state levels will support the
goals and objectives outlined in the State Homeland Security Strategy. This will be
completed through the specific identification of a project or projects to be accomplished
by each subgrantee and by the state with funds provided during the grant award period.
All funds provided must be linked to one or more projects, which in turn must support
specific goals or objectives in the State or Urban Area Homeland Security Strategy.
States are reminded to keep a record of subgrantee budget worksheets and must make
them available for DHS review upon request.
This report must be completed for all funds retained by the state and for each
subgrantee, whether it is a local jurisdiction, other state agencies, or federallyrecognized
tribal nations. Allocation of all financial resources provided through the
FY05 HSGP must be used to fund the critical resource gaps identified by the local and
state homeland security assessments and to accomplish the goals and objectives laid
out in the State or Urban Area Homeland Security Strategy. To that end, it is imperative
that the state communicate the goals and objectives laid out in the State Homeland
Security Strategy to local jurisdictions to ensure an appropriate understanding of how
funds must be expended under this grant. Because states’ ISIP submissions reflect
expected expenditures, states may not update ISIP submission after ODP approval. All
changes in expenditures will be subsequently reflected in the BSIR.
D- 2
B. Biannual Strategy Implementation Report
Grantees will be required to submit updated strategy implementation information
biannually. BSIRs will satisfy the narrative requirement in Box 12 of the CAPR, which
are due within 30 days after the end of the reporting periods (June 30 and December
31), for the life of the award. BSIRs will update information on obligations,
expenditures, and progress made on activities noted in the ISIP, and will include an
update of all information submitted in that report. The report format for the BSIR will be
identical to the ISIP. A Final Strategy Implementation Report is due 120 days after the
end date of the award period.
C. Grant Reporting Timeline
Based on a two year period of performance, ODP expects most grants will have a
reporting schedule similar to timeline below (see Figure 1). Most grants will have six
submissions over the course of the period of performance including one ISIP
submission, four BSIR submissions, and one final BSIR submission.
D. Reported Information
While the web application for the ISIP and BSIR will be provided to grantees, it is
important for applicants to fully understand the data points that must be collected in
order to complete the ISIP in a timely manner. Each ISIP and each subsequent BSIR
will include, but is not limited to, the following information for funds provided to each
subgrantee and funds retained at the state level:
?? Jurisdiction Name
?? Total Award Amount
?? Amount Awarded in each of the grant program areas:
o SHSP
o UASI
o LETPP
o CCP
o EMPG
Beginning of
Period of
Performance
Award Date
60 Days
ISIP Due BSIR Due
July 31st January 31st
BSIR Due BSIR Due
July 31st
BSIR Due
January 31st
End of
Period of
Performance
120 Days
Final BSIR Due
Figure 1. Grant Reporting Timeline
D- 3
o MMRS
?? Project(s) to be accomplished with funds provided during the grant period, for
example:
o Establish an urban search and rescue capability (i.e., heavy rescue team,
etc.).
o Develop and institutionalize a law enforcement training program in state or
local academies and ensure that all law enforcement officers are trained to
the awareness level.
o Establish a disease surveillance system in all area hospitals.
o Establish, expand, and enhance Citizen Corps Councils and related
program initiatives in the community
(Note: projects listed must support a specific goal or objective in the State
Homeland Security Strategy.)
?? List the State Homeland Security Strategy goal or objective that is being
supported by the project.
?? Identify each of the grant program areas from which funding will be utilized to
complete the project and the amount of funds utilized from each program area:
o SHSP
o UASI
o LETPP
o CCP
o EMPG
o MMRS
(Note: individual projects may be supported with funding from more than one
grant program area.)
?? Identify whether the expenditures associated with this project are state, local, or
a mix.
?? Identify the amount of funding designated for each discipline from each grant
program area:
o Law enforcement
o Fire service
o Emergency medical services
o Emergency management
o Hazmat response
o Public works
o Public health
o Health care
o Public safety communications
o Government/administrative
o Citizen Corps Councils and Programs
o Nonprofit
o Other
?? Identify the solution area(s) which expenditures will be made and the amount
that will be expended under each solution area from each grant program area:
o Planning
?? SHSP, UASI, LETPP, CCP, EMPG, and MMRS planning activities
D- 4
?? Public education and outreach
?? Citizen participation: Citizen Corps Program activities and
development
o Equipment
?? Personal Protective Equipment (PPE)
?? Explosive Device Mitigation and Remediation Equipment
?? CBRNE Operational and Search & Rescue Equipment
?? Information Technology
?? Cyber Security Enhancement Equipment
?? Interoperable Communications Equipment
?? Detection Equipment
?? Decontamination Equipment
?? Medical Supplies and Limited Types of Pharmaceuticals
?? Power Equipment
?? CBRNE Reference Materials
?? CBRNE Incident Response Vehicles
?? Terrorism Incident Prevention Equipment
?? Physical Security Enhancement Equipment
?? Inspection and Screening Systems
?? Agricultural Terrorism Prevention, Response & Mitigation
Equipment
?? CBRNE Response Watercraft
?? CBRNE Aircraft and Aviation Equipment
?? CBRNE Logistical Support Equipment
?? Other Authorized Equipment
?? Information Sharing (LETPP)
?? Target Hardening (LETPP)
?? Threat Recognition (LETPP)
?? Intervention Activities (LETPP)
?? CERT Team Member Equipment (CCP)
o Training
?? Development and delivery of CBRNE training programs
?? Delivery of CERT training
?? Delivery of other (non-CERT) citizen preparedness and safety
training and education
?? Emergency responder training relating to individuals with special
needs
?? Overtime and backfill costs
o Exercises
?? Exercise design, conduct and evaluation
?? Overtime and backfill costs
o M&A
?? SHSP, UASI, LETPP, CCP, EMPG, and MMRS M&A
?? Metric and/or narrative discussion indicating project progress/success, for
example:
o Progress updating jurisdiction’s emergency operations plans
D- 5
o Establishment of new mutual aid agreements
o Number of personnel trained at each level in each discipline
o Number of response teams enhanced or new response teams created
o Number of exercises conducted and disciplines involved
o Number of volunteer participants and roles played during exercises
o Certification from the state that all requests for overtime funding through
the LETPP comply with the requirement that funds may not be used to
supplant ongoing, routine public safety activities of state and local law
enforcement.
o Number of active Citizen Corps Councils
o Number of individuals CERT trained.
Note: the web application provided by ODP will include appropriate data fields for all
information discussed above. Additionally, brief narrative descriptions may be required
for certain data points, such as project titles, etc.
APPENDIX E
APPROVAL PROCESS FOR
NON-ODP DEVELOPED
COURSES
E-1
OVERVIEW OF APPROVAL PROCESS FOR NON-ODP DEVELOPED COURSES
1. State/local request for review of non-ODP developed training courses should be
made through the SAA or UAWG to the ODP Preparedness Officer using the
Course Approval Request Form. This form is found in the Office of State and
Local Government Coordination and Preparedness (SLGCP) Course Approval
Process, Non-SLGCP Developed Courses, Appendix B, which is available on the
ODP website at: http://www.ojp.usdoj.gov/odp/training.htm.
2. The ODP Preparedness Officer will perform a preliminary review to ensure all
training course materials are included and, if complete, will forward the request to
the ODP Training Division. Notable change from FY04 language: All course
materials must be submitted with the original application and conditional
approvals are no longer offered.
3. Upon receipt of the request, the ODP Training Division will respond as follows
(See Appendix C of the SLGCP Course Approval Process, Non-SLGCP
Developed Courses):
a. Contents will be inventoried and logged into the SLGCP Training Approval
Tracking System.
b. An in-depth cross-check for potential duplication of training courses will be
conducted.
c. An initial review and comparison to SLGCP standards will be performed.
4. ODP will initiate an independent subject matter review of course materials based
on the completed application.
5. The independent review for subject matter accuracy, statutory compliance, and
instructional design will be completed within 15 working days from receipt of the
course materials. For courses that require on-site review the period may be
extended to 60 days.
6. Upon completion of the independent review and the Course Evaluation,
Observations, and Findings form, the ODP Training Division will notify the ODP
Preparedness Officer and the appropriate SAA or UAWG of the outcome and
provide either the letter of approval or disapproval. Notification of results will be
completed within five (5) working days from receipt of the Course Evaluation,
Observations, and Findings form.
Materials produced under ODP grant agreements may be copyrighted by the grantee. However, ODP retains a
unlimited, irrevocable, and non-transferable license to use such material for certain governmental purposes. ODP
has determined that it is in the interest of the federal government to allow state and local entities to reproduce, for
governmental use, materials produced under ODP grants. Please contact ODP with requests to reproduce any
materials.
APPENDIX F
FEDERAL TRAINING
COURSE LIST
Eligible Federal Terrorism Training Courses
F-1
Note: Grantees should refer to the Training section of the ODP
website (http://www.ojp.usdoj.gov/odp/training.htm) on a regular
basis to view additions to this list of eligible federal training
courses related to terrorism preparedness. The information
provided in the following pages is accurate as of December 2004.
This information has been drawn from the Compendium of Federal Terrorism Training for State and Local
Audiences. Grantees can access this list of eligible federal terrorism preparedness courses electronically
on the Training section of the ODP website (http://www.ojp.usdoj.gov/odp/training.htm) and click on the
course name to view all course information. The additional course information is also available directly
through the Compendium at http://www.fema.gov/compendium/index.jsp.
Advanced Chemical and Biological Integrated Response Course (ACBIRC)--Technician Level
Federal Department/Agency: Department of Defense
Sponsor: U.S. Army Dugway Proving Ground, Special Programs Division
Advanced Incident Command System (ICS)
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Advanced Life Support Response to Hazardous Materials Incidents
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Advanced Radiation Incident Operations (ARIO)
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Advanced Safety Operations and Management
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA/National Fire Academy
Agent Characteristics and Toxicity--First Aid and Special Treatment (ACTFAST)
Federal Department/Agency: Department of Homeland Security, FEMA, Chemical Stockpile Emergency
Preparedness Program
Sponsor: FEMA / CSEPP
Basic Incident Command
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Command and Control of Fire Department Operations at Target Hazards
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Command and Control of Incident Operations
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Eligible Federal Terrorism Training Courses
F-2
Command and Control of Operations at Multi-Alarm Incidents
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Command and Control of Operations at Natural and Man-made Disasters
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Command and General Staff Functions in the Incident Command System
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Critical Response Team (CRT) Training
Federal Department/Agency: Department of Defense
Sponsor: CBC, PBA, ARC, and GP
Emergency Response to Criminal/Terrorist Incidents
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Emergency Response to Terrorism: Awareness
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Emergency Response to Terrorism: Basic Concepts
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Emergency Response to Terrorism: Self-Study
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Emergency Response to Terrorism: Strategic Concepts for Chief Officers
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Emergency Response to Terrorism: Tactical Considerations--Company Officer
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Emergency Response to Terrorism: Tactical Considerations--EMS
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Emergency Response to Terrorism: Tactical Considerations--Hazardous Materials
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Field Management of Chemical and Biological Casualties
Federal Department/Agency: Department of Defense
Sponsor: U.S. Army Medical Research Institute of Chemical Defense (MRICD)
Eligible Federal Terrorism Training Courses
F-3
Fundamentals Course for Radiological Response
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Incident Command for Highrise Operations
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Incident Command for Structural Collapse Incidents
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Incident Command System for Law Enforcement Agencies
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Incident Command System for Public Works
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Incident Command System Self-Study
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA-National Fire Academy
Incident Command System/Emergency Operations Center (ICS/EOC) Interface
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Incident Response to Terrorist Bombings - Awareness
Federal Department/Agency: Department of Homeland Security, Border & Transportation Security, Office
for Domestic Preparedness
Sponsor: NMT, EMRTC, member of NDPC
Incident Safety Officer
Federal Department/Agency: Department of Homeland Security, FEMA, National Fire Academy
Sponsor: FEMA / National Fire Academy
Intermediate Incident Command System (ICS)
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Personal Protective Equipment
Federal Department/Agency: Department of Homeland Security, FEMA, Chemical Stockpile Emergency
Preparedness Program
Sponsor: FEMA / CSEPP
Preparing for and Managing the Consequences of Terrorism
Federal Department/Agency: Department of Defense
Sponsor: National Interagency Civil-Military Institute (NICI)
Eligible Federal Terrorism Training Courses
F-4
Re-ACT FAST II Video/DVD (Refresher of Agent Characteristics and Toxicology First Aid and
Special Treatment)
Federal Department/Agency: Department of Homeland Security, FEMA, Chemical Stockpile Emergency
Preparedness Program
Sponsor: FEMA / CSEPP
Security Training Courses: Response to Weapons of Mass Destruction
Federal Department/Agency: Department of Transportation
Sponsor: Federal Transit Administration
Senior Officials Workshop: Preparedness and Response for Terrorist Incidents Involving
Weapons of Mass Destruction
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Terrorism Planning Course
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
Use of Auto-Injectors by Civilian Emergency Medical Personnel
Federal Department/Agency: Department of Homeland Security, FEMA, Chemical Stockpile Emergency
Preparedness Program
Sponsor: FEMA / CSEPP
Use of Biological Agent Detection Materials--Bio-Assay (SMART) Tickets
Federal Department/Agency: Department of Homeland Security, Border & Transportation Security, Office
for Domestic Preparedness
Sponsor: Office for Domestic Preparedness
Use of Chemical Agent Detection Materials--M8, M9, and M256A1 Kit
Federal Department/Agency: Department of Homeland Security, Border & Transportation Security, Office
for Domestic Preparedness
Sponsor: Office for Domestic Preparedness
Weapons of Mass Destruction Crime Scene Management for Emergency Responders
Federal Department/Agency: Department of Homeland Security, Border & Transportation Security, Office
for Domestic Preparedness
Sponsor: Community Research Associates (CRA)
Weapons of Mass Destruction HazMat Evidence Collection
Federal Department/Agency: Department of Justice - Federal Bureau of Investigation
Sponsor: Community Research Associates (CRA)
Weapons of Mass Destruction/Terrorism: An Overview (ARC 3079-2)
Federal Department/Agency: Department of Defense
Sponsor: CBC, PBA, ARC, and GP
WMD AIM CBT Application Disk 1: Incident Commander and Staff
Federal Department/Agency: Department of Energy
Sponsor: DOE
WMD AIM CBT Application Disk 2: HAZMAT - First Responder
Federal Department/Agency: Department of Energy
Sponsor: DOE
Eligible Federal Terrorism Training Courses
F-5
WMD AIM CBT Application Disk 3: Hospital and EMS - First Responder
Federal Department/Agency: Department of Energy
Sponsor: DOE
WMD AIM CBT Application Disk 4: General Education
Federal Department/Agency: Department of Energy
Sponsor: DOE
WMD CBT Disk 1: Chemical Exercise
Federal Department/Agency: Department of Energy
Sponsor: DOE
WMD CBT Disk 2: Biological Exercise
Federal Department/Agency: Department of Energy
Sponsor: DOE
WMD CBT Disk 3: High-Explosive Exercise
Federal Department/Agency: Department of Energy
Sponsor: DOE
WMD CBT Disk 4: Radiological Exercise
Federal Department/Agency: Department of Energy
Sponsor: DOE
WMD Radiological/Nuclear Awareness Train-the-Trainer
Federal Department/Agency: Department of Energy
Sponsor: NNSA/NV and NCEE
WMD Radiological/Nuclear Course for HazMat Technicians
Federal Department/Agency: Department of Homeland Security, Border & Transportation Security, Office
for Domestic Preparedness
Sponsor: NNSA / NV, NCEE, member of NDPC
WMD Radiological/Nuclear Responder Operations Course
Federal Department/Agency: Department of Homeland Security, Border & Transportation Security, Office
for Domestic Preparedness
Sponsor: NNSA / NV, NCEE, member of NDPC
WMD Scenarios
Federal Department/Agency: Department of Homeland Security, FEMA, Emergency Management
Institute
Sponsor: FEMA / Emergency Management Institute
WMD/Terrorism Chapter Leadership Course
Federal Department/Agency: Department of Defense
Sponsor: CBC, PBA, ARC, and GP
APPENDIX G
HOMELAND SECURITY
PREPAREDNESS TECHNICAL
ASSISTANCE PROGRAM
HOMELAND SECURITY PREPAREDNESS TECHNICAL ASSISTANCE PROGRAM
G-1
Information in this section is also available online: http://www.ojp.usdoj.gov/odp/ta.htm
A. Program Overview
ODP’s Homeland Security Preparedness Technical Assistance Program provides direct
assistance to state and local jurisdictions to improve their ability to prevent, respond to,
and recover from threats or acts of terrorism and other hazards. A primary objective of
the program is to enhance the capacity of state and local jurisdictions, as well as special
needs jurisdictions such as port authorities and mass transit agencies to develop, plan,
and implement effective strategies for threats or acts of terrorism and other hazards.
Technical Assistance (TA) may be provided to state and local governments, law
enforcement, fire, hazardous materials, Citizen Corps Councils, and other community
agencies that have appropriate responsibilities.
All TA services are available to eligible recipients at no charge. ODP will cover
the cost of providing the technical expertise, travel, and related expenses.
B. Technical Assistance Defined
Technical assistance is a process of providing help to resolve a problem and/or create
innovative approaches to prevention, response, and recovery. TA seeks to provide
state and local jurisdictions with assistance that can accomplish one or more of the
following objectives:
• Identify a problem
• Address an identified problem
• Address items in a corrective action plan (CAP) from a completed exercise
• Fill “gaps” between equipment, training, and exercise programs
TA deliveries may take a variety of forms that can be combined or modified to meet the
specific needs of each requesting state/local jurisdiction. In order to best accommodate
the wide variety of TA needs and deliverables, ODP supports several levels of technical
assistance:
• LEVEL ONE: Provision of general information to raise awareness or enhance
familiarity with practices/protocols required within all jurisdictions. Level One
delivery methods include:
a. Information
b. Resources
• LEVEL TWO: Delivery of solution packages and performance models drawn from
federal, state, and local studies, best practices, and experience that guide the
implementation of various initiatives. Level Two delivery methods include:
a. Models
b. Templates
c. Samples
HOMELAND SECURITY PREPAREDNESS TECHNICAL ASSISTANCE PROGRAM
G-2
• LEVEL THREE: Delivery of rigorous, customized solutions through direct, on-site
support. Training, guidance, and facilitation efforts maximize direct interaction
between TA providers and TA recipients to ensure the successful implementation
of the most complex initiatives. Level Three delivery methods include:
a. On-site Specific Training
b. Train-the-trainer Programs
c. Guidance
d. Facilitation of Workshops and Meetings
Prevention, response, and recovery, as outlined in HSPD-8, December 2003, are
defining elements of the Homeland Security Preparedness Technical Assistance
Program, and serve as the foundation for all TA services. As a result, the HSPTAP is
divided into three sections that correspond with these preparedness objectives:
• Prevention: Detect, deter, and mitigate threats to our homeland.
• Response: Lead, manage, and coordinate the national response to acts of
terrorism, natural disasters, or other emergencies.
• Recovery: Lead national, state, local, and private sector efforts to restore
services and rebuild communities after acts of terrorism.
C. How to Request Technical Assistance
All state and local jurisdiction requests for technical assistance must be made in writing
and sent through the SAA to ODP for approval, coordination, and execution.
(1) State and local jurisdictions applying for TA must submit a written request (email
is acceptable) to their SAA. In order to expedite the TA request process, the
requestor can use the “TA Service Request” form (found in the online catalog).
This form can serve as the formal TA request.
(2) The SAA evaluates the request to ensure concurrence with the state’s
strategy goals and objectives.
(3) If the SAA determines the request is in-line with the strategy, the SAA sends
the request to the appropriate ODP Preparedness Officer.
(4) Following a final review, the Preparedness Officer forwards the request to the
appropriate ODP TA Managers.
D. Contact and Further Information
For further information on requesting technical assistance, contact the ODP
Preparedness Officer assigned to your state. You can also call the CSID at 1-800-368-
6498 or e-mail askcsid@dhs.gov.
APPENDIX H
PUBLIC SAFETY
COMMUNICATIONS AND
INTEROPERABILITY GUIDANCE
H- 1
PUBLIC SAFETY COMMUNICATIONS AND INTEROPERABILITY GUIDANCE
In May 2004, ODP adopted language about grant guidance developed by SAFECOM in
an effort to ensure interoperability through the various layers of federal, state and local
government. (See ODP Information Bulletin #113). SAFECOM developed this general
grant criteria in concert with representatives of the public safety community in an effort
to coordinate the way in which funding is allocated and to maximize the prospects for
interoperable communications.
The intent of the SAFECOM grant guidance is to ensure that the communications
equipment being procured will lead to improved multi-disciplinary and/or multijurisdictional
interoperable public safety communications. The grant guidance provides
a list of questions to be answered in order to demonstrate how the applicants proposed
project would enhance interoperability. The guidance also encourages that, where
appropriate, applicants purchase equipment that meets standards that have been
developed and adopted by the public safety communications community–American
National Standards Institute (ANSI)/TIA/EIAA-102 Phase 1 (Project 25) suite of
standards. This recommendation is intended for government-owned or -leased land
mobile public safety radio equipment, and its purpose is to make sure that such
equipment or systems are capable of interoperating with other public safety land mobile
equipment or systems. It is not intended to apply to commercial services that offer other
types of interoperability solutions and does not exclude any application if it
demonstrates that the system or equipment being proposed will lead to enhanced
interoperability. The grant guidance does not propose to preclude funding of non-Project
25 equipment when there are compelling reasons for using other solutions. Absent
these compelling reasons, ODP intends that Project 25 equipment will be preferred for
digital systems to which the standard applies.
The SAFECOM interoperable communications guidance addresses the following
issues:
• Criteria
o Personnel Involved with Public Safety Communications Interoperability
o Lifecycle of Public Safety Communications Projects
o Common Public Safety Communications Goals
o Common Criteria for All Grant Applicants
o Standards
o Governance
• Criteria for Public Safety Communications Equipment Grants
o Building, Upgrading, Enhancing, Replacing and Maintaining Public Safety
Communications Systems and Equipment
• Supplemental Criteria for Public Safety Equipment Grants
o Planning for Public Safety Communication Systems
H- 2
o Training Public Safety Staff on Issues Related to Emergency Response
Communications
o Managing Public Safety Communications Projects
o Generic Examples of Linking Disparate Public Safety Communications
Systems
The SAFECOM grant guidance materials are available in their entirety on the
SAFECOM website (http://www.safecomprogram.gov) in the electronic library. (See
http://www.safecomprogram.gov/libresults.cfm?libid=431&secid=3.) They can also be
accessed through ODP Information Bulletin #113, posted on the ODP website at
http://www.ojp.usdoj.gov/odp/docs/bulletins.htm.
APPENDIX I
GEOSPATIAL GUIDANCE
I- 1
GEOSPATIAL GUIDANCE
ODP recognizes the important contribution that geospatial information and technology
plays in strengthening our nation’s security posture. DHS has created a Geospatial
Enterprise Architecture (GEA) to help guide geospatial data investments for building a
standardized national model that will promote collaboration and interoperability. This
document is available by e-mailing gmo@dhs.gov.
Grantees are recommended to review the guidance provided below. This will ensure
that grantees have applied due diligence in reviewing and assessing requirements for
their objectives that involve geospatial components. The following considerations
should be made when developing a geospatial program:
• Does the state have a homeland security geospatial strategy?
• Does the state have a single GIS that primarily focuses on homeland
security?
• Has the state/jurisdiction identified the homeland security geospatial
requirements?
• Does the state maintain a current inventory of geospatial assets (both
equipment and personnel)?
• Has the state established public, private, academic, military, and tribal
communities for homeland security geospatial collaboration?
• What memoranda of understanding are in place for data sharing?
• Is the homeland security geospatial data stored in more than one location? Is
it readily accessible to first responders and to emergency operations centers?
Is there a backup system for the geospatial systems?
• Does the state have a team of established geospatial personnel that can
provide 24/7 expertise and equipment for emergencies?
• Has the state established geospatial preparedness metrics?
• How do the geospatial systems support critical infrastructure mapping (e.g.
HSPD-7), readiness assessments (e.g. HSPD-8), and incident management
(e.g. NIMS)?
• Does the state ensure compatibility with the geospatial data by complying
with federally-adopted geospatial standards, specifications, and guidelines
such as those published by the Federal Geographic Data Committee (FGDC)
and the Open Geospatial Consortium (OGC™)?
• Does the state register or publish the geospatial resources that are planned
or result from programs or projects as a means to avoid expenditures of time,
effort, and funds on redundant acquisitions?
• Does the state place an emphasis on geospatial resource sharing and
collaboration?
I- 2
The following describes those federally maintained, endorsed or adopted initiatives that
grantees are strongly recommended to review:
National Spatial Data Infrastructure (NSDI) (http://www.fgdc.gov/nsdi/nsdi.html)
The NSDI was created under Executive Order 12906 calling for the establishment of the
NSDI defined as the technologies, policies, and people necessary to promote sharing of
geospatial data throughout all levels of government, private and nonprofit sectors, and
the academic community.
The NSDI clearing house is available to local, state, and federal contributors to register
as clearinghouse nodes where metadata about geospatial data, services, and resources
can be published and harvested for discovery by any user. FGDC manages NSDI and
provides guidance and instruction for using and registering nodes on NSDI.
Geospatial One Stop Portal (www.geodata.gov)
As a part of one of Office of Management and Budget’s 24 Federal E-Gov initiatives
(www.whitehouse.gov/omb/egov/), the Geospatial One Stop portal was established to
promote data sharing across federal entities and is available to the public for use as a
discovery portal. Geospatial One Stop portal (www.geodata.gov) is an interface to NSDI
established under Executive Order 12906. The portal harvests geospatial resource
metadata from nodes registered with NSDI and is a repository for all metadata
published and accessible on NSDI. Users also have the option to publish metadata
holdings directly to Geospatial One Stop enabling smaller organizations with the ability
to share and collaborate on geospatial resources.
An important feature on Geospatial One Stop for grantees is the geodata.gov Market
Place. Here users can find information about planned acquisitions of geospatial
resources and future projects or activities that may align with their own objectives. If
grantees find no existing resources on Geospatial One Stop in either the metadata
searches or in the Market Place, they are strongly encouraged to register their planned
activities for geospatial data acquisition or future projects and activities so that others
may prevent from redundant efforts.
United States National Grid (http://www.fgdc.gov/standards/status/usng.html)
The objective of this U.S. National Grid standard is to create a more interoperable
environment for developing location-based services within the United States and to
increase the interoperability of location services appliances with printed map products
by establishing a nationally consistent grid reference system as the preferred grid for
NSDI applications. The U.S. National Grid is based on universally-defined coordinate
and grid systems and can, therefore, be easily extended for use world-wide as a
universal grid reference system.
There are a number of coordinate reference systems that can be used either in location
service appliances or on printed maps for the purpose of establishing a location. Within
I- 3
automated location service appliances, the conversion of coordinates based on one
well-defined reference system to coordinates based on another can be both automatic
and transparent to the user. These devices can support multiple coordinate reference
systems with little difficulty. However, it is not easy for humans to work in multiple
reference systems and humans cannot convert between systems without the aid of
location service appliances, calculators, or conversion tables (FGDC-STD-011-2001).
Federal Geographic Data Committee (www.fgdc.gov)
The FGDC is a 19-member interagency committee composed of representatives from
the Executive Office of the President, Cabinet-level and independent agencies. The
FGDC is developing NSDI in cooperation with organizations from state, local and tribal
governments, the academic community, and the private sector. NSDI encompasses
policies, standards, and procedures for organizations to cooperatively produce and
share geographic data.
FGDC Metadata (www.fgdc.gov/metadata/metadata.html)
Metadata or "data about data" describe the content, quality, condition, and other
characteristics of data. FGDC approved the Content Standard for Digital
Geospatial Metadata (FGDC-STD-001-1998) in June 1998.
FGDC Standards (www.fgdc.gov/standards/standards.html)
Standards facilitate the development, sharing, and use of geospatial data. The
FGDC develops geospatial data standards for implementing the NSDI, in
consultation and cooperation with state, local, and tribal governments, the private
sector and academic community, and, to the extent feasible, the international
community.
FGDC Framework (www.fgdc.gov/framework/framework.html )
GIS applications of many different disciplines have a recurring need for a few
themes of data. The framework is a collaborative community based effort in
which these commonly needed data themes are developed, maintained, and
integrated by public and private organizations within a geographic area. Local,
regional, state and federal government organizations and private companies see
the framework as a way to share resources, improve communications, and
increase efficiency.
Open Geospatial Consortium (www.opengeospatial.org)
The Open Geospatial Consortium, Inc. (OGC™) is a nonprofit, international, voluntary
consensus standards organization that is leading the development of standards for
geospatial and location based services. Through member-driven consensus programs,
OGC works with government, private industry, and academia to create open and
extensible software application programming interfaces for geographic information
systems and other mainstream technologies.
I- 4
Consulting with the OGC specifications and standards is highly recommended for
grantees interested in open, interoperable solutions; especially those involving
publishing geospatial data and resources as a service. Many of the specifications,
documents, and guidance provided here have been adopted as industry standard.
Others are fairly new and not mature. Grantees are encouraged to comply with these
consensual guidance and standards wherever relevant to specific projects and
objectives.
U.S Army Corps of Engineers CADD/GIS technology Center Spatial Data
Standards (http://tsc.wes.army.mil/products/TSSDS-TSFMS/tssds/html/)
The Spatial Data Standard for Facilities, Infrastructure, and Environment (SDSFIE) have
focused on the development of graphic and non-graphic standards for GIS
implementations at Air Force, Army, Navy, and Marine Corps installations, U.S. Army
Corps of Engineers Civil Works activities, and other Government organizations.
The SDSFIE provides a standardized grouping of geographically referenced (i.e.,
geospatial) features (i.e., real-world features or objects depicted graphically on a map at
their real-world location (i.e., coordinates). Each geospatial feature has an "attached"
attribute table containing pertinent data about the geospatial feature.
The National Map (http://nationalmap.gov/)
The U.S. Geological Survey (USGS) holds responsibility for maintaining nationally
consistent foundation data layers that will support the DHS GEA. These data layers
include:
?? High-resolution digital orthorectified imagery from aerial photographs or satellite
imagery
?? High resolution surface elevation data to derive contours and digital terrain
models
?? Vector feature data for hydrography (linear and open water bodies),
transportation (roads, railway, and waterways), manmade structures, and
boundaries
?? Land Use Land Cover that classifies land surface types
?? Geographic names of physical and cultural features (to support U.S. Board of
Geographic Names)
Through partnerships that include cooperative arrangements for exchange of data,
standards development, database development, web mapping services and
applications, training, and technology exchange, the USGS has established a network
of National Geospatial Partnership Offices and State Liaison positions across the nation
(http://nationalmap.usgs.gov/partnerships.html).
APPENDIX J
LIST OF TERMS
J-1
LIST OF TERMS
A
AAR After Action Reports
ACH Automated Clearing House
ADDIE Analysis, Design, Development, Implementation, and Evaluation
AEL Authorized Equipment List
ANSI American National Standards Institute
APCO Association of Public-Safety Communications Officials
B
BSIR Biannual Strategy Implementation Reports
BZPP Buffer Zone Protection Plan
C
CAP Corrective Action Plan
CAPR Categorical Assistance Progress Reports
CBP Customs and Border Protection
CBRN Chemical, Biological, Radiological and Nuclear
CBRNE Chemical, Biological, Radiological, Nuclear, and Explosive
CCP Citizen Corps Program
CCTV Closed-Circuit Television
CDC Centers for Disease Control and Prevention
CDP Center for Domestic Preparedness
CEO Chief Executive Officer
CERT Community Emergency Response Teams
CFA Capability Focus Area
CFR Code of Federal Regulations
CFDA Catalog of Federal Domestic Assistance
CI Critical Infrastructure
CIP Critical Infrastructure Protection
CIRA Catastrophic Incident Response Annex
CME Continuing Medical Education
CNE Continuing Nursing Education
COTS Commercial-off-the-Shelf
CSID Centralized Scheduling and Information Desk
D
D&B Dun and Bradstreet
DHS U.S. Department of Homeland Security
DOE U.S. Department of Energy
DOJ U.S. Department of Justice
DOS U.S. Department of State
DOT U.S. Department of Transportation
J-2
DPETAP Domestic Preparedness Equipment Technical Assistance Program
DUNS Data Universal Numbering System
E
EA Environmental Assessment
EEG Exercise Evaluation Guide
EIS Environmental Impact Statement
EMA Emergency Management Agency
EMAP Emergency Management Accreditation Program
EMI Emergency Management Institute
EMPG Emergency Management Performance Grants
EMS Emergency Medical Services
EMT Emergency Medical Technician
EOC Emergency Operations Center
EOP Emergency Operations Plans
EPA U.S. Environmental Protection Agency
EPW Exercise Planning Workshop
F
FAR Federal Acquisition Regulations
FBI Federal Bureau of Investigation
FDA Food and Drug Administration
FE Functional Exercise
FEMA Federal Emergency Management Agency
FGDC Federal Geographic Data Committee
FICA Federal Insurance Contributions Act
FOIA Freedom of Information Act
FSE Full-Scale Exercise
FSR Financial Status Report
FTE Full-Time Employees
G
GAN Grant Adjustment Notice
GEA Geospatial Enterprise Architecture
GIS Geographic Information System
GISWG Global Infrastructure and Standards Working Group
GJXDM Global Justice XML Data Model
GMS Grants Management System
GOTS Government-off-the-Shelf
GPS Global Positioning Systems
H
HazMat Hazardous Materials
HDER Homeland Defense Equipment Reuse
HHS U.S. Department of Health and Human Services
J-3
HRSA Health Resources and Services Administration
HSC Homeland Security Council
HSEEP Homeland Security Exercise and Evaluation Program
HSGP Homeland Security Grant Program
HSPD Homeland Security Presidential Directive
HSPTAP Homeland Security Preparedness Technical Assistance Program
I
IAB InterAgency Board
IAFIS Integrated Automated Fingerprint Identification System
IAIP DHS Information Analysis and Infrastructure Protection Directorate
ICS Incident Command System
ICTAP Interoperable Communication Technical Assistance Program
IED Improvised Explosive Device
IEEE Institute of Electrical and Electronics Engineers, Inc.
IP Improvement Plan
ISIP Initial Strategy Implementation Plan
J
JRIES Joint Regional Information Exchange System
JTTF Joint Terrorism Task Force
L
LEP Limited English Proficient
LETPP Law Enforcement Terrorism Prevention Program
LLEA Lead Law Enforcement Agency
LLIS Lessons Learned Information Sharing
LNG Liquid Natural Gas
LOCES Letter of Credit Electronic Certification System
M
M&A Management and Administrative
MIPT National Memorial Institute for the Prevention of Terrorism
MOA Memorandum of Agreement
MOU Memorandum of Understanding
MMRS Metropolitan Medical Response System
MRC Medical Reserve Corps
MS&G Models, Simulations, and Games
N
NCIC National Crime Information Center
NCJA National Criminal Justice Association
NCR National Capital Region
NDPC National Domestic Preparedness Consortium
NEPA National Environmental Policy Act
NFA National Fire Academy
J-4
NGA Notice of Grant Award
NGO Non-Governmental Organization
NIC NIMS Integration Center
NFPA National Fire Protection Association
NIMCAST NIMS Capability Assessment Support Tool
NIMS National Incident Management System
NIOSH National Institute for Occupational Safety and Health
NIST National Institute of Standards and Technology
NRP National Response Plan
NSDI National Spatial Data Infrastructure
NSSE National Special Security Event
O
OC Office of the Comptroller
ODP Office for Domestic Preparedness
OJP Office of Justice Programs
OGC Office of General Counsel
OGC™ Open Geospatial Consortium
OGO Office of Grant Operations
OMB Office of Management and Budget
OSHA Occupational Safety and Health Administration
P
PAPRS Phone Activated Paperless Request System
PHS Public Health Service
POC Point of Contact
PPE Personal Protective Equipment
R
RAT Rapid Assistance Team
RKB Responder Knowledge Base
S
S&T Science and Technology
SAA State Administrative Agency
SAAT Standardized Awareness Authorized Trainer
SDSFIE Spatial Data Standard for Facilities, Infrastructure, and
Environment
SEL Standardized Equipment List
SHSAS State Homeland Security Assessments and Strategies
SHSP State Homeland Security Program
SLGCP Office of State and Local Government Coordination and
Preparedness
SME Subject Matter Expert
SoR Statement of Requirements
J-5
SPOC Single Point of Contact
SRM Service Reference Model
SWAT Special Weapons and Tactics
T
TA Technical Assistance
TEW Terrorism Early Warning
TOPOFF Top Officials Exercise
TRM Technical Reference Model
TTX Tabletop Exercise
U
UASI Urban Areas Security Initiative
UAWG Urban Area Working Group
USAR Urban Search and Rescue
USDA U.S. Department of Agriculture
USGS U.S. Geological Survey
UTL Universal Task List
V
VIPS Volunteers in Police Service
W
WMD Weapons of Mass Destruction
X
XML Extensible Markup Language
XSTF XML Structure Task Force
INDEX
Allowable costs guidance, 25
Authorized Program Expenditures, 25,
29, 64, 65, 72, 75, 77, 81, 88, 89, 90
Award date, 21, 23, 58
Awareness training, 54
Biannual Strategy Implementation
Reports (BSIR), 58, 60, 61, 63, 70
Capability Focus Areas, MMRS, 92, 94
Catastrophic incident response
planning, 47, 55, 95
Centers for Disease Control and
Prevention (CDC), 13, 23, 99
Centralized Scheduling and Information
Desk, 43, 45
CFDA Number, 10
Citizen Corps Councils, 20, 21, 24, 29,
44, 56, 64, 80, 81, 82
Citizen participation, 13, 24, 47, 56, 64,
76, 80, 81, 82
Close-out process, 61
Code Orange, 18, 26, 27, 28, 73, 76
Code Yellow, 18, 26, 28, 72, 73
Construction and renovation, 39, 43
Critical infrastructure protection, 27, 64,
65, 73, 76, 78
Drawdown of funds, 22
DUNS number, 12
Emergency Management Accreditation
Program (EMAP), 14, 86, 87, 88, 89
EMPG Allowables, 88
Equipment costs guidance, 28, 65, 77,
83, 90
Exercise costs guidance, 37, 66, 78, 84,
90
Existing UASI jurisdictions, 70
Extensible Markup Language, 41, 42
Financial and compliance audit report,
60
Financial Status Report, 59, 60, 61
Formula, 1, 87
Freedom of Information Act, 24
Geographic information systems (GIS),
42, 43, 64, 65, 76, 78, 90
Health Resources and Services
Administration (HRSA), 13, 23
Homeland security assessment and
strategy integration, 88, 94
Homeland Security Exercise and
Evaluation Program (HSEEP), 37, 38,
60, 90, 93
Homeland security strategy, 5, 12, 13,
14, 19, 22, 24, 33, 34, 35, 36, 38, 44,
52, 55, 58, 64, 68, 70, 71, 72, 80, 88
HSPD-8, 24, 38, 47, 49, 50, 51, 64, 80,
92, 93
Improvised Explosive Device (IED), 50,
51, 52, 53
Initial Strategy Implementation Plan
(ISIP), 58, 60, 63, 70, 81
Lessons Learned Information Sharing,
45
Limited English Proficient (LEP)
Persons, 25
Management and administrative costs,
13, 25, 26, 63, 73, 81, 88, 11
Match requirement, 11, 86
Memorandum of Understanding, 21
Monitoring, 61
National Environmental Policy Act, 40
National Incident Management System
(NIMS), 12, 14, 19, 33, 47, 48, 49, 50,
51, 64, 66, 76, 77, 78, 80, 83, 86, 88,
89, 90, 93, 96, 97
National Preparedness Goal, 49, 50
National Response Plan (NRP), 19, 47,
53, 54, 55, 64, 65, 88, 89, 94, 96
New UASI jurisdictions, 15, 71
Nonprofit organizations, 19, 59, 60, 69,
73
Non-supplanting certification, 11
OJP Financial Guide, 11, 24, 87
Operational costs, 72, 76
Organizational costs, 26
Pass-through requirements, 21
Period of performance, 20, 93
Planning, 64, 76, 81, 89
Private Sector, 24
Program narrative, 12, 13, 14
Program Requirements, 63, 69, 80, 87,
93
Public awareness, 47, 56, 82
Reporting requirements, 58, 59, 81
Required submissions, 58, 60, 61
Responder Knowledge Base, 28, 29, 65,
77, 90
Senior Advisory Committee, 12, 23
SF-424 grant application, 11
Supplanting, 11, 27, 33, 34, 35, 36, 41,
43, 73, 77
Tactical interoperable communications,
51, 52, 53
Target Capabilities List, 34, 49, 50
Task Force on State and Local
Homeland Security Funding, 18
Technical assistance, 44, 45, 53
Training costs guidance, 29, 65, 77, 83,
90
Unallowable costs guidance, 43
Universal Task List, 34, 49, 50, 80